Policy report final by Merlinda D Gorriceta, Joy S Sumortin, Derna F Bancien

Models &
Methodology of Policy
Analysis
Module 2

A. Methodology of Policy
Analysis
• Policy Analysis is a technique used in public
administration to enable civil servants, activists, and
others to examine and evaluate the available options
to implement the goals of laws and elected officials.
The process is also used in the administration of
large organizations with complex policies. It has been
defined as the process of "determining which of
various policies will achieve a given set of goals in
light of the relations between the policies and the
goals." Policy analysis can be divided into two major
fields.

Analysis
• It is a systematic and data based
alternative to intuitive judgments about the
effects of policy and policy options. Policy
analysis as the “thinking man’s response to
demands.

Analysis
Policy analysis uses both qualitative methods and
quantitative methods. Qualitative research includes
case studies and interviews with community members.
Quantitative research includes survey research,
statistical analysis (also called data analysis) and
model building. A common practice is to define the
problem and evaluation criteria; identify and evaluate
Alternatives; and recommend a certain policy
accordingly. Promotion of the best agendas are the
product of careful “ back-room” analysis of policies by a
priori assessment and a posteriori evaluation.

Analysis
Methodology includes:
• Qualitative methods
• Quantitative methods
• Case studies
• Survey research
• Statistical analysis

A1. Dimensions for analyzing
policies
• There are six dimensions to policy
analysis categorized as the effects and
implementation of the policy across a
period of time. Also collectively known as
“Durability “ of the policy, which means the
capacity in content of the policy to produce
visible effective compatible change or
results over time with robustness.

Effects
• Effectiveness
- What effects does the policy have on the
targeted problem?
Unintended effects
- What are the unintended effects of this policy?
Equity
- What are the effects of this policy on different
population groups?

Implementation
• Cost
-What is the financial cost of this policy (some
analysts also include tax credits in this
analysis) ?
• Feasibility
-Is the policy technically feasible?
• Acceptability
- Do the relevant policy stakeholders view the
policy as acceptable?

• The strategic effects dimensions can
pose certain limitations due to data
collection.
• However the analytical dimensions of
effects directly influences
acceptability.
• The degree of acceptability is based
upon the plausible definitions of
actors involved in feasibility.

• If the feasibility dimension is
compromised, it will put the
implementation at risk, which will
entail additional costs.
• Finally, implementation
dimensions collectively influence
a policy’s ability to produce
results or impacts.

Five –E Approach
One model of policy analysis is the “five-E approach”, which
consists of examining a policy in terms of :
•Effectiveness
-How well does it work ( or how well will it be predicted to
work)?
•Efficiency
- How much work does or will it entail? Are there significant
costs associated with this solution, and are they worth it?
•Ethical considerations
-Is it ethically and morally sound? Are there unintended
consequences?
B. Models of Policy Analysis

Five –E Approach
• Evaluations of alternatives
- How good is it compared to other approaches? Have
all the relevant other approaches been considered?
• Establishment of recommendations for positive
change
- What can actually be implemented? Is it better to
amend, replace , remove, or add a policy?

Framework
• Policies are considered as
frameworks that can optimize the
general well-being. Theses are
commonly analyzed by legislative
bodies and lobbyists. Every policy
analysis is intended to bring an
evaluative outcome.

Framework
• A systematic policy analysis is
meant for in depth study for
addressing a social problem.
Following are steps in a policy
analysis:

Defining the problem assessed
by the policy
1. Assessing policy objectives and its target
populations.
2. Studying effects of the policy.
3. Policy implications: distribution of resources,
changes in services rights and statuses, tangible
benefits.
4. Alternative policies: surveying existing and
possible policy models that could have addressed
the problem better or parts of it which could make it
effective.

B. Models of Policy
Analysis1.Institutional Model
2.Process Model
3.Group Model
4.Elite Model
5.Rational Model
6.Incremental Model
7.Game Model
8.Public Choice
9.Systems Model

Institutional Model
• Policy as institutional
• This approach did not devote much attention to the
linkages between structure of the government
institutions and content of public policy.
• It was assumed that changes in structure will effect
policy contents.
• The reality is that both structure and policy are largely
determined by social and economic forces

Process Model
• Policy creation is a process that typically
follows a sequence of steps or stages:
Identification of a problem ( also called
“problem definition”) and demand for
government action. Different stakeholders
may define the same issue as different
problems. For example, if homeless people
are using illegal drugs such as heroin in a
city park, some stakeholders may define
this a law enforcement issue

(which, in their view, could be best solved if
police presence in the park is stepped up and
if the individuals using illegal drugs are
arrested and punished); on the other hand,
other stakeholders may view this as a poverty
and public health issue (which, in their view,
could be best solved if public health nurses
and government medical doctors and
substance abuse counselors were sent to the
park to do outreach with the drug-using
individuals, and encourage them to voluntarily
enter “detoxification” or rehabilitation
programs.)

Agenda setting
Formulation of policy proposals by
various parties (e.g. citizen groups,
congressional committees, think
tanks, interest groups, lobby
groups, non-governmental
organizations.)

Policy selection/adoption and legal enactment
of a selected policy by elected officials and/or
houses of representatives. At this stage, policy
legitimation is conferred upon the selected
policy solution(s).
Policy implementation, which involves civil
servants putting the selected policy option into
practice. Depending on the choice made by the
executive or legislative branch, this could
involve creating new regulation ( or removing
existing regulations), creating new laws,
creating a new government program or service,
creating anew subsidy or grant, etc.

Policy evaluation. After the policy has been in
place for a year or several years, civil servants or
an independent consulting firm assesses the
policy, to see if the goals were achieved, if the
policy was implemented effectively, etc.
This model , however, has been criticized for
being overly linear and simplistic. In reality,
stages of the policy process may overlap or
never happen. Also, this model fails to take into
account the multiple factors attempting to
influencer the process itself as well as each
other, and the complexity this entails.

Group Model
• This policy is formed as a result of forces
and pressures from influential groups.
Pressure groups are informally co-opted
into the policy making process. Regulatory
agencies are captured by those they are
supposed to regulate.
• No one group is dominant all the time on
all issues. The group is the bridge
between the individual and the
administration. The executive is thus
pressured by interest groups.

The task of the system is to:
Establish the rules of the game
Arrange compromises and balance
interests.
Enact compromises in policy
Enforce these compromises.

Elite Model
• This model recognizes that most people
are uninvolved and uninfluential. Policy
making on most issues is heavily
influenced by elites. Although it may be
assumed that elites act in the interests of
others (as well as themselves), elections
are considered largely symbolic, with
elites often described as manipulating
public opinion rather than being influenced
by it.

Elite Model
• Despite the undeniable presence of conflict
within the elite, its members are assumed to
share a fundamental consensus. Influence is
often exercised behind the scenes. In policy
education, elite models help emphasize
inequalities among those who participate in
policy making or experience its outcomes. In
different hands, these disparities are
attributed to apathy on the part of the masses
or manipulation by elites.

Rational Model
• The rational Model of decision-making is
a process for making sound decisions in
policy-making in the public sector.
Rationality is defined as “ a style of
behavior that is appropriate to the
achievement of given goals, within the
limits imposed by given conditions and
constraints.” It is important to note the
model makes a series of assumptions,
such as:

“The model must be applied in a system that is stable:
The government is a rational and unitary actor and that
its actions are perceived as rational choices. The
policy is unambiguous. There are no limitations of time
or cost.
Furthermore, in the context of the public sector policy
models are intended to achieve maximum social gain.
Simon identifies an outline of a step by step mode of
analysis to achieve rational decisions. Ian Thomas
describes Simon’s steps as follows:
1. Intelligence gathering- a comprehensive
organization of data; potential problems and
opportunities re identified , collected and
analyzed.

2. Identifying problems- Accounting for relevant factors.
3. Assessing the consequences of all options- Listing
possible consequences and alternatives that could
resolve the problem and ranking the probability that
each potential factor could materialize in order to give
a correct priority to said factor in the analysis.
4. Relating consequences to values- With all policies
there will be a set of relevant dimensional values ( for
example, economic feasibility and environmental
protection) and a set of criteria for appropriateness,
against which performance ( or consequences of each
option being responsive can be judged.

5. Choosing the preferred option- The policy is brought
through from fully understanding the problems,
opportunities, all the consequences and the criteria of
the tentative options and by selecting an optimal
alternative with consensus of involved actors. The
model of rational decision-making has also proven to
be every useful to several decision making process in
industries outside the public sphere. Nonetheless,
there are some who criticize the rational model due to
major problems which can be faced and which tend to
arise in practice because social and environmental
values can be difficult to quantify and forge consensus
around.

Furthermore, the assumptions stated by Simon are
never fully valid in a real world context.
Further criticism of the rational model include: leaving
a gap between planning and implementation, ignoring
of the role of people, entrepreneurs, leadership, etc.
The insufficiency of technical competence (ignoring the
human factor), reflecting too mechanical an approach
(the organic nature of organizations), requiring of
multidimensional and complex models, generation of
predictions which are often wrong (simple solutions
may be overlooked) and incurring of cost ( costs of
rational-comprehensive planning may outweigh the
cost savings of the policy.)

Incremental Model
• The incremental model was formulated in reaction to
rationalism and offered as a prescriptive model as
well as a better description of reality. It states that
decision makers are more likely to move away from
problems than toward goals; only a limited number
of alternatives are considered (specifically, ones that
differ only marginally from the status quo); only
direct, short-range consequences are considered for
each alternative; only enough analysis is done to
find a solution that policy makers can agree on; and
adjustments are continually made if solutions remain
unacceptable.

Game Model
– Game Theory is a study of rational decisions in
situations where two or more participants have
choices to make and outcome depends on the
choices made by each.
– Game Theory is an abstract and deductive
model of policy making.
– It does not describe how people actually make
decisions but rather how they should go about
making decisions in competitive situations if
they are rational

Public Choice
• The theory refers to policy as a collective decision making
by self interested individuals. Individuals come together in
politics for their own mutual benefits and by agreement
(Contract) among themselves they can enhance their
own well being. Therefore, people pursue their self
interest in politics but even with a selfish motives they
can mutually benefit through collective decision making.
• This model assumes that all political actors, vortex, tax
payers, legislatures, bureaucrats, political parties, etc.
seek to maximize their personal benefits in politics as a
market place.
• Individuals come together in politics for their mutual
benefit, just as they come together in a market place

Systems Model
• Systems theory emphasizes the
environment of political systems, input and
outputs (generally in the form of demands
and support on the one hand and public
policies on the other) and feedback.
• The systems framework is widely used, but
often implicitly.
• It can be helpful in counteracting the
tendency to describe or analyze political
systems as if they were self-contained.

Systems Model
• The fallacy of doing so is clearest at the
local level, but may prove most costly
nationally.
• If systems theory (or some other
framework) can help people
understand external linkages and how
to influence them or respond to them,
educators should make more use of
these models.

C. Importance of Policy Models
Public policy models are important because they:
• Create order and simplify reality
• Identify what is significant
• Can be congruent with reality
• Can provide meaningful communication
• Direct Enquiry and Research
• Suggest explanations
• Models are not competitive; anyone can not be judged as
best
• Each one provides a separate focus and each can help
understand different things about public policy
• Most policies are a combination of all models mentioned

D. Types and Components of
Policy
1. Ethical
2. Strategic
3. Operational

ETHICAL
ETHICS POLICY
It is the policy of [name of organization] that its employees and
board members uphold the highest standards of ethical,
professional behavior. To that end, these employees and
board members shall dedicate themselves to carrying out the
mission of this organization and shall:
1) Hold paramount the safety, health and welfare of the public
in the performance of professional duties.
2) Act in such a manner as to uphold and enhance personal
and professional honor, integrity and the dignity of the
profession.
3) Treat with respect and consideration all persons, regardless
of race, religion, gender, sexual orientation, maternity, marital
or family status, disability, age or national origin.

ETHICAL
4) Engage in carrying out [name of organization]’s mission in
a professional manner.
5) Collaborate with and support other professionals in
carrying out [name of organization]’s mission.
6) Build professional reputations on the merit of services and
refrain from competing unfairly with others.
7) Recognize that the chief function of [name of organization]
at all times is to serve the best interests of its constituency.
8) Accept as a personal duty the responsibility to keep up to
date on emerging issues and to conduct themselves with
professional competence, fairness, impartiality, efficiency,
and effectiveness.

ETHICAL
9) Respect the structure and responsibilities of the board of
directors, provide them with facts and advice as a basis for
their making policy decisions, and uphold and implement
policies adopted by the board of directors.
10) Keep the community informed about issues affecting it.
11) Conduct organizational and operational duties with
positive leadership exemplified by open communication,
creativity, dedication, and compassion.
12) Exercise whatever discretionary authority they have under
the law to carry out the mission of the organization.
13) Serve with respect, concern, courtesy, and
responsiveness in carrying out the organization’s mission.

STRATEGIC
• A strategic policy example is a written statement of an
organization's choices in its operating environment. For
example, a public or nonprofit agency chooses which
of society's problems to address through public
services. In a small business, a policy might describe
senior leadership's official position on organizational or
employee behavior. Most organizations rely on
employees to follow policies, or official decisions, to
accomplish strategic goals.

STRATEGIC
Example of Marketing Planning
• The word "strategic" describes any organization that uses
deliberate planning to structure activities and provides
guidelines for implementing activities. A small business can
set strategic policy to gain a desired market share. For
instance, a company might create a marketing plan with
goals for reaching three segments of the market. This
company must align resources, including money and
human resources, to reach these segments. The marketing
manager must ensure that spending directly relates to at
least one marketing goal.

STRATEGIC
Partnership With a Community
• Businesses must also work in tandem with local
communities to build services that meet the public's needs.
A private waste collection company must structure its
operations to meet the needs of residents and business
owners, or utility customers. This company must use its
own executive team to identify problems and study
customer needs and set priorities so those needs will be
met. A strategic tactic this company might take is forming
an advisory board and inviting local government and
business leaders to staff the board.

STRATEGIC
Sporting Goods Business Example
• The business plan for a small business is another place
where strategic policy examples can be found. For example,
a small sporting goods seller might create a niche website
on which consumers can discuss their favorite sports. The
idea is that more people will come to the website when they
hear about it from their fellow sports lovers. While people
visit the sports website, the small business owner can
market his sporting goods in different ways.

STRATEGIC
Environmental Policy Example
• A small business might also use its environmental policy
as a way to brand its company as socially responsible.
For example, a business owner might decide to change
how water is used. The company can do something as
simple as recycling water that cools the machines in its
factory through the building over and over again, reducing
the amount of wastewater generated. The business
owner can highlight this eco-friendly practice on the
company website.

OPERATIONAL
• Operational policies are the instruments and practices
by which organizations rationalize and continuously
improve the work they do through available
knowledge and technology.
• This family of policies includes team synergy, decision
structures, methods, standards, systems and
procedures that yield high performance and
consistently respond to changing circumstances.
While strategic policies dealt with the substance of
what you are about, operational policies deal with the
process of getting the job done.

OPERATIONAL
• The first policies defined the business you are in, the
second help you devote your attention to activities
and practices with bottom-line impact. Building a
vibrant community, eliminating inequities and waste,
absenteeism and high levels of worker turnover are
among the goals addressed by these policies.
Guidelines to benchmark your performance are
indispensable to set targets and keep a sharp eye on
progress.

REFERENCES:
• POLICY MAKING MODELS AND THEIR ROLE IN POLICY
EDUCATION by Alan J. Hahn Cornell University/
http://ageconsearch.umn.edu/bitstream/17854/1/ar870222.pdf
• Theoretical Approaches to Public Policy by Mr. Denis Sanchawa,
DH
• http://www.mtnonprofit.org/uploadedFiles/Files/Org-
Dev/Principles_and_Practices/Other_Sample_Docs/EthicsPolicyMin
nesota.pdf
• http://smallbusiness.chron.com/strategic-policy-examples-
22991.html
• http://www.executive.org/Bibliography/Policy.pdf
• https://en.wikipedia.org/wiki/Policy

Policy report final by Merlinda D Gorriceta, Joy S Sumortin, Derna F Bancien

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Policy report final by Merlinda D Gorriceta, Joy S Sumortin, Derna F Bancien