Bureaucracy's Role in Shaping Public Policy Formulation

Introduction

Various definitions have been offered in attempts to describe public policy, and no universal definition has yet been assigned to the concept. To a large extent, however, public policy can be understood as the course of action taken by the government regarding an issue or problem under consideration that has an impact on public good and wellbeing. Public policy can thus be thought of in terms of local ordinances, executive decisions, regulations, and government laws. The policy formulation phase is particularly significant, as it revolves around deliberations on how to address concerns placed on the agenda. Despite its importance, the role that bureaucrats play in policy formulation has not been thoroughly investigated. This paper examines the influence of bureaucrats on public policy formulation.

Bureaucracy and Policy Formulation: An Overview

Although distinct in their own right, policy implementation and policy formulation are interrelated. Both are means to the same end and both seek input from diverse stakeholders within and outside government. Key stakeholders include, but are not limited to, the legislature and the administrative arm of government. Traditionally, many have held the erroneous assumption that policy is laid down by the legislature with zero involvement from the administrative arm of government. Even in those instances where administrators are involved in policy formulation, theoretical constructs have tended to view them as neutral participants — civil servants whose service is offered not to the party in power, but to the government as an institution. This paper demonstrates otherwise. Bureaucrats are actively involved in giving substance and form to public policies, and their influence in policy formulation is likely to continue growing.

As Schnose (2015) points out, comparative politics scholars have traditionally assumed that the most crucial participants in translating citizens' preferences into policy outcomes are political parties. However, as the author notes, "the crucial but often forgotten link between preferences, parties, and outcomes is the bureaucracy" (Schnose, 2015, p. 73). The general perspective has long been that bureaucratic influence is felt only in policy implementation — and indeed this has been the focus of much prior research. Studying bureaucratic influence in the realm of policy formulation is important precisely because the political process tends to be treated as separate and distinctive from bureaucracy.

According to Barrilleaux, Reenock, and Souva (2017), the policy formulation process is not linear. It is influenced by a wide range of stakeholders and unfolds incrementally. While policy formulation has traditionally been deemed the preserve of the legislature, further research into its dynamics reveals this to be an erroneous assumption. Because the setting of the policy agenda and the assessment of policy concerns are both crucial aspects of policy formulation, bureaucracy must — almost by default — be engaged to inform meaningful and effective policy articulation. This view is shared by Vasely (2020), who argues that the insight of civil servants is crucial owing to their exposure and experience in public service, effectively providing the orientation needed with respect to relevant processes and structures.

The Role of Top-Level and Mid-Level Bureaucrats

The involvement of bureaucrats spans the full hierarchy of government. Both top-level and mid-level bureaucrats are actively involved in policy formulation. Regarding the former, Peters, Capano, Howlett, Mukherjee, Chou, and Revinet (2018) observe that the policy process draws the attention and involvement of those in the upper levels of bureaucratic structures. At this level, officials serve as a crucial connection between political appointees and those in the lower levels of the bureaucratic setup. Their main influence, however, lies in their substantive input. As Peters et al. (2018) note, "top echelons of bureaucracy have to also go into the political expediency of the proposed policy, and the viability of proposals in terms of economic conditions" (p. 112). They are also best placed to determine whether a proposed policy is administratively practicable and whether sufficient resources exist to advance it.

It is therefore accurate to say that while political appointees — those occupying ministerial offices — play an important role in advancing the political interests of the government of the day, senior bureaucrats lend expertise regarding the practicability and viability of proposals. As for mid-level bureaucrats, they are actively involved in a wide range of activities relevant to policy formulation, including the compilation of white papers, drafting of amendments to existing legislation, and drafting of bills (Moran, Rein, and Goodwin, 2008). They also play a crucial advisory role to their seniors, particularly regarding the viability of proposed policies at the micro level. Furthermore, as Moran, Rein, and Goodwin (2008) note, mid-rank officials play an important innovation role — when necessary, they "suggest alternative strategies that need to be followed" (p. 302).

Conclusion

Governments have certain key obligations to the electorate, including the advancement of social justice and human welfare, economic stabilization, protection from external aggression, promotion of law and order, and the provision of public goods and services. These objectives cannot be accomplished without the formulation and implementation of coherent public policies. The legislature and the executive both play significant roles in this regard. However, past scholarship has tended to spotlight only the legislature's role in public policy formulation. This paper demonstrates that the relevance of bureaucrats cannot be overstated in this context.

The judiciary, the third branch of government, is primarily involved in policy review — particularly in cases where constitutional norms appear to have been breached. Bureaucrats, by contrast, contribute directly to the formulation stage. Owing to their knowledge and experience in public administration, they are indispensable in policy formulation efforts. They possess unique knowledge of diverse aspects of government that allows them to distinguish effectively between what is feasible and what is not. They can offer crucial insights and initiate improvements that further refine proposed policies. In the final analysis, bureaucracy does indeed have a significant influence on policy formulation.

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