Policy Studies the Study of Public Policy

Policy Studies

The study of public policy gained significant importance in the late fifties and sixties. However, policy science did not come into existence all of a sudden. It started to emerge when social scientists started researches on a wide range of sociopolitical problems. After the World War II, significant developments were made in the areas of operations research, economics and social psychology. These developments proved to be helpful in formulating new ways for more systematic and empirical investigations of policy making. Although, a considerable level of research was done in the areas of sociopolitical studies but the clear concept of a policy science was first introduced in 1951 by Harold Lasswell. "Lasswell's seminal work identified six basic characteristics of an emerging field of study, concerned with explaining policy making and policy executing process. (McCool)

The study of public policy gained momentum in the late 1960s. With the introduction of the Great Society program by Johnson, the need for developing an understanding of expanded government activity originated. Another factor that led to the evolution of policy studies and processes was the proliferation of government programs in the 1960s and 70s. As the government became increasingly interested in resolving various social problems, policy makers were forced to seek assistance to find solutions to these problems. Search for solutions to various social problems led to several researches in the areas of social sciences. However, it is interesting to note that the academic work done in the areas of social sciences was incompatible for practical implementation of policy studies. Research and teaching done in this area have generally been considered as inapplicable to the real social problems. Because of the inability of the academic researches in social sciences to contribute towards the development of applied policy research, the demand for improved policy analysis increased.

Policy Science and Policy analysis defined:

Policy researchers presented several definitions to describe the concept of policy science and policy analysis. Some of these definitions are presented below:

Policy Science:

The application of knowledge and rationality to perceived social problems" (McCool)

Systematic and empirical studies of how policies are made and put into effect..." (McCool)

Policy Analysis:

is a form of applied research carried out to acquire a deeper understanding of socio-technical issues and to bring about better solutions." (McCool) is principally concerned with describing and investigating how and why particular policies are proposed, adopted and implemented. It focuses on explanation rather than prescription, on searching scientifically for the causes and consequences of policy, and on general explanatory propositions. (McCool)

From the above-mentioned definitions, it becomes clear that the concept of policy science or policy analysis refers to the process of investigating some form of government problem or output. Researchers have noted that various scholars have used the term policy in several different ways in order to enforce a particular implication on a specific term.

Basic guidelines or principles to understand policy processes:

There are several guidelines or principles to help us describe the concept of policy and policy process. Among these several guidelines, a few are discussed here:

Policy Theory:

With the rise in policy researches, several improvements were being observed in theory, methodology and research design of policy studies. Development in the areas of policy studies introduced a new era of policy analysis and evaluation of alternatives. Scholars called for an improvement in governance through policy research. According to them, the study of policy matter would enhance government's understanding of policy processes and outcomes. This would enable the policy makers to assess past and present policies in a more unprejudiced manner and would guide them to devise policies in the most effective way.

As discussed before, a number of scholars argued that the academic work done in the areas of social sciences was inappropriate for policy studies. In the same context, Yehzkel Dror argued in his work Design for Policy Sciences (1971) that the existing scientific paradigms were totally inadequate for policy research and proposed a policy science paradigm. (Mc Cool) At the same time, Lasswell published his work and presented the concept of policy science in a more refined manner.

A considerable level of work was done on the subject by the end of 1970s. Numerous researches were available on the issue along with innumerable case studies and conceptual work. Soon policy science emerged as a new discipline, which was not just a modification of disciplinary approaches but was an elementary change in viewpoint, approaches, procedures and attitudes. Policy analysis is different from earlier behavioral studies as it is primarily interested in developing conclusions based on standards and giving prescriptions along with concrete pragmatic effort.

Policy analysis soon became an important tool in government's decision-making process. It helped the government in defining the reasons for failure of several programs and in proposing methods for improvements. In the meantime, the authenticity of policy analysis was questioned. Although, significant developments were made in the last few years but some discrepancies were found in the literature of early periods. Policy literature developed in the sixties and seventies was either too explanatory and entirely academic or too technical having an over emphasis on empirical methodology.

In the recent years, a considerable progress has been made in developing new methods and theories for public policy analysis. However, it should be noted that this progress is still not a significant accomplishment as there still is a noticeable lack of harmony in several aspects of public policy analysis. In order to bring improvements in the policy theory, it is important to recognize the particular challenges of building theories that can include such distinct phenomena. Many theorists recognize the unique challenges faced by the researchers in developing theories. According to McRae:

In the face of these problems - the risk of politicization, the multiplicity of methods and the weakness of evidence - we require special safeguards to maintain common concerns and common standards in the development of policy models within technical communities." (McCool)

The above-mentioned opinion of theory and model building in policy analysis is somewhat an optimistic version. There are some scholars who are less confident about the issue as mentioned below:

The new public policy is an intellectual jungle swallowing up with unbound voracity almost anything, but which it cannot give disciplined - by which I mean theoretically enlightened - attention." (McCool)

It is obvious that there is no best theoretical explanation to define policy analysis. According to researchers, there is no single best way because an increasingly diverse nature of the policy problems calls for the adoption of a variety of approaches. Hence, it can be argued that policy studies in fact does not have a single theory that may best define it. However, there is a multitude of theories to define policy analysis. According to Mazmanian and Sabatier:

Today researchers are faced with an embarrassment of riches; they must choose which theoretical perspective to adopt and specific hypothesis to test." (Mc Cool)

One of the reasons, for which it is not possible to develop a single universal theory of policy, is the extremely diverse nature of the subject. It is not possible to explain numerous variables and extremely complex relationships through a single theoretical approach. Another reason is that by defining a single theoretical approach to policy sciences, policy theorists will develop a tendency to segregate themselves in a single academic or substantive specialty.

As far as the matter of defining the concept of public policy is concerned, there are numerous definitions, which are theoretically distinct from each other. For instance, Lasswell defined policy as "the most important choices." On the other hand, Austin Raney, another contributor to policy studies in the early times, has defined policy in a rather complex manner. (McCool)

Policy Domains:

From the above discussion it becomes evident that policy analysis is primarily the use of rationale and facts to make the best policy choice. Before choosing a specific policy alternative, one should consider the facts and explore the origin of those facts if possible. The use of reasoning and facts is the basic characteristics of all applied sciences. While analyzing a policy choice, policy makers often have to draw conclusions from other sciences. For instance, if the consequences of a policy alternative depend on technology, their assessment can involve applied natural sciences. While considering policy alternatives in this context, a policy maker will have to conduct a technology assessment. On the other hand, if a certain policy alternative is expected to influence human relations, its assessment can involve applied social sciences.

The process of policy analysis not only involves the consideration of various disciplines of science but it also entails behavioral, ethical, and philosophical considerations. Non-scientific knowledge is also vital for effective policy making because in most of the cases, science is little helpful in defining a solution to a real problem as compared to non-scientific knowledge. The process of policy making involves judgment of what variables to consider and which variables to neglect. Moreover, in order to measure the affect and consequences of a certain policy alternative reasoning is used as a tool. For developing consistent policies, it is also important to relate them to general principles of evaluation. In order to develop policies with maximum possible output, tradeoffs between conflicting aspects have to be made. Such tradeoffs can often be made by means of a cost-benefit analysis.

The knowledge pertaining to policy analysis is primarily drawn from the social sciences. However, the knowledge necessary for effective policy analysis is not derived from any particular discipline of social science. It draws its problems from the realm of actions, rather than the questions asked by particular disciplines. (Duncan) This is the reason that the process of policy analysis involves various disciplines rather than a single logical subject. The disciplines considered while conducting a policy analysis might include economics, political science, philosophy, statistics and various other fields of study.

Policy environments:

Environment is one of the factors to be considered by the policy researchers, while conducting a policy analysis. Environments influence the policy process to a certain extent. It is therefore important for policy makers to view the policy process in terms of interrelated environments influencing the policy process. Considering the environmental factors minimizes the tendency considering the policy process as a unidirectional trend. In addition to this, considering the policy environments can help in identifying a wide range of different players who may try to manipulate the policy process.

The policy process can be viewed in terms of three interrelated functional environments including policy formation, policy implementation and finally policy evaluation. In the first environment i.e. policy formation, key players include legitimate policy makers such as the President, Congress, Governors etc. And some other non-governmental players who are capable of exercising their influence on policy makers. In such an environment, a policy can be a result of the interest of an influential governmental or non-governmental actor or a public concern and pressure. Traditionally, policies are formed in environments where a government legitimizes a decision. However, policies can be devised in other environments as well.

As far as the matter of policy implementation is concerned, the environment pertaining to it is different from that of policy formulation. The players of this environment differ depending on the nature of the policy under consideration. Even though, the directives of the policy makers dictate the players in the policy implementation environment, the policy process is also influenced by the opinions of the players in the second environment. Hence implementation of the policy depends on the constitution and interaction of the players as well as on the conditions of the environment.

Finally, the evaluation of policy might include players from policy formulation environment as well as from policy implementation. There is also a possibility of including some other players, who have no previous connection with the policy process but this might be done primarily to change the facts relating to the outcome of the policies.

Policy Linkages:

As discussed before, different policy environments are interrelated to each other and the participants or players of one environment can also perform in another environment. It is therefore observed that communication and compliance linkages are formed between the players of different environments, which helps in tying the policy system together. In a policy system, it is important to form a consistent communication linkage in order to ensure an implementation of policy. As pointed out by researchers, the primary concern for effective implementation is that those who are responsible for the execution of a certain decision must know what they are expected to do. Hence, orders received by the executor must be comprehensible and precise.