POLICY ANALYSIS PROCESSBy Wilfredo B. RuinDM 220 – Public Policy and Program Administration

Objective

The presentation will try to provide a framework for thinking about policy analysis and a discussion on the process for conducting policy analysis.

Outline of Presentation

Policy Analysis Defined

Goals of Policy Analysis

Policy Analysis Process Defined

Basic Policy Analysis Process in Diagram

Basic Policy Analysis in Six (6) Steps

Policy Analysis Defined

The use of reason and evidence to select the best policy among number of alternatives to address a particular policy problem. – MacRae and Wilde

A process thru which one identifies and evaluates “alternative policies or programs that are intended to lessen or resolve social, economic, or physical problems.” -Patton and Sawicki.

Policy Analysis Defined

Policy analysis is client oriented advice relevant to public, or private, decisions and informed by social values – Weiner & Vining

Can assist decision makers in choosing a preferred course of action from complex alternatives and under uncertain conditions.

One way to look at the Analysis:

The Problem & The Solution

“A problem well formulated is a problem half solved.”

Goals of Policy Analysis

Reduce uncertainty and provide information for decision makers in the public arena

As a systematic evaluation of the technical and economic feasibility and political viability of alternative policies, strategies for implementation and consequences for policy adoption

Process to Policy Analysis

Approach to problems that is logical, structured, valid, and replicable

To generate course of feasible actions A search for information and evidence of

benefits and other consequences of courses of actions

Help policy makers choose the most advantageous policy actions

Process to Policy Analysis

Six STEPS Verify, define, and detail the problem Establish the evaluation criteria Identify alternative policies Evaluate alternative policies Display and distinguish among alternative

policies Monitoring the implemented policy

Process to Policy AnalysisFIGURE 1: A basic policy analysis process

Carl V. Patton

Analyst may take various routes thru the analysis because of the differences in training, time available, complexity of problem, resources, & organizational affiliations. MOST analysts first approach the problem by the methods and outlook of their discipline. e.g. economists see problem in terms of economic

costs and benefits.

Verify, Define, and Detail the Problem

Determine the magnitude and extent of the problem; DON’T ACCEPT initial problem statement without a question for it may only be the tip of the iceberg or the part of a larger problem.

Continually re-define the problem in light of what is possible to make sure the problem EXIST; do this to REDUCE, CONTROL, & possibly RESOLVE called backward problem solving

Consider perspectives of other constituencies; it PAYS to think about all possible viewpoints at the start before you narrow down the points

Step One

Problem definition may be difficult when objectives of the client are NOT CLEAR or in CONFLICT. especially true for the public organizations having multiple missions, serving many clients, and attempting to respond to changing or conflicting public sentiments …

Verify, Define, and Detail the Problem

Understand the positions and influence of various individuals and groups involved in the problem;

Who is concerned about the problem?

What are their stakes about the problem? Or stakes in the issue?

What power do they have to affect the decision?

Also determine if enough information is available or will be available for the conduct of the study and whether there will be benefits in collecting more data.

Step One

CHALLENGES at this stage of analysis are to: State the problem meaningfully Eliminate irrelevant materials Say it with numbers Focus on central/critical factors Define the problem in a way that

eliminate ambiguity

Establish the Evaluation Criteria

Any proposed policy will have a variety of impacts and may affect various groups differently; a policy acceptable to one group may be unacceptable or harmful to another or a policy that appears acceptable when judged on the basis of cost, for example, may become unacceptable when its environmental impacts are considered.

The reason for the need to come up with the evaluation criteria; in order to compare,

measure, and select among alternatives.

Step Two

Some of the common measures which must be considered in evaluating the policy: o Cost;o Net benefit; o Effectiveness;o Efficiency equity; o Administrative ease; o Legality; and o Political acceptability.

Establish the Evaluation Criteria

Decision criteria are sometimes provided by the client either directly as measures or indirectly thru statement of goals or objectives.

It is the analyst’s job to make the criteria specific enough so the attainment can be measured

Also, analysts must specify criteria which are relevant to the public interest, to group that may become involved in the problem in the future, and to opposing interests.

Step Two

Criteria are SELDOM EQUAL; must indicate those that are most relevant to parties involved. Note the extent to which the criteria is

relevant to the various individuals and groups involved

Relative importance of the decision criteria then becomes central to the analysis

NOTE: Also identify those criteria that are central to the problem under analysis and most relevant to the key participants in the decision process.

Specifying the evaluation criteria and deciding the dimensions along which the alternatives will be measured cause the analyst to clarify the values, goals, and objectives of the interested outcomes

Identify the Alternative Policies

Analyst should already have a CLEAR UNDERSTANDING of the values, goals, and objectives of both the client and other parties involved.

Having clarity on ‘what is sought’ and the criteria in identifying alternatives, analyst may be able to formulate courses of actions addressing the problem.

Step Three

NO action alternative is a policy that deserves a

consideration.

Identify the Alternative Policies

Consider solutions from previous analysis of a similar case/problem; this may form part of the alternatives

Initial list of alternatives may also be combined/ matched/ paired to come up with another solution(s).

Step Three

Examining previous studies of a similar situation may provide additional insights and/or sometimes a different perspective of a different angle from how the problem is initially defined. This may result to redefining the problem which may lead to revisions or addition of evaluation criteria.

The challenge at this step in the analytic process is to avoid settling prematurely on a limited number of options.

Evaluate Alternative Policies

Nature of problem and types of evaluation criteria will suggest the methods to evaluate policies.

Evaluation of a problem may take various approaches; sometimes a mix or a combination – e.g. linear programming, cost-benefit analysis, quantitative or qualitative analysis.

Step Four

Alternatives should be evaluated for equity e.g. equality in benefits/advantages to one constituent over the other

Consider political perspectives do we have the support of the local representatives for the proposed policy?

Time availability is another important consideration determines the chance to do all of what have/planned to be done.

Policy formulation is aimed at defining the problem appropriately and ferreting outfeasible and effective solutions.

Evaluate Alternative Policies

Reveals alternatives which – may satisfy most or all of the major criteria may be discarded over the course of analysis may call for further examining, may need for collecting additional data

During this step, analyst must consider economically or technically feasible and politically acceptable alternatives whether any of these solutions can be implemented is essentially a political question.

Step Four

Policy formulation, the designing and evaluation of alternatives and policy options is aimed at defining the problem appropriately and ferreting out feasible and effective solutions.

Display and Distinguish among Alternative Policies

Ways to PRESENT findings / evaluations

Quantitative terms – where the value comparison might be used to summarize advantages and drawbacks of the alternatives

Scenario writing – where quantitative, qualitative and complex political considerations are meld to a matrix

Step Five

Neutral presentation format, the order of criteria, the sequence of alternatives, and the space given to various options can influence decisions.

Comparative matrix – where there will be two axes; one axis would be listed with alternatives and on the other axis were the criteria

Political possibility analysis – displays the pros and cons of alternatives to answer such questions as: Do the relevant decision makers have interest and

influence to implement the policy? What will the client have to give up or promise in

order to have the policies implemented?

Display and Distinguish among Alternative Policies

Analysis under time constraints are done in shortcuts. Resulting to overlooked alternatives and variables, an incomplete policy analysis, and estimates.

Analysts make recommendations under conditions of uncertainties which must be reported and side effects should be identified.

Step Five

NOTE: every solution breeds new problems.

- Is the organization willing to accept them?

- What could be ways to mitigate?

Monitoring the Implemented Policy

Not because the policy has been implemented, it will automatically mean the problem was resolved appropriately and conducted properly, thus the need to maintain and monitor.

This is to ensure a no change in form of original intensions, measure the impact being acquired, and makes the decision point whether to continue, modify, or terminate a policy.

Step Six

Important to realize that policies can FAIL for the following reasons: either the program could not be implemented as designed or because the program was run as designed but it turns out to be a wrong theory.

If found that the policy was implemented accordingly, analyst must also determine if it generates impacts.

References

http://www.fao.org/AG/againfo/projects/en/pplpi/home.html

Carl V. Patton, Basic Methods of Policy Analysis and Planning, Basic Policy Analysis in Six Steps

http://pages.uoregon.edu/rgp/PPPM613/class1.htm http://www.csulb.edu/~msaintg/ppa670/670steps.ht

ml

Thank you!

Governments will always play a huge part in solving big problems. They set public policy and are uniquely able to provide the resources to make sure solutions reach everyone who needs them.

-- Bill Gates