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ince Harold Lasswell and Daniel Lerner published duction, and exchange—which are positive func-
The Policy Science: Recent Developments in tions—so that it must be limited in the policy process.
Scope and Method in 1951, public policy analysis
has been developing into an engaging discipline, and it
is even considered a revolution in contemporary social Review of Traditional Views
sciences. At the same time, it is evident that public pol-
icy analysis has not constructed a solid bridge between The following are traditional views regarding the nature
academic research and empirical research, behavioral of public policy:
science and management science, and academia and (1.) Woodrow Wilson, who is arguably the father of
the practical circle. That is, public policy analysis has modern public administration, contends, “public policy
not fulfilled the task of interdisciplinary integration. is the laws and regulations which are made by legislative
To some degree, this is because people have not statesmen and implemented by public administration
agreed upon the nature of public policy, which is the personnel” (as cited in Wu Qiyuan, 1985, p. 4).
basic unit of public policy analysis. This hinders its This definition is obviously characterized by “the
passage to academic dialogue. Strictly speaking, public dichotomy between politics and administration,” which
policy analysis has not grown into a systematic para- narrows the scope and limits the range of public policy
digm. It is rather like a research method that covers makers. First, public policy includes not only laws and
many fields and involves many disciplines. Different regulations, but also government’s plans, instructions,
methods of public policy seem to be at odds with each decisions, and other symbolic systems. Secondly, those
other. In order for there to be an academic dialogue, it who participate in the making of public policy include
is necessary for public policy analysis to first reach a not only statesmen, but also representatives of citizens,
consensus on its basic unit of analysis, “public policy.” experts, and scholars. Especially in the modern era of the
This will allow policy analysis to gain greater accept- “administrative state” (Waldo, 1984), with the sharp
ance. expansion of governmental function and the wide appli-
This article focuses on the nature of public policy. It cation of administrative judicial rights, executive author-
includes: (a) defining public policy in the light of prob- ities’ participation in making public policy has increased
lem-solving (b) arguing that the functions of public steadily. In connection with the above, Paul Appleby
policy during the process of solving objective differ- (1949) points out, “decision-making doesn’t merely
ences include not only allocation, but also production, belong to politics,” and “public administration means
exchange, and consumption of public interests (c) decision making” (pp. 27, 170).
showing that the function of the consumption of public (2.) Harold Lasswell and Abraham Kaplan (1970)
interests is negative, as contrasted with allocation, pro- define public policy as “a projected program of goals,
Abstract: Based upon an analysis of different academic views on public policy, this article points out the deficiency of each,
especially David Easton’s view of “allocation of values.” Through the analysis of solutions to public problems, this article
concludes that the nature of public policy is government, which takes governmental interests and public interests into consid-
eration, and chooses to reduce either objective difference or subjective differences in order to solve public problems effec-
tively and in a timely manner. Public policy can directly adjust social interest relations to reduce objective difference by exer-
cising three positive functions — production, allocation, and exchange of public interests. It can further set public interests
aside and merely mitigate public dissatisfaction, or reduce subjective difference by reducing or diverting public expectations.
Furthermore, government must guard and restrain public policy’s inherent negative consumption function of public interests.
Chinese Public Administration Review • Volume 1, Number 3/4 • Jul/Dec 2002 275
values, and practices” (p. 71). The afore- This response, however, inevitably
mentioned definition confuses public involves the preferences and interests of
policy with programs, making the latter Government must take government itself. Public policy reflects
seem overly extensive. A program can the double demand of government and
be public policy, but not all public poli- the response to public its environment. Eyestone’s view, there-
cies are programs. As has been pointed fore, is relatively deep.
out, public policy also includes instruc- problems into In the first place, what is a govern-
tions, decisions, laws, regulations, and mental environment? Is it only the sur-
other symbolic systems that government consideration when it rounding environment outside govern-
sends out. ment? I think that government, like any
(3.) Thomas R. Dye (1987) thinks, makes a public policy. other organization, is an open, and not a
“Public policy is whatever governments closed system. The boundary between
choose to do or not to do” (p. 2). Dye closed systems is impenetrable, but the
focuses not only on government action, but also on gov- boundary of an open system and a wider super-system is
ernment inaction, and therefore, his definition shows the penetrable. Besides, environment includes not only the
obvious character of behavioralism. It reflects the prac- societal (general) environment, but also the task (specif-
tical discipline quality of public policy analysis. ic) environment. The former is defined as the forces that
“Action” means that government takes measures or uses affect all organizations in a society. The latter is defined
symbols openly in order to solve some public problem. as “the more specific forces that are relevant to the deci-
“Inaction” means that government does not take meas- sion-making and transformation process of the individ-
ures or express active symbols, abiding by the principle ual organization” (Dill, 1958). “The distinction between
of noninterference. Both are important solutions to pub- the general environment and the task environment is not
lic problems. For example, given that China has been always clear-cut and is continually changing. Forces in
carrying out political system reform means that it has the general environment are continually ‘breaking
been implementing “action” policy. But Chinese through’ into the task environment of the specific organ-
Premier Zhu Rongji (2001) points out, at the same time, ization” (Kast and Rosenzweig, 1979, p. 132). “Even
that “the political system reform in China can never beyond the task environment there are environmental
copy western patterns, that is to say, China will not adopt factors and phenomena which may affect the organiza-
the alternative of banking on political parties or bicam- tion. Clearly, the environment is a continuum in which
eralism.” This is, in fact, a kind of “inaction” policy. relevance is a matter of degree” (Thorelli, 1967, p. 69).
Dye’s definition is too extensive and lacks adequate Further, M. R. Louis looks at organization itself as “the
maneuverability. His definition confuses two types of environment where culture is produced” (as cited in Zhu
governmental behavior in implementing public policy Lijia, 1997, p. 274). Within this, the boundary between
with public policy itself. The nature of public policy government, which is an open social system, is not eas-
should be determined at a deeper level. ily defined and proves to be penetrable. It is imprecise to
(4.) Robert Eyestone (1971) defines public policy define public policy merely from the interaction between
most extensively. He states, “In a broad sense, public government and its environment.
policy is the relationship between governmental organs (5.) David Easton (1953) defines public policy as “the
and their environment” (p.18). It is evident that Eyestone authoritative allocation of values for the whole society.”
is influenced by the science of ecological administration. Furthermore, “the nature of policy is that some things
Indeed, public policy is the function of a governmental are owned by some people but not by others.” This view
system and its living environment, namely P = F (G, E) points out the values allocation function of public poli-
(here, P refers to public policy, G refers to governmental cy, which is favored by many scholars. There are, how-
system, and E refers to the living environment). ever, attendant concerns regarding this viewpoint.
Government must take the response to public prob- First, what are values? According to Easton, values
lems into consideration when it makes a public policy. involve not only tangible matters, such as capital, but
276 Chinese Public Administration Review • Volume 1, Number 3/4 • Jul/Dec 2002
also intangible matters (e.g., power, Third, can all values in society be
reputation, and service). As a philo- allocated? According to David Easton,
sophic concept, “values” are the func- Generally speaking, values are things that are valuable for
tion and utility of object for subject. At people. Yet, there are too many things
the same time, “values” can be under- public policy can that have utility for people, including
stood as all objects having utility for natural values (e.g., sunshine, rain, ter-
subjects. Easton’s definition of public allocate human values, restrial heat, and the ozonosphere) and
policy using the term “values” is inher- human values (e.g., property, power,
ently ambiguous. That is, “[Because of] but not natural values. status, and reputation).
the extensiveness of ‘values’... [it is] Generally speaking, public policy
necessary to [replace] ‘values’ with can allocate human values, but not nat-
‘interests’” (Chen Qingyun, 1996, p. 5). ural values. But with the blurring of the divide between
Interests are all the resources and conditions which what is human-made and what is natural, many social
are necessary for the survival, development, freedom, values are increasingly becoming integrated. For
and happiness of people. As a matter of fact, the values example, governmental policy could not allocate sun-
“for the whole society” are public interests. Since being shine, which is a natural value in traditional society. No
offered by neoliberal philosopher John Rawls in the policy can prescribe property rights for sunshine so
1970s, the thought that individual interests are prior to specifically that some possess sunshine but others do
public interests has deeply influenced modern govern- not. Therefore, not all values in society can be allocat-
ment’s public policy. Economist Kenneth Joseph ed by public policy.
Arrow’s (1986) “theorem of impossibility” contends it Finally, does public policy only have the function of
to be impossible to cultivate a unanimous social choice allocation? Richard Musgrave (1959), like David
or to construct hierarchical arrangement of social inter- Easton, espouses three economic functions of govern-
ests. In other words, there is no unitary “public inter- ment: (a) stabilizing the economy (maintaining a full-
est.” employment economy) (b) allocation (of income) (c)
The policy credo mentioned above cannot tell public redistribution (of resources). I think that they overem-
policy from private policy; hence, it is harmful to public phasize the values allocation function of public policy
interests. James Anderson defines public interests as “the because we can ask, following their logic, “does public
interests which [are] shared by people universally and policy have only the function of allocation”? Chen
continuously,” and that “government’s task is to serve Qingyun (1999), a professor at Peking University,
and promote public interests” (trans. 1990, p. 56). believes, “Public policy is the behavioral norms made by
Second, does the allocation of objects of value or government [in pursuit of its goal, at any given time], to
interest presume making alternatives? According to promote and allocate the public interests of society.” By
Easton, the nature of policy results not only in benefici- this definition, public policy not only needs to allocate
aries, but also victims. In my opinion, this assumption is values, but also bears the function and mission of pro-
not entirely valid. There can be three situations in the moting or producing values. In other words, besides the
values allocation of public policy: (a) There are both functions of allocating social values or public interests,
beneficiaries and victims, which is relatively common; public policy has the function of producing, exchanging,
(b) there are beneficiaries but not victims (e.g., China’s and consuming public interests.
public policy for rural reform in the 1980s resulted in the
pareto optimum); (c) there are victims but not benefici- 1) The function of production
aries (e.g., the former Soviet Union’s policy of military
expansion failed to directly help the Soviet people, as it According to classical economist, Adam Smith, gov-
led to the decline of state power and the depression of ernment should only play the role of “night watchman.”
the national economy). This proved to be a total failure Government needs only to divide and allocate the cake,
of public policy. which should be made large by liberal market mecha-
278 Chinese Public Administration Review • Volume 1, Number 3/4 • Jul/Dec 2002
and the talents of eastern China by and having opened itself to the outside
mutual priority exchange after the world, China’s market economy has
Chinese central government carried out China’s public problems grown very rapidly, and the Chinese
its public policy of “great western standard of living has continuously
development.” cannot be solved by improved. At the same time, many pub-
lic problems have appeared (e.g., a
3) The function of consumption any private worsening environmental pollution, the
irregular flow of the Yellow River, the
In reality, besides the three positive organization It must be fall of the water table, retrogression of
functions mentioned above (the produc- fishery resources, retrogression of
tion, allocation, and exchange of public government’s grasslands, smaller forest acreage, loss
interests), public policy has a negative of water and soil, fragile public security,
consumption function, which often responsibility, and a poorly maintained infrastructure).
takes the form of interiority or rent- These public problems cannot be solved
seeking by governmental sectors. It can by any private organization It must be
lead to political disorder, reduce the government’s responsibility, as govern-
legitimacy of the political system, and even destroy the ment can coordinate itself and civil society towards sus-
production, allocation, and exchange functions of public tainable development through flexible and effective pub-
policy. According to public choice theory, government, lic policy.
which is not benevolent, has the character of the “eco- As an output of the political system, the fundamental
nomic man” and is “an egoistic, rational, utility maxi- value of public policy lies in the effective and timely
mizer” as well (Mueller, 1979, p. 1). And government, solution of public problems. In other words, public prob-
which is the supplier of public goods, obviously has lems are the cause and reason for public policy. As
more familiarity and command over these goods. As a Chinese Taiwanese scholars Zhang Shixian and Chen
result, when faced with an opportunity for rent-seeking, Hengjun (1997) write, the value of public policy is “to
government can impose and extract rent, or otherwise deal with or solve public problems or public goals” (p.
appropriate and consume public interests which were 3). The American scholar J. S. Livingston correctly
originally meant to be shared by the public. What mat- points out, “The finding and [confirmation] of problems
ters is not to eliminate the consumption function of pub- is more important than the solution of problems. For a
lic policy (public choice theory proves that any attempt decision-maker, to solve a wrong problem by a complete
like this is in vain), but to limit the negative self-con- and elegant project will caste a larger blight upon his or
sumption function of public policy by constructing sys- her department than to solve a right problem by a rela-
tems, a democratic credo, transparent politics, etc. tively incomplete project” (as cited in Zhang Jinma,
1992, p. 133).
A problem is “the deviation between ‘is’ and ‘ought,’
Public Problems as Reasons for Public Policy or the difference between the existing state and the
expected state of a system” (Jiang Shengjie, 1986, p.
Public policy and private policy differ, given the public 78). Problems are defined in accordance with individual
nature of the former. Public policy should reflect the interests, values, knowledge, and convention. That is,
public will. In the modern world, although the human different individuals have different understandings and
capability for developing nature and transforming socie- cognitions. Nevertheless, the human understanding of
ty has grown in an unprecedented fashion, many public problems is essentially identical, with only minor differ-
problems arise (e.g., the deteriorating environment, pop- ences. This results from the following factors: (a) There
ulation explosion, global warming, internet deceit, is relative homogeneity among a group facing the same
garbage disposal, the fall of the water table, and the ram- problem; (b) in comparison with values and conven-
pancy of terrorism). After more than 20 years of reform, tions, interests are dominant. More specifically, Karl
280 Chinese Public Administration Review • Volume 1, Number 3/4 • Jul/Dec 2002
could lose him his state, and how to have demanded prompt solution, such
avoid those vices which are not so dan- as the uncompleted SOE reform; the
gerous, if he possibly can; but, if he can- Through the production, increasing unemployment rate; the
not, he need not worry so much about polarization between rich and poor;
the latter.” This is because “Some of the allocation, and market disorder and segmentation; the
things that appear to be vices will bring lack of distinction between the
him security and prosperity” (p. 49). exchange of public Communist Party of China (CPC), gov-
Therefore, this policy choice can play a ernment, and enterprises; corruption and
certain role under specific situations. interests, public policy rent-seeking; the fragile rule of law; and
All public problems result from com- the increasing sense of retrogression of
peting interests. Public policy’s interest can reduce objective society. With this in mind, public poli-
and process-natures vitiate govern- cy’s consumption function of public
ment’s attempt to avoid solving public difference and achieve interests has not been effectively limit-
problems by reducing subjective differ- ed, and hence, has resulted in the
ence. Contradictions accumulate until a solution to public increasingly weak dynamic of China’s
social turbulence, thereby increasing the reform. Authoritative Chinese econo-
likelihood of revolution. After mitigat- problems. mist Wu Jinglian (1998) points out,
ing public problems temporarily and “The dynamic system of reform is not
superficially by reducing the subjective strengthened but weakened in the sec-
difference of the public, public policy ond decade of reform,” which perhaps is
should turn to the complete solution of public problems one of the most important public problems currently fac-
without hesitation, by reducing objective difference. ing the Chinese government. Obviously, the public prob-
(2) Reducing objective difference (i.e., public policy lem has to do with the objective situation. Therefore, dis-
directly accepts the challenge of public problems and sipating subjective difference by morally preaching pol-
focuses on the adjustment of social interest relations). itics, without directly adjusting interests and proportion-
Government utilizes many methods to find and discern ing reform cost, has failed to stimulate the dynamics of
public problems (e.g., public-opinion polls, media analy- China’s reform. The Chinese government joined WTO
ses, and documents study). Government can predict the resolutely in 2001, thereby ensuring that China’s reform
problems and trends that may appear during a long peri- would be in accordance with international rules, and to
od through some methods — for instance, the historical make its opening to the outside world force reform. This
analytic approach, judgment by intuition, matrix analy- indicates that the Chinese government is carrying out the
sis, prediction analysis, and the Delphi method. In so exchange function of public policy in order to exercise
doing, government can choose to produce, allocate, or not only the mutual priority principle of trade, but also to
exchange public interests. At the same time, the negative stimulate internal reform.
consumption function of public policy must be guarded
and restrained. Through the production, allocation, and
exchange of public interests, public policy can reduce Conclusion
objective difference and achieve a solution to public
problems. Public policy has the power to reduce subjective or
The concepts and arguments presented above are objective difference in order to bring solutions to public
illustrated in China’s reform. Through more than 20 problems. The nature of public policy, therefore, is gov-
years of development, China’s reform is no longer the ernment; and government takes its own interests and
so-called Pareto optimum. Each step of reform has public interests into consideration as it chooses to reduce
resulted in a disequilibrium between reform income and objective or subjective difference in order to solve pub-
reform cost. In addition, crony capitalism and power lic problems effectively and expeditiously. Public policy
capitalization have led to numerous public problems that can directly adjust social interest relations to reduce
282 Chinese Public Administration Review • Volume 1, Number 3/4 • Jul/Dec 2002