Over the years, a variety of theoretical approaches have been developed by political scientists and policy analysts to assist their study and analysis of public policy. Although most of these approaches have not been developed specifically for the analysis of policy formation, they can readily be converted to that purpose.
It is important to note that the choice of any approach by a particular analyst depends on his or her inclination, ideological outlook and/or training. It may also depend on the nature of the policy under discussion or the level of analysis whether it is at the level of the state, national or international (Abdusalumi, 1988:3).
Equally worthy of note is that these approaches are useful in. and to the extent, that they direct our attention to important political phenomena. help clarify and simplify our thinking, and suggest possible explanations for public policy. What follows is a discussion of some of the approaches.
Institution Model
Perhaps the oldest approach to the study of public policy, the institutional approach, focuses upon the formal institutions of government (e.g. legislature, executive, court, political parties, bureaus, departments et cetera), describing their structures, organization, duties and expected functions, with little attention paid to the institutional characteristics of governmental policies (Abdusalami, 1998:3); as well as the linkages among these institutions.
Also the behavioural connections between a department and the public policy emanating from it are of scant concern. Yet, the fact remains that an institution is a regularized pattern of human behaviour that persist over time (some people mistakenly equate institutions with the physical structures in which they exist).
It is their differing sets of behavioural patterns that really distinguish courts from legislatures, from administrative agencies, and so on. These regularized pattern of behaviour which we often call rules, structures and the like, can affect decision-making and the content of public policy (Anderson, 1975)
In summary, the institutional approach conceives public policy as often initiated, formed, decided and implemented by government institutions. Therefore, an understanding of how these institutions work is necessary before the public policy making process can be fully analyzed. With the evolution and onrush of the “behavioural revolution” in political science, institutional studies of the policy process became unpopular among scholars who preferred the group, systems, and elite/mass models, in about that order of emphasis (Henry, 1995 :296).
The Elite Model
The elite model regards public policy as the values and preferences of a governing elite. In other words, public policy is the product of the elites, reflecting their values and serving their ends, one of which may be a desire to provide for the welfare of the masses. As Henry (1995:295) succinctly puts it; the elite/mass model contends that a policy making/policy executing elite is able to act in an environment characterized by apathy and information distortion and thereby governs a largely passive mass. Policy flows downward from the elite to the mass. Society is divided according to those who have power and those who do not. Elites share common values that differentiate them from the mass, and prevailing public policies reflect elite values, which may be summed up as: Preserve the status quo.
Using this approach, public policy analysis is largely an exercise primarily aimed at identifying which elite group(s) is or are benefiting from a particular public policy. A major defect of the elite theory is that it assumes the existence of a highly structured and stratified society, and by implication, elite values and identity. But as Abdulsalami (1998:4) rightly points out “In structurally diffused or “undefracted” societies, elite formation and, therefore, elite values and identity, are relatively undeveloped”. In the particular case of Nigeria, ethnic and religious values rather than elite interests often influence elite preference, when certain policy issues are under consideration (Abdulsalami, 1998:4). There have been instances when the elite identified more with the aspirations of the masses of their ethnic areas or religious groupings than with the aspirations of their fellow elite
The Group Model
According to this model, public policy is the product of group struggle. This approach posits that individuals are important only when they act as a part of or on behalf of group interests (Dye, 1981:5). It conceives society as a mosaic of numerous interest groups, with cross-cutting membership. A group is made up of individuals that may, on the basis of shared attitudes or interests, make claims upon other groups in society. The group approach sees interaction and struggle among groups as the central fact of political life. The policy makers act as referees, arranging a compromise among competing interests. The group approach contends that public policy usually reflect the interests of dominant group(s). As groups gain and lose power and influence, public policy will be altered in favour of the interests of gaining influence against the interest of those loosing influence.
The group approach has been criticized for overstating importance of groups and for neglecting or understating 11 independent and creative roles that public officials play in policy process. Critics contend that many groups have generated by public policy, and that public officials may acquire stake in particular programs or policies and as a result act as I interest group in support of their continuance.
Political Systems Theory or Model
The political system theory is most closely associated with the work of David Easton (1953). According to this model, public policy is the response of the political system to demands arising from its environment. The political system as defined by E composed of those identifiable and interrelated institutions a activities in a society that make authoritative decisions allocation of values) that are binding on society. The environment consists of all those socio-cultural, economic, and political Conditions or factors within and outside the boundaries of the political system which shape the political process, and whose activities are influenced by the political system.
The political system receives inputs from the environment. Inputs consist of demands and supports. Demands are the claims made by individuals and groups on the political system for action to satisfy their interests. Support is rendered when groups and individuals abide by the rules or laws of the country, pay their taxes, and accept the decisions and actions of the authoritative political system made in response to demands. These authoritative allocations of values constitute public policy. The concept of feedback indicates that the political system receives information about the policy outcomes.
The political systems theory has certain limitations. First, it does not explain the origin of public policies, nor is it concerned with how decisions are made and policies developed within the political system. Again, it is not concerned with evaluation of past and present policies. Nonetheless, systems theory is a useful aid in organizing our inquiry into policy formation. Systems theory draws our attention to the influence of environmental inputs on the content of public policy.
Class Theory or Model
The class theory is most closely associated with the work of Marx and Engels (1971:35). The main proposition of the class theory is that public policies in a capitalist society reflect the values and interests of the dominant and ruling class. It states that capitalist societies are characterized by the presence of classes that have opposing values and interests. According to Lenin (Quoted in Afanasyer, 1980):
….Classes are large groups of people differing from each other by the place they occupy in a historically determined system of social production, by their relation (in most cases fixed and formulated in law) to the means of production, by their role in social organizations of labour, and consequently, by the dimensions of the share of social wealth of which they dispose and the mode of acquiring it.
The class theory argues that the mode of production and distribution in every society defines the character of the society. Thus, the class to which an individual belongs could be identified on the basis of his role in the social organization of labour, and his position to the means of production. Two broad classes have been identified by the class theory - the bourgeoisie and the proletariat. The bourgeoisie are the owners of the means of production, while the proletariat is the working class, whose labour is often exploited by the bourgeoisie. According to the class theory, conflict between these two classes is inherent in the capitalist society. According to Marx (Quoted in Afanasyer, 1980:239), “the history of class struggle - freemen and slave, patrician and plebeian, lord and serf, guild master and journey men, in a word, oppressor and oppressed, stood in constant opposition to one another”. These conflicts often arise due to resistance of the proletariat to exploitation by the bourgeoisie.
The class theory argues that the bourgeoisie due to their economic power also control political power and use it to protect their socio-economic interests. This is often reflected in the type of policies they make. Thus, public policies often reflect the interests of the bourgeoisie. On the other hand, the proletariats attempt to influence public policies to their advantage through industrial conflict, such as strikes, work to rule, etcetera.
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