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Topic 2:

Theoretical Perspective of Policy

ADS514: Introduction to Public Policy, FSPPP, UiTM

Theoretical Perspective of Public

Policy Making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Content:
• Policy Making / Decision Making Theories
1. Elite Theory
2. Group Theory
3. Political System Theory
4. Neo-Institutional Theory
5. Rational-Choice Theory
6. Incremental Theory
• Differences and similarities between the theories
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Lesson Outcome
At the end of this topic, students should be able to:

1. Describes policy-making and decision-making process,

policy implementation, and policy change according to
theories
2. Identify the difference theories of policy-making and
decision-making, their strengths and weaknessess
3. Know the agencies, actors, and their roles in policy-
making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

References
• Hogwood B.W & Gunn, L.A. (1984): Chapter 4
• Cochran, C. L. & Malone, E. F. (2005)
• Aderson, J. E. (2011)
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Introduction
• Political & Social Science Scholars developed many
theories / models to describe policy-making /
decision-making.
• These theories explained the reality of policy-making in a
simplified and generalize form by making assumptions
and hypothesis.
• Thus, a theory has its own strengths and weaknesses in
explaining the reality of policy decision making of a state
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Elite Theory / Pluralist Model

This theory describes

policy making in the
context of US pluralist
society.
(society is grouped base
on socio-economic
stratification)
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Basic assumption of Elite Theory

Society comprises of 3 main groups:
Elite Masses Administrators
Small group that belong to Powerless group in a They implement
the upper class  of society society, policy
 They composed of people Largest group in the
with wealth, intelligence, and society.
skills. They are passive,
 They have political power. apathetic, ill-informed,
They make policy  They have no power
They have their own values and easily manipulated.
which is different from the They follow and obey
massess decision made by the
elites
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Policy making process / procedures

according to Elite theory
The Elites make policy decision as follows:
• By making small changes to the earlier decisions/policy. Why?
Constraints of resources, expertise & time.
 By shaping massess opinion. How? and why?
(refer basic assumption)
 by making decision base on their preferences, priorities,
values  (nilai)  and interests towards some problem instead of
the massess. Why?
(refer basic assumption)
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Strengths and weakness of

Elite theory in explaining policy making

• Theory clearly describe who policy maker are and how they
make decision, but not explaining policy making of the new
policy
• Public policy not reflective of public demand, but rather a
product of the elites values
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Reflection – class activity 1

• Who make policy according to Elite theory? why? &
How?
• Compared to reality and in the context of Malaysia,
states two strengths and weaknesses of Elite theory
in explaining policy making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Group Theory (Equilibrium Model)

Similar to elite
theory, this
theory also
describes policy
making in the
context of US
pluralist society
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Basic assumption of Group Theory:

The theory assumed there are many groups in the society known as interest
groups that fights to preserved their interest:

• Each group comprises of individuals who shared same interest and attitude
• Group make claims upon other groups to preserve / fights to improve its
interest (public problem of its concern).
• Fights among groups causes inequiliubrium in the society
• Government resolve this inequiliumbrium by making policy decision
• The administrator (executive) implement this policy decision.
• The judiciary makes sure this policy decision is implemented according to
rules / procedures made by the legislative.
• This policy decision is actually a public policy
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Policy making process according to Group Theory

• Groups influences government decision makers to shape

decisions that would protect / preserved interest of the group.
• Some groups able to influence decision makers more; some
able to influence less and some are not able to influence at
all. This process of influencing is known as group struggle.
• Group struggle causes inequilibrium in a society
• Government will act as a referee toward group struggle by
making decisions that could accomodate interest of all group.
• The decision amde will resolve conflict / struggle between
group. The decision is known as policy decision
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Strengths and weakness of

Group Theory in explaining policy-making
 The theory not clearly described how government reacted
towards group struggle and make policy decision.
 How groups influence decision makers also not clearly
described
 The theory assumed members of society are represented by
their own group. However, in reality many people in the
society are not represented / poorly represented.
 Group is not the only influencing factor in policy making as
the theory assumed. Other factors such as idea and the
institution also influence policy decision-making significantly.
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Reflection – class activity 2

• Who make policy according to group theory? why? &
How?
• Compared to reality and in the context of Malaysia,
states two strengths and weaknesses of group theory
in explaining policy-making
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ADS514: Introduction to
Public Policy, FSPPP,

Political System Theory

UiTM

This theory assumed public policy is the output /

outcome from political system responses to the
demand arising from its environment
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Basic assumption of System Theory

No Assumptions
Elements Explanations
1 Input come from the environment , comprises of demand /
support (example: when people pay tax, obey
regulations/decisions made by government)
2 Political system government institutions and political process
(black box)
3 Output decisions / laws / rules) = policy

4 Environment anything outside political system that influence input and

output. Example: changes in IT, social, demography,
economy)

5 Feedback public responses towards output

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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Policy making process according to System Theory

• Policy is formulated within the political system (black box) but

no description given on how political system makes decision

• Policy making is influence by political system responses to its

environmet (refer diagram – Easton)
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Strengths and weaknesses of

System theory in explaining policy making

• The theory suggest policy decision is made by the

political system, but its roles and functions is not clearly
described
• The theory not focusing on the process and procedure of
making policy, rather on factors that influence policy
making / policy decision-making.
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Reflection – class activity 3

• Who make policy according to system theory? why?
& How?
• Compared to reality and in the context of Malaysia,
states two strengths and weaknesses of system
theory in explaining policy-making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Neo-Institutional Theory
• Neo Institutional Theory describes policy making by focussing on
the behavior of the decision / policy maker within governmental
or political institutions

• BASIC ASSUMPTION of Policy making decision

The theory assumed institutions induces behavior of policy
actors as an individual person in making policy decision in
an attempt to maximize their own personal interest
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

The theory focusses on four elements in describing policy / decision making:

Elements Description
Institution government / political instituions: executive, legislative &
judiciary

Actors people in the institutions (official actor), and outside

institutions (unofficial actor)

Behavior behavior of actor within institution

System interconnection between institutions, rules and regulations

(system and values)
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Policy-making process according to Neo-Institutional Theory :

• Actors makes decision within the political institutions,

• In making policy decisions, actors interacts within institution,
system and procedures to achieve political and policy goals
• Official actor makes decision (policy) because they are given
responsibilities and power to do so (by rules/procedures)
• Unofficial actor participated in decision (policy) making
process because they have rights to do so / to protect /
promote their interest. Who are they? Media, Think Tanks
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Strengths and weakness of Neo-Institutional

Theory in explaining policy-making
• Roles and functions / influence of political
parties, various groups in a society, and public
opinions not fully explained
• Policy-making process not clearly described
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Reflection – class activity 4

• Who make policy according to Neo-Institutional
theory? why? & How?
• Compared to reality and in the context of
Malaysia, states two strengths and weaknesses of
Neo-Institutional theory in explaining policy-
making
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ADS514: Introduction to
Public Policy, FSPPP,

Rational Decision Making Theory

UiTM

Many scholars explains rational decisions making:

• Herbert Simon (1881 -1948: public choice theory).
• Charles Lindblom (1959: Ratonal Comprehensive Model).

 The theory describes collective decisions-making.

 This decision is made by groups of individuals through

political process to maximize own self-interest (individual
interest) and to achieve ‘maximum social gain’
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Basic assumption of Rational Theory:

 This theory apply economic argument in explaining political
behavior of policy maker (known as political actor).
Decision of political actor is regarded (assumed) as rational
decision. This decision is known as public policy.
 Purpose of making decision is to maximized preferences as
political actor (to maximize voting support)
 This theory assumed individual values is primary in making
decision, instead of groups, organizations and societies
values
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Policy-making process according to Rational Theory

Rational decision making involve five sequencial stages of activities:

1. Political actor define and pick one from many public problem to solve
2. Political actor gather all facts (information) then listed and ranked all
alternatives according to priorities to solve problem (all information
required to list and rank is assume available)
3. Political actor analyzes alternative - determine all consequences such as
cost, benefits, advantages and disadvantages resulting from each of the
alternative
4. Political actor compares accuracy / efficiency of each of the consequences
determined with alternative
5. Political actor chooses (decides) the alternative and its consequences that
would maximized goal / objective based on his/her self interest (own value)
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Strengths and weakness of Rational Choice theory

in explaining policy-making
• Theory clearly explain decision making process
• Assumptions of making decision are rigid and narrow from reality
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Reflection – class activity 5

• Who make policy according to Rational Choice theory?
Why? & How?
• Compared to reality and in the context of Malaysia,
states two strengths and weaknesses of Rational Choice
theory in explaining policy-making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Incremental Theory

Policy is made by making small modification to

the existing / previous policy. The modification
made is known as policy
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Basic assumption of Incremental Theory:

• Existence of plularist society
• Policy is made by policy maker (the administrators /
legislators).
• Policy maker makes decision to achieve policy goal /
objective
• Policy is made through a ‘muddling through ‘
decision-making process.
• Policy making is a continous improvement process
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Policy making process according to Incremental Theory

• Policy is made by modifying existing / previous policy

through a muddling through decision-making process. i.e.
• decision maker revise previous policy and make new decision
by making small modification to the existing policy.
• Why?
o Constraints of time, expertise, cost, information
o Political constraints - policy decision must ensure stability
and continuity of government
o To achieve political goal (policy objective vs political goal)
• The muddling process is done continiously
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

The muddling through process?

o without considering / knowing alternative, their effects

and without knowing society’s goal.
o Administrator who acted as the third party applying a
‘give and take’ approach and have ‘mutual
understanding’ with the politician and the various groups
in the society (muddling through) before making changes
o Administrator accomodating the various groups needs in
the society & politician interest / demand
o Purpose of making decision through muddling through is
to achieve policy goals and objectives
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Strengths and weakness of

Incremental Theory in explaining policy-making
 Decision making is clearly explained i. e. through a muddling
through process.
 Indicates that policy making is a remedial and serial proces
• Indicates a conservative policy making – good - if government
wants to maintain status qou. Not good if government wants
to introduce major changes/innovation
• Policy is formulated by administrators by ‘playing give and
take’ game is not reflective of the general practice of policy-
making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Reflection – class activity 6

• Who make policy according to Incremental theory, How,
and Why?
• Compared to reality and in the context of Malaysia,
states two strengths and weaknesses of Incremental
theory in explaining policy making
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ADS514: Introduction to
Public Policy, FSPPP,
UiTM

Differences Between Theories

Reflection / Formative Test: Refer the six theories, states the
differences between them in the following aspects of policy
decision making:
• Who make policy?
• What / Which policy making agencies / institutions involved
in making policy
• How to make policy decision?
• What factors influence policy-making process / decision /
policy maker in making decision
• What are the advantages and disadvantages of the theories
in explaining public policy-making
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ADS514: Introduction to
Public Policy, FSPPP,

The end
UiTM

Thank you