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Public Policy and Governance: Theory and Practice

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P
Public Policy and Governance:
Theory and Practice
Muhamad Azahar Abas
Faculty of Earth Science, Universiti Malaysia
Kelantan, Jeli, Malaysia
Synonyms
Good governance; Governance; Policy gover-
nance; Public policy
Definition
Public policy is a long-standing decision made by
governments or public authorities to address the
public concerns or initiate ideas or solutions to
public problems. Governance is the process of
governing a city, an organization, or system
where the decision-making process is involved
by which the decisions are implemented or not
implemented.
Introduction
In the last few decades, public policy has become
more crucial, and the governments keep trying to
improve the existing public policy to suit current
© Springer Nature Switzerland AG 2019
A. Farazmand (ed.), Global Encyclopedia of Public Administration, Public Policy, and Governance,
https://doi.org/10.1007/978-3-319-31816-5_3699-1
situation. For example, does the current public
education policy give an impact to every level of
society? Is the current development and welfare
program good or poor or does not give an impact
toward poverty eradication? Are the existing envi-
ronmental initiatives sufficient or too much on
environmental protection? These questions are
always being discussed to address the public pol-
icy issues in every level of authority.
The society nowadays is more mobile because
of the development in transportation and commu-
nication. In fact, the current society is more
aggressive on the public issues and knowledge-
able because they have good accessibility on the
information. Every ethnic groups and political
parties are trying to arise the public issues so that
can benefit to their group. Accordingly, most of
the public policy is often fluctuating as reflected in
the current situation. Hussin (2008) has discussed
that every ethnics and groups has an endeavor to
fight for their public right which results in move-
ments that contravene the doctrine of cultural
diversity.
The discussion above shows that public policy
becomes very crucial nowadays in the context of
scientific perspective and practical perspective.
In-depth understanding on the causes and effects
of public policy to society is very important for
strategic improvement in the context of scientific
perspective. In the context of practical perspec-
tive, participation of society in the process of
2 Public Policy and Governance: Theory and Practice
public policy which is formulation and implemen-
tation is imperative. Therefore, the process of
public policy needs cooperation and involvement
of multiple stakeholders that require a good
governance.
The concept of governance is not new and it
was used since the Persian Empire which is more
than 2000 years ago. However, the modern per-
spective on governance is becoming more com-
plex because of rapid change in the role of
government and the process of governance
which accelerates the phenomena of globalization
(Farazmand 2004). Hence, it is very crucial to
explore and study the current characteristics,
values, and utilities of governance concept in the
context of public policy administration.
In the following pages, the approach of public
policy implementation and good governance the-
ory are discussed to comprehend the relationship
between both concepts. A general overview of
good governance practices and poor governance
has also been reviewed below. At the last section,
the explanation of good governance practice for
effective public policy implementation is given
with the situational analysis of solid waste man-
agement (SWM) policy.
Public Policy Implementation: Top-
Down and Bottom-Up Approach
According to Matland (1995), public policy
implementation is assumed to occur at two levels
which are at macro implementation where the
centrally located actors devise a government pro-
gram and micro implementation where local level
actors react to these plans and develop their own
plans and implement them.
The top-down approach assumed that imple-
mentation begins with public policy objectives
and implementation will follow in a linear fashion
as product of a rational public administration
model and which assumes distinct public policy
formulation and implementation. The top-down
approach lays emphasis on the actors who design
the public policy and the factors which can be
manipulated from the top or federal government
(Schofield 2001). However, top-down approach
emphasizes on the rational design of the public
policy which can give benefit to all.
The top-down models see the starting point of
implementation as identifies the central actors as
most influential in producing the desired effects of
the decision (Orquin et al. 2013). The character-
istics of top-down approach of public policy have
a minimum number of actors involved and limit
the extent of change in content and implementa-
tion done through agencies which is responsible
for public policy goals. The weakness of top-
down approach of public policy is it fails to con-
sider the significance of past actions in the same
policy area. Besides that, it treats implementation
as an administrative process and ignores the
expertise of local implementers but sees them as
impediments to implementation.
Bottom-up models developed from the main
criticism of top-down models which ignored the
behavioral aspect of implementation and the key
role of local implementers (Schofield 2001). It is
focusing on the motives and actions of actors
involved in public policy implementation. More-
over, it assumes that formulation and implemen-
tation are an integrated process (Matland 1995).
The bottom-up approach is emphasizing the target
groups and service deliverers (Cerna 2013).
Bottom-up public policy models are more practi-
cal as compared to the top-down public policy
models because it’s considered public policy
from the eye of target groups and service
deliverers.
The criticism of the bottom-up public policy
models is that it lays too much emphasis on the
autonomy of local implementers, whereas public
policy control needs to be done by actors whose
power to formulate policies is derived by virtue of
them being elected representatives. Further it is
possible to influence the goals and strategies of the
local actors by determining their institutional
structure, resources made available to them, and
their access to the actual implementation arena
(Schofield 2001).
A combination of the top-down and bottom-up
approaches occur when interest groups and stake-
holders are build an unit of analysis like advocacy
coalitions group who share the same set of beliefs
and goals (Paudel 2009). To achieve a meaningful
Public Policy and Governance: Theory and Practice
public policy formulation and implementation, it
is appropriate that a specific public policy is used
as the unit of analysis instead of a broad public
policy area. Both top-down and bottom-up
approaches can be used to prepare the implemen-
tation plan for public policy. However, it is
dependent on the context and scope of public
policy itself because the implementation plan
developed should fit with the main objective of
public policy.
Good Governance Theory
The analysis revolves on the theory of good gov-
ernance, and it will first and foremost be defined
here to create a basic knowledge of the concept.
The theories of development have been changing
from dealing with economic growth to concerning
poverty reduction and human welfare. This is
because political and social aspects were not
taken into consideration together with the eco-
nomic aspects. In modernization theory, develop-
ment is concerned about the process of
transforming traditional societies into rich and
modern societies. Therefore, the theories and
approaches emphasized on democracy, equality,
redistribution, gender, participation, and empow-
erment have emerged (Degnbol-Martinussen
2004).
The World Bank first introduced the term “good
governance” in 1989 and throughout the 1990.
After that, it is becoming a much-used term in the
development aid agenda. In fact, this good gover-
nance concept has been promoted by many inter-
national agencies like the United Nations (UN),
International Monetary Fund (IMF), United
Nations Development Programme (UNDP), and
most Western government. The poor governance
was claimed to be the reason for the poor develop-
ment, which opened for the promotion of political
development and the good governance agenda.
In the last decades, good governance becomes
one of the most pressing requirements for the
underdeveloped and developing countries in
Asia, Africa, and Latin America as a condition
for international assistance and funding
(Farazmand 2004). Therefore, the concept of
3
good governance has been criticized by a number
of leaders from underdeveloped and developing
countries. They believe that the notion of good
governance is an imperialistic and modern colo-
nizing concept that shrinks the size of public
administration and expands the private business
sector through privatization. They also feel that
this good governance concept paving the way of
globalization capitalist corporation in searching
high profit by dominating the business in devel-
oping and underdeveloped countries.
However, governance can be defined in various
ways and secondly good is rather subjective. In fact,
everyone wants good governance, but what is
meant by the concept requires further elaboration.
The implementation of good governance first and
foremost depends on how governance is defined
because it determines the area of operation. The
understanding of governance changes from being
a matter relating only to government to including
something additional within politics, being public
policies, institutions, a system of economic relation-
ships, or nongovernmental bodies (Smith 2007).
Governance perceived as government focuses
on the management of the public sector and the
legal and administrative capacity, whereas gover-
nance including politics focuses on:
The way power and authority are exercised; the
management of a country’s affairs; the relationships
between rulers and ruled; how conflict is resolved;
how interests are articulated and rights exercised;
and so on. (Smith 2007)
The Danish International Development
Agency (DANIDA) operates with the broad
approach to governance in its strategy for good
governance, thus including elements within poli-
tics. The main focus is placed on the public sector
in ensuring good governance, but DANIDA rec-
ognizes the importance of civil society groups and
other non-state actors in holding the public sector
accountable and in advocating needs and priori-
ties (DANIDA 2007). Hence, DANIDA has
defined governance as government plus non-
governmental bodies. The exact definition of
good governance employed is the following:
The transparent and accountable management of
human, natural, economic and financial resources
for the purpose of equitable and sustainable
4 Public Policy and Governance: Theory and Practice
development, in the context of a political and insti-
tutional environment that upholds human rights,
democratic principles and the rule of law.
(DANIDA 2007)
Moreover, good governance theory is
reflecting the interest of the social science com-
munity in a shifting pattern in styles of governing
(Stoker 1998). Since 1980, the theory of gover-
nance has been used to describe the change in
political process of Western society (Toikka
2011). In fact, governance was traditionally
defined as government. Government is referring
to the formal institutions of the states and their
monopoly of legitimate coercive power. Govern-
ment is characterized by its ability to make deci-
sion and its capacity to enforce them. In particular
government is understood referring to the formal
and institutional processes which operate at the
level of the nation state to maintain public order
and facilitate collective action (Stoker 1998).
The contemporary theories on governance
make a fundamental distinction between gover-
nance and government. However, the concept of
governance has covered more broad issues when
compared with the government concept. The dif-
ferent concepts of both theories have grab the
attention of plenty scholars to study the reason
of the shift of governing styles. In fact, govern-
ments have the formal authority to act which have
powers to enforce compliance with their activi-
ties, rules, and policies. Therefore, stakeholders
do not have the accessibility to interfere with the
policy developed. In contrast, the governance
concept has emphasized the partnership with all
stakeholders in order to empower them and give
them equal access to development and decision
processes. Hence, the power of decision-making
and development is not limited to formal author-
ities and institutions.
What is meant by good is thus that governance
is transparent, accountable, ensuring equity and
sustainable development and respecting human
rights, and democratic principles. This illustrates
the complexity of good governance concept in
policy implementation. However, the main objec-
tive of good governance is to enhance public
policy administration in wide perspectives.
Good Governance Practice
Good governance theory is frequently used to
understand the good governance practices. Rose
and Miller (1992) have highlighted that good
governance practice is one of the techniques to
deploy or translate the good governance theory.
According to the United Nations Development
Programme (UNDP), there are five main princi-
ples to practice good governance which includes
legitimacy and voices, direction, performance,
accountability, and fairness (Table 1). However,
these good governance practices suggested by
UNDP are a guideline to enhance the organization
performance in the context of management and
services. The good governance practices have
been discussed broadly in improving the organi-
zation performance. Good governance practices
are significant to explore to address the issue of
poor governance in public policy implementation.
Poor Governance
The contrast for good governance is poor or bad
governance. According to Coker and George
(2014), poor governance is inability of organiza-
tion to manage the resources effectively and solve
the conflict among staffs or stakeholders in
decision-making. In the context of government,
poor governance becomes more pronounced
when a state or government fails to meet the
needs of the society even though it makes use of
the best of all the resources at their disposal.
Moreover, Owoye and Bissessar (2012) discussed
poor governance as a contagious symptom of
institutional and leadership failures. In summary,
poor governance can be described as a flaw of
organization to manage its resources in solving
conflict and make a good decision. In fact, poor
governance is something opposite to the practices
of good governance.
Previous studies have discussed the main fac-
tor of poor governance is unaccountability
(George 2013). Specifically, unaccountability
indicates no strategic plan or no evidence that
existing strategic plan has any impact to the orga-
nization. This example shows objectives and
Public Policy and Governance: Theory and Practice 5

Public Policy and Governance: Theory and Practice, Table 1 Good governance practices based on principles
(Graham et al. 2003)
Main principles Good governance practices
Legitimacy and Participation: All gender should have a voice in decision-making, either directly or through
voices legitimate intermediate institutions that represent their intention. Such broad participation is built
on freedom of association and speech, as well as capacities to participate constructively
Consensus oriented: It mediates differing interests to reach a broad consensus on what is in the
best interest of the group and, where possible, on policies and procedures
Direction Strategic vision: Leaders and the public have a broad and long-term perspective on good
governance and human development, along with a sense of what is needed for such development.
There is also an understanding of the historical, cultural, and social complexities in which that
perspective is grounded
Performance Responsiveness: Institutions and processes try to serve all stakeholders
Effectiveness and efficiency: Processes and institutions produce results that meet needs while
making the best use of resources
Accountability Accountability: Decision-makers in government, the private sector, and civil society
organizations are accountable to the public, as well as to institutional stakeholders. This
accountability differs depending on the organizations and whether the decision is internal or
external
Transparency: Built on the free flow of information. Processes, institutions, and information are
directly accessible to those concerned with them, and enough information is provided to
understand and monitor them
Fairness Equity: All gender has opportunities
Rule of law: Legal frameworks should be fair and enforced impartially, particularly the laws on
human rights

goals of organization are vague which would lead
toward failure. Moreover, unaccountability also
describes no evidence of proper monitoring in
financial control and no planning to provide finan-
cial sustainability and reputational gain. This
example exhibits unstable financial which would
disturb operation work of organization.
Besides that, previous studies also highlighted
that lack of openness and transparency is also one
of the causes of poor governance (Adesola 2012).
Lack of openness and transparency shows no
annual report on organization performance.
Besides that, all the information and decisions
made by the governing body are not available to
the staffs and relevant stakeholders. So, it is diffi-
cult for the staffs and stakeholders to access the
information. In fact, decision made by the
governing body should be disseminated effec-
tively to the staffs and stakeholders who are
responsible in operation work, so that what has
been decided by the governing body is under-
standable by the staffs and stakeholder.
Good Governance Practice for Effective
Public Policy Implementation:
A Situational Analysis of Solid Waste
Management Policy
Public policy is a tool used to control the activities
of civilian to attain its ultimate goal which is
public good. In the context of solid waste man-
agement, the policy was developed to reduce the
impact of unsustainable waste management to
human as well as to environment. In fact, to
achieve effective solid waste management, policy
implementation is not an easy task, but it is not
impossible to be attained. In the context of devel-
oping countries, politics inevitably play a large
role in solid waste management systems. The
structure, functioning, and governance of solid
waste management systems are affected by the
relationship between central and local govern-
ments. The role of citizens in policy-making pro-
cesses and policy implementation is less
concerned. The effective policy implementation
6 Public Policy and Governance: Theory and Practice
should involve the citizens. Hence, it is crucial to
strike the right balance within the institutional and
citizen perspective for effective solid waste man-
agement policy implementation.
Good governance practice is requiring the par-
ticipation and collaboration of all relevant parties,
including government, nongovernmental organiza-
tions (NGOs), community groups, and the private
sector. Good governance allows low-income
groups to influence policy and resource allocation,
and therefore it is essential for equitable, effective,
and efficient solid waste management policy imple-
mentation. Indeed, the efficiency, along with the
effectiveness of SWM is one of the requirements
in assessing good governance index. Low-income
countries tend to lack appropriate governance insti-
tutions and structures typically found in high-
income countries, such as public policy research
institutions, freedom of information laws, judicial
autonomy, auditor general, and police academies
(Bhuiyan 2010). This lack of democratic structures
and competent, representative local government
creates barriers to proper solid waste management
policy implementation.
Moreover, effective solid waste management
policy implementation requires firmly established
institutions to avoid controversies, ineffective-
ness, and inaction, making solid waste manage-
ment systems politically unstable. Even when
regulatory and legislative frameworks exist, gov-
ernments with weak institutional structures are
easily overwhelmed by increasing demands for
solid waste management as urban populations
explode.
Institutional aspects also include the current
and future legislation and the extent to which it
is enforced. A straightforward, transparent, unam-
biguous legal and regulatory framework, includ-
ing functioning inspection and enforcement
procedures at the national, provincial, and local
levels, is essential to the proper functioning of a
solid waste management policy. According to
Wilson (2007), there seems to be general consen-
sus that weak institutions are a major issue in
emerging and developing countries such as in
Asia, Africa, Latin America, and Russia. Institu-
tional strengthening and capacity building are one
of the major drivers in good governance practices.
Hence, good governance practice in public policy
implementation is very significant in developing
countries.
Conclusion
The process of public policy which consists of
policy formulation and implementation signifi-
cantly requires good governance practice inter-
vention. This level of governance action entails
the guiding formulation with decision-making on
public tasks. Besides that, public policy imple-
mentation refers to that part of governance that
involves activities in relation to public tasks
implied by the directional decisions of those
tasks. However, the practice of governance in
public policy implementation is depending upon
policy delivery activity at stake. Given the multi-
ple characters of the contexts in which practitioner
of public administration is acting, we have
acknowledged that the application of the gover-
nance practice will vary from situation to situa-
tion. Therefore, the study of public policy and
governance is very significant nowadays. In fact,
we need to appreciate the opportunities that are
available in public policy process because there
are a lot of opportunities for improvement.
Cross-References
▶ Policy Implementation
▶ Public Participation
▶ Public Policy
▶ The Principles of Good Governance
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