Policy and Policy Making:
Dr Julie
Prowse/Ms
Jane
Montague
1 7th November 2023
Aims of the session
• What is policy?
• Definitions of policy
• Characteristics of policy
• Relationship between policy and strategy
• Conceptual policy models
• Different models of policy
• Features of strong policy making
2 7th November 2023
Policy
• How would you define
the term ‘policy’?
• What key features
distinguish something
as a policy?
• What types of policy do
you have daily
experience of ?
3 7th November 2023
What is policy?
‘Policy is rather like
the elephant – you
recognize it when you
see it but cannot easily
define it’,
(Hill, 2009, p.15).
(see 2nd ed 2013)
4 7th November 2023
Definitions of Policy
• ‘
• “Policy making is the process by which governments
translate their political vision in to programmes and
actions to deliver ‘outcomes’ – desired changes in the
real world.” Source: Cabinet Office, 1999, p15
• A policy is a position taken on an issue by an
organisation or individual; in a position of authority.
More specifically, it might refer to a statement, a
decision, a document, or a programme of action.
•
Source Baggott, R. (2007:2). Understanding Health policy. University of Bristol. Policy Press
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Different Types of Policy
• In government, policy is the product of a legislature
that delineates the goals, objectives and priorities of
the state.
• In business, the terms policy is used to define a
company's principal goals and objectives and to
describe the company operational domain.
Source: Davies, W. (2000). Understanding Strategy. Strategy and Leadership. May: 25-30
6 7th November 2023
UK Policy making: success or failure?
7 7th November 2023
What are the factors that influence
Policy?
Source. World
• Situational factors – transient changing Health
and which depended on local conditions Organisation
or circumstances (2000).
Understanding
• Structural factors relatively stable Health Policy
elements of society and its political Processes.WHO
system
• Cultural factors and various value systems
evident in a community
• Environmental factors that are events,
structures and values that are outside the
boundaries of policy decision making but
which influence decisions
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Characteristics of policy
• Policy is an attempt to define, shape and steer orderly
courses of action, not least in situations of complexity
and uncertainty.
• Policy involves the specification and prioritisation of ends
and means, and the relationships between competing
ends and means.
• Policy is best regarded as a process, and as such it is
ongoing and open ended.
• The policy process is, by definition, an organisational
practice.
• The policy process is embedded in and is not distinct
from other aspects of organisational life.
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Characteristics of policy
• Policy appeals to, and is intended to foster, organisational
trust – that is, external trust of organisations, and trust
within organisations – based upon knowledge claims and
expertise.
• Policy appeals to, and is intended to foster, organisational
trust based on legitimate authority.
• Policy is about absences as well as presences, about what is
said, as much as what is not said.
• Policy may be implicit as well as explicit.
• Source: Jenkins, R. (2002). The Meaning of Policy/policy meaning. In Hodgson, S. and Irving, Z
(eds) Policy reconsidered: Meaning , Politics and Practices. Bristol Policy Press
10 8th November 2023
Fast or Slow
policy?
Examples?
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The Relationship Between Strategy
and Policy
12 7th November 2023
Causality in the PSR Troika
Source: Davies, W. (2000). Understanding Strategy. Strategy and Leadership. May: 25-30
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The Relationship Between Strategy and Policy
• Strategy is the overall process of deciding where we want to get to and
how we are going to get there.
• Strategic direction describes the desired future and sets out what needs
to be achieved in order to bring it about. It provides the guiding
principles that give context and coherence to action.
• Policy provides the means of moving in that direction - and often a
number of policies need to work together to deliver particular strategic
outcomes. Policy design work is concerned with identifying how to
achieve strategic objectives, selecting the most suitable policy
instruments for doing this, and detailing how these instruments will
work in practice.
Source: Cabinet Office (2004).Strategy Survival Guide. London Cabinet office
14 7th November 2023
Strategy Survival Guide
Source: Cabinet Office (2004).Strategy Survival Guide. London Cabinet office
15 7th November 2023
The relationship between Strategy and Policy
Source: Bochel, H. and Duncan, S. (2007). Making Policy in Theory and Practice. Palgrave.
Strategy Big Picture
Policy Formulation Intentions
Policy Delivery Actions
Effects Consequences
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17 7th November 2023
Conceptual Policy Frameworks
18 7th November 2023
Conceptual Policy Frameworks
Rational, hierarchical process ( Rationality/bounded rationality )-Simon
Muddling through ( stagiest approach ) – Lindblom
Managerialism approach ( New Public Management )
Top-down model – implementation
Bottom up – implementation
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Bounded Rationality Model Source: Simon, H. A. (1979) Models of Thought Yale University Press.
Starts with a problem and works through to a solution in a
rational and linear way.
Even in complex environments rational decision making is
possible
Identify goals- list alternative strategies- assess consequences-
choose strategy to achieve goals.
What examples can you think of?
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Steps in the Rational Approach
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©2013 Cengage Learning. All Rights Reserved. May not be scanned, copied or duplicated, or posted to a publicly accessible website, in whole or in part.
Incremental (muddling through)
By necessity decisions are made in an
incremental manner; there is limited
analysis of options
Decisions emerge not by rational analysis
but by muddling through and mutual
adjustment.
Policies make sense at a particular point
in time and are adapted to
new/changing circumstances.
Source: Lindblom, C. (1959) The Science of Muddling through. Public Administration
Review. Vol.19 No.2 pp78-88
.
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Mixed Scanning
• Combination of above.
• Scan the policy environment to identify those
decisions that can be taken incrementally and those
which are strategic.
Source: Baum, F.(2001). Health Public Policy. In Heller, T et al (ed) Working for Health Milton Keyes. Open
University Press
23 7th November 2023
Managerialism approach ( New
Public Management). Public Sector.
• Aim was to separate policy organisations from
administrative organisations to boost administrative
and management efficiency and effectiveness.
• Process of policy (broad) is not equal to decision
making (senior leaders)
• Process of policy includes: HTTPs://
archives.palarch.nl
setting an agenda /index.php/jae/
offering policy solutions article/view/8703
putting decisions into practice
assessing policies
24 7th November 2023
Function, prospect and capability
• Public managers in public sector positions can focus
on sustainability of specific policies. Long term views.
• Shielded against political pressures (electoral victory)
• Managers need to understand:
– Policy Functions
– Policy Prospects
– Policy Capabilities
25 7th November 2023
Policy Functions Policy Prospects Policy capabilities
Agenda setting The outlook to adopt Five functions:
Configuration to dealing with their Planning
Decision making roles in the policy Organising
Implementation process: Motivating
Assessment Recruiting
1. Organisational (HR, Exercising control
Finance, Admin)
(all needed to attain 2. Political Managers need
policy for social and (understanding policy intelligence;
public goals) political landscape) analytical skills and
3. Technical management
(achieving good for specialities.
the greatest number)
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Different Policy Models
27 7th November 2023
Bridgman and Davis Model
Source Bridgman, P and Davis, G. (2004). The Australian Policy
Handbook, 3rd Edition, Sydney: Allen & Unwin.
1. Issue identification
2. Policy analysis
3. Policy instrument development
4. Consultation ( permeates the entire process)
5. Coordination
6. Decision
7. Implementation
8. Evaluation
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Bridgman and Davis
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Hogwood and Gunn.
Source: Hogwood, B and Gunn, L (1984). Policy Analysis for the Real World, Oxford. Oxford University Press
1. Deciding to decide
2. Deciding how to decide
3. Issue definition
4. Forecasting
5. Setting objectives and priorities
6. Options analysis
7. Policy implementation, monitoring and control
8. Everlasting ad review
9. Policy maintenance, succession or termination
30 8th November 2022
Features of Strong Policy Models –
• It is inspired by an intimate knowledge of
the context and a systemic, long-term,
realistic approach
• There is evidence from other contexts that it Source. World Health
Organisation (2000).
has produced the results that are expected Understanding Health
in the present environment Policy Processes.WHO
• It frankly admits the weaknesses and the
distortions that plague the sector, proposing
sensible ways of overcoming them
• It tries to anticipate processes and events,
rather than trying to mend those that
already took place or are under way
•
31 7th November 2023
Features of Strong Policy Models
• Its design is technically sound and
recognises the resource and capacity
implications of a successful implementation Source. World
Health
Organisation
• It is formulated in terms understandable to (2000).
different actors and is widely disseminated Understanding
Health Policy
• It tackles issues perceived as central to Processes.WHO
concerned actors
• It recognises the power games going on at
country and sector level, trying to strike
workable trade-offs and looking for political
alliances.
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Nine – Characteristics of Modern Policy
Making
Forward Outward Innovative Evidence
looking looking and creative based
Inclusive Joined up Evaluate Review
Learn
lessons
Source National Audit Office (2001:1)Modern Policy-Making: Ensuring Policies Deliver Value For Money. Report of the Comptroller and Auditor General. HC 289 session
2001-2002
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Phases in Policy Making (for Health)
Problem identification and
Policy Formation: Determining
issue recognition : analysis
who formulates policy and
asking which issues do and do
how, and where the initiatives
not get on the policy agenda
come from
and why;
Policy Implementation: Asking Policy evaluation: Asking how
how policies are implemented, the policy is monitored,
what resources are available, whether it achieves its
and how implementation is objectives, and if it has
enforced unintended outcomes
Source: Walt, G. (1994) Health Policy: An introduction to Process and Power. London and New Jersey : Zed
Books
34 7th November 2023
The Health Policy Triangle
Walt G, Gibson L (1994). Reforming the health sector in developing countries: The central role of policy analysis . Health Policy and Planning,9: 353-70.
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Think of a policy that you are familiar with. What factors
were influential in its conception and implementation?
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Summary
• What is policy?
• How is policy designed?
• Many different approached to policy and policy
models: what are your thoughts on the range
discussed?
• Is there a right or a wrong way?
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Selected References
Alaszewski A and Brown P (2012) Making health policy: A critical introduction, Polity: Cambridge
Baggott R (2015) Understanding health policy, 2nd edition, Policy Press: Bristol
Baum, F.(2001). Health Public Policy. In Heller, T et al (ed) Working for Health Milton Keyes. Open University Press
Bochel, H. and Duncan, S. (2007). Making Policy in Theory and Practice. Palgrave
Bridgman, P and Davis, G. (2004). The Australian Policy Handbook, 3rd Edition, Sydney: Allen & Unwin
Buse, K (2012) Making health policy, OUP: Milton Keynes
Cabinet Office (2004).Strategy Survival Guide.London Cabinet office
Cabinet Office (1999) Policy Making, London: Cabinet Office
Cairney, P (2021) The politics of policy design, EURO Journal on Decision Processes, Volume 9,
https://www.sciencedirect.com/science/article/pii/S2193943821001187
Crammond B, Carey G What is policy and where do we look for it when we want to research it?J Epidemiol Community Health 2017;71:404-408.
https://jech.bmj.com/content/71/4/404
Crinson I (2009) Health policy: A critical perspective, Sage: London
Davies, W. (2000). Understanding Strategy. Strategy and Leadership. May: 25-30
Dorey, P (2014) Policy making in Britain, Sage: London
Exworthy M et al (eds) (2016) Shaping health policy – Case study methods and analysis, Policy Press: Bristol
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References (contd)
Hallsworth, M. et al. (2011) Policy making in the real world: evidence and analysis, Institute for Government: London
Ham, C (2009) Health policy in Britain, Red Globe Press: London
Yasser Abduzzahraal-Hojjaj. (2020). PUBLIC MANAGERS AND THE PROESS OF POLICY-MAKING: WHY DO PUBLIC MANAGERS NEED
TO UNDERSTAND POLICY-MAKING?. PalArch’s Journal of Archaeology of Egypt / Egyptology, 17(7), 16881-16894. Retrieved from
https://archives.palarch.nl/index.php/jae/article/view/8703
Hill, M (2013 2nd ed) The public policy process, Pearson: Harlow (chapters 9 and 10)
HM Treasury The Green Book. Appraisal and Evaluation in central Government
Hogwood, B and Gunn, L (1984). Policy Analysis for the Real World, Oxford. Oxford University Press
Jenkins, R. (2002). The Meaning of Policy/policy meaning. In Hodgson, S. and Irving, Z (eds) Policy reconsidered:
Meaning , Politics and Practices. Bristol Policy Press
Lindblom, C. (1959) The Science of Muddling through. Public Administration Review. Vol.19 No.2 pp78-
National Audit Office (2001:1)Modern Policy-Making: Ensuring Policies Deliver Value For Money. Report of the
Comptroller and Auditor General. HC 289 session 2001-2002
Simon, H. A. (1979) Models of Thought Yale University Press.
Walt G, Gibson L (1994). eReforming the health sector in developing countries: The central role of policy analysis .
Health Policy and Planning,9: 353-70
Walt, G. (1994) Health Policy: An introduction to Process and Power. London and New Jersey : Zed Books
World Health Organisation (2000). Understanding Health Policy Processes. WHO
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