Theory and Models of Policy Making
Theory and Models of Policy Making
1. SYSTEM MODEL
David Easton's conceptualization of the policy-making process revolves around the
idea of the political system as a 'black box' that transforms societal demands into
policies. Inputs, such as social, economic, and political factors, enter the system as
demands and supports. Demands are claims made by individuals and groups to
change public policy, while supports consist of the rules, laws, and customs that
uphold the political community and its authorities.
At the core of the political system are institutions and actors responsible for
policymaking, including the chief executive, legislators, judges, and bureaucrats.
These actors translate inputs into outputs
3. The systems model views public policy as the output of this process, which is
continually originated, implemented, adjusted, and readjusted through feedback
loops. In essence, the policy-making process is cyclical, driven by feedback, inputs,
and outputs.
Drawbacks:
3. RATIONAL MODEL
Rational policy-making involves selecting the best option among alternatives based on
rational grounds, considering all relevant information and consequences. Thomas Dye
equates rationality with efficiency, where the chosen policy achieves positive values
exceeding sacrifices. However, achieving rational policy-making is challenging, requiring
comprehensive knowledge of societal preferences, policy alternatives, consequences, and
accurate cost-benefit analysis.
Drawbacks:
Constraints to Rational Policy-making:
1. Confusing Changes: Lindblom's ideas about decision-making shifted over time, which can
be confusing because he started by supporting one approach, then criticized it later.
2. Rejection of Gradual Change: Even though Lindblom used to like the idea of making small,
gradual changes, he later said it wasn't good enough and argued for big, dramatic changes
instead.
3. Big Criticism: Lindblom started to strongly criticize how things are done in business and
said we need to make big changes in many areas of policy, which is different from what he
used to say about how hard it is to make big changes.
4. Too Conservative: Some people think Lindblom's earlier idea of making small changes is
too cautious, especially when big problems need fixing.
5. Confusion in His Views: Lindblom's changing ideas make it hard to see a clear picture of
what he thinks about decision-making.
4. ELITE MODEL
Elite theory of the policy process is based on the proposition that power is concentrated in
the hands of a few elites. Policy-making, according to the elite theory, is a process which
works to the advantage of these elites. The theory holds that in the real world there are
those at the top with power and others at the bottom - the mass - without power y. In an
environment, which is characterised by apathy and information distortion, elites influence
mass opinion on policy issues more than masses influence elite opinion. In this framework
policy flows downward from the elite to the mass. Thus, public policy is viewed as “the
preferences and values of governing elite”. The theory has its origins in the work of Mosca
and Pareto. They argued that, contrary to Marx, elitism is inevitable and that classless
society is a myth.
Drawback:
1.Elite theory suggests that public policy primarily reflects the interests and values of
the elite, rather than those of the masses. This can result in policies that do not
adequately address the needs or preferences of the broader population.
2. Elite theory implies that the masses have limited influence in the policy-making
process, as decisions are often made by a small group of elites. This undermines the
principles of democratic participation and representation.
3. According to elite theory, elites manipulate mass opinion to serve their own
interests, leading to policies that may not align with the genuine needs or desires of
the population. This manipulation can lead to a disconnect between public policy
and the true interests of the masses.
4. Symbolic Role of Elections: Elite theory suggests that elections and political parties
play symbolic roles, rather than serving as mechanisms for genuine representation
and decision-making by the masses. This undermines the democratic process and
can perpetuate elite control over policy-making.
Drawbacks:
1. Public choice models are criticized for their low moral attractiveness, as they portray
public policy as merely serving the interests of special interest groups, leading to rent-
seeking behavior rather than promoting the common good.
2. Lack of Empirical Validation: A significant weakness of public choice models is the lack of
empirical evidence to support their basic assumptions.
POLICY MONITORING
Policy monitoring is the process of observing policy implementation progress and resource
utilization and anticipating deviations from expected policy outcomes. Thus, monitoring can
be defined as the process of inducing action for adherence to schedule. In order to be
gender-specific, the monitoring mechanism and its indicators should be designed so as to:
Identify differences between women and men in perceptions, attitudes, access to and
control over resources, economic opportunities, as well as in power and political influence;
and
Assess the impact of projects, programmes and policies on the perceived meaning of being a
man or a woman, on gender relations in the household, in the community, economy and
society.
Monitoring of policy means ensuring that policy programmes are completed on schedule
and within the budget. In policy monitoring the following six steps are identified:
ii) Allocation: Allocation means the application of resources to the policy delivery process.
iii) Implementation: Implementation refers to doing the technical work planned in policy
delivery
v) Evaluation: Evaluation is concerned with analysis of the cause of deviation from policy
delivery.
vi) Adjustment: Adjustment means taking corrective action to resolve any deviation which
may result from policy delivery .
APPROCHES:
1. Managerial Approach -Managerial approaches to monitoring have come to form the
dominant operational paradigm in the implementation of public policies. Some of
the managerial approaches include, CPM( critical path management) and PERT
(program evaluation review technique ) and Planning - Programming - Budgeting
System (PPBS). The aim of PERT and CPM is to control the execution of a
policy/programme by controlling the network of activities and events which
compose the stages of policy implementation.
Policy implementation is at the heart of policy management. To put it in simple terms, policy
implementation is the process of putting policy into action. John calls implementation as
"the stage in the policy process concerned with turning policy intentions into actions."
According to Van Meter and Van Horn, "Policy implementation encompasses activities of
the public and private individuals that are directed at the achievement of objectives set
forth in prior policy decisions."
Approaches:
1. TOP-DOWN APPROACHES: This approach was put forward by Pressman and
Wildavsky in 1973 in their book "Implementation". According to them,
implementation is clearly related to policy and policies normally contain both goals
and the means for achieving them. Effective implementation requires,to do the job.
Donald Van Meter and Carl Van Horn System Building_The two scholars of the
System Building Model advocate that policies should be classified in terms that will
throw light upon implementation difficulties. According to them, "implementation
will be most successful where only marginal change is required and goal consensus is
high." This model suggests six variables that are essential for effective
implementation of policies. This model was advocated by Bardach. According to
Bardach, implementation is a game of "bargaining, persuasion and manoeuvering
under conditions of uncertainty." Implementation from this angle is about self-
interested people who are playing games in power politics. Implementers play to win
as much control as possible and attempt to play so as to achieve their objectives.
Bardach's work presents a view that implementation is a political process and that
successful implementation from a 'top-down' perspective must involve a full 'follow-
through'.
2. BOTTOM-UP APPROACHES: bottom-up approach are of the view that the top-down
model lacks effective implementation. The Bottom-up model lays stress on
negotiation and consensus-building in policy delivery. The chief exponents of the
"Bottom-up' approach are Wetherly, Michael Lipsky and Elmore and the models put
forward by them are discussed in the following paragraphs.
In order to implement the policies in an effective way, Wetherly and Lipsky suggest
that the interaction of the bureaucrats (involved in policy implementation) with their
clients should be observed at a street level. According Lipsky, the behaviour of front-
line staff which executes the policies, whom he calls 'street level bureaucrats' has an
influential effect on implementation studies. The implication of this study was that
control over people was not the mechanism to effective implementation. The
decisions of the street-level bureaucrats, the routines they establish and the devices
they make use of to cope with uncertainties, effectively become public policies that
they can carry out. The idea of the backward mapping approach is to begin at the
phase when the policy reaches its end point, then analyze and organize policy from
the patterns of behaviour and conflict which exist.
POLICY EVALUTION
Policy evaluation has two aspects: i) the evaluation of the policy and its effects on
the target population (evaluating policy programme), and ii) the evaluation of the
personnel charged with implementation of the policy programme (evaluating
personnel).
Evaluation in public policy also involves through the appraisal, assessment or
performance of the people who work in the public sector, at both street level and at
policy or managerial levels. This is important because these are the people who play
a major role in framing the discourse of public sector management.
Mainly, there are four techniques for evaluation analysis.
1. Cost-benefit analysis;
2. Performance measurement technique;
3. Experimental evaluation; and
4. Quantitative and qualitative techniques.
Cost-Benefit Analysis
ii) whether or not its delivery of services is consistent with programme design
specification; and
iii) what resources are being or have been expended in the conduct of the
programme".
Experimental Evaluation
It is argued that policy experimentation offers the best opportunity to gauge the
impact of public policies. In undertaking impact evaluation at the post-
implementation phase, evaluation seeks to arrive at an estimate of the net and gross
effects of intervention. It is a comparative mode of inquiry that is comparing before
and after intervention. In this method, one could compare the impact of intervention
on one group or another .
Quantitative and Qualitative Techniques
CONSTRAINTS:
Evaluation, majorly, is a matter of comparing outcomes with desired policy goals and
objectives. Theoretically, these goals look fine and attractive, but when they are
translated to form a policy statement, a lot of confusion creeps in.
There is always the difficulty of measuring the extent to which these goals have
been achieved. In the public sector, measuring results is still more difficult. It is tough
to measure the performance of the public sector programmes in the absence of any
ready means of judging the performance. For example, although the short-term goal
of education is to improve reading. writing and learning, in the long run, the goal of
education is to improve the quality of life for those who receive it.
It is argued that statistics are not relevant and valid. The facts are often distorted, in
the study of public organisations. Even when the facts are neatly organised for
evaluation, the evaluators must be careful about the conclusions they draw. For
example, if we are to evaluate the effectiveness of a health programme on poorer
sections of the community, we may find it difficult to isolate the effects of that
health programme from those of a nutrition programme or those of an education
programme.
Data necessary to evaluate the policy programme may not be true or misleading.
The information gathered in the course of delivery of policy may highlight much
about the characteristics of the people actually receiving the benefit but little
regarding the target population. Programmes that have significant effects on the
population as a whole may not have the desired effects on the target population
Critical Observations
With more than twenty States/UTs adopting the Act, it is noted that there is a marked
improvement in response patterns besides fostering transparency in government
departments. Under the Right to Public Service, the citizen has to do all the foot work and
running around, of putting together he papers/documents, to be filed with the department.
A case study of pension disbursement in Chandigarh found that a major cause of
dissatisfaction is lack of knowledge. Designing instruments and other methods of control for
ensuring the accountability of administration to the political masters is an issue which has
drawn the attention of the administration reformers.
RTI (The Right to Information Act, 2005) broadly gives the right to citizens of India (except
for the people of Jammu & Kashmir) the right to seek information from any public agency or
institution on any matter which promotes transparency and accountability in its working. Its
main objective is to combat corruption and enable public institutions to work for people. It
also aims at creating an informed citizenry and to enable the citizen to exercise vigilance on
the functioning of government and its institutions.
The Act gives the citizens the right to seek information hild by any authority or body or
institution of self-government established or constituted by or under the Constitution; or by
any other law made by the Parliament or a state legislature.
Under the RTI, one has to simply make a request to the Public Information Officer (PIO) of
the office concerned, indicating the information sought and the address at which the
information is required.
Critical observation:
Lack of public awareness about RTI and its clauses whereby the people can ask for required
information from the public authorities;
Inadequate and poor quality of information provided by the public authorities to the
applicants;
At times there are constraints faced by the information seeker in inspection of records;
At times the public authorities fail to make information available in the stipulated timeframe
of 30 days;
The Public Information Officers at number of organisations don't have required skills;
LOKPAL :
The enactment of the Lokpal and Lokayuktas Act by the Indian Parliament in 2013 is a
landmark achievement in the history of India. It paves the way for establishment of the
institutions of Lokpal at the Central and Lokayuktas at the state levels. These institutions are
modelled on that of Ombudsman of Sweden. The main objective of this institution is to
inquire into allegations of corruption against public functionaries and authorities and into
matters connected therewith The following are the major features of this Act.
Appointment and Removal :The Act provides for the appointment of Chairperson and 8
Members of Lokpal (of which 50 percent shall be judicial members and another 50 percent
of members shall be from SC/ST/OBCs, minorities and women. Individuals with impeccable
integrity and outstanding ability having special knowledge and expertise of not less than 25
years in matter related to anti-corruption policy, public administration, vigilance, finance,
including insurance, banking, law and management are eligible to become members of
Lokpal.
A Selection Committee for Lokpal consists of the Prime Minister (PM), the Speaker of the
Lok Sabha, the Leader of the Opposition in the Lok Sabha, the Chief Justice of India or a
sitting Supreme Court judge (nominated by the CJI) and one eminent jurist. In order to
ensure impartiality, it is provided that the Chairperson and the members of Lokpal shall not
hold any office of profit and shall not be the members of Legislature or any political party,
and after the expiry of their term shall be ineligible for any appointment under the State.
Jurisdiction: The Lokpal's jurisdiction will cover public servants, including government
employees, judges, Ministers, current and former legislators and public sector employees
(funded by the Centre).
Power of Superintendence: The Lokpal is given the power of superintendence and direction
over any investigation agency, including The Central Bureau of Investigation (CBI) for cases
referred to them by the anti-corruption ombudsman (Lokpal).
Bar to Proceedings: The Lokpal institution lays down that no proceedings or decision of the
Lokpal shall be liable to be challenged, reviewed, quashed or called in question, in any court.
Critical Observations
It will thus not be dependent on government agencies (like the CBI) whose neutrality,
objectivity and fairness rightly or wrongly, may be questioned. It is also appropriate that the
Lokpal under the Act is not to entertain complaints alleging abuse of power or other wrong
doings in cases which are more than seven years old. Principles of Citizens' Charter
CITIZEN’S CHARTER
Thus, the basic thrust of the Citizens' Charter is to make public services citizen- centric by
ensuring that these services are demand-driven rather than supply- driven. A Citizens'
Charter is characterised by the following six principles (ARC 2009).
E- GOVERNANCE
E-governance deploys information and communication technologies (ICTs) to make governance
more effective, efficient and transparent. In a broader sense, ‘e-governance’ is all about reform in
governance facilitated by the creative use of ICTs.
E-Governance, facilitated by initiatives like the National eGovernance Plan
(NeGP) and Digital India, aims to improve citizen-administration interactions by
making government services accessible, efficient, transparent, and reliable. The
Ministry of Electronics and Information Technology (MeitY) oversees e-
governance efforts, promoting inclusive growth in IT and electronics industries
while ensuring cyber security. Digital India envisions transforming India into a
digitally empowered society, focusing on digital infrastructure, on-demand
governance services, and digital empowerment of citizens. MeitY spearheads
various policy initiatives and schemes like eKranti and common service centers
to achieve these goals, fostering a self-reliant knowledge economy.
Critical observation:
Given the demand of the software industry in India and abroad and the high salary levels they offer,
most of the competent personnel have been unwilling to opt for government jobs or that of the
outsourcing industry of e-governance. Therefore, there is insufficient number of qualified personnel
at both the technical and management levels to accelerate the process of e-governance strategies in
India. In addition, there are problems due to inadequacy of institutional infrastructures and
increasing turnover of personnel in e-governance programmes