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POLICY ANALYSIS PROCESS 
By Wilfredo B. Ruin 
DM 220 – Public Policy and Program Administration
Objective 
 The presentation will try to 
provide a framework for 
thinking about policy analysis 
and a discussion on th...
Outline of Presentation 
 Policy Analysis Defined 
 Goals of Policy Analysis 
 Policy Analysis Process Defined 
 Basic...
Policy Analysis Defined 
 The use of reason and evidence to select the best policy 
among number of alternatives to addre...
Policy Analysis Defined 
 Policy analysis is client oriented advice 
relevant to public, or private, decisions 
and infor...
Goals of Policy Analysis 
 Reduce uncertainty and provide information for 
decision makers in the public arena 
 As a sy...
Process to Policy Analysis 
 Approach to problems that is logical, 
structured, valid, and replicable 
 To generate cour...
Process to Policy Analysis 
Six STEPS 
 Verify, define, and detail the problem 
 Establish the evaluation criteria 
 Id...
Process to Policy Analysis 
FIGURE 1: A basic policy analysis process 
Carl V. Patton 
Analyst may take various routes thr...
Verify, Define, and Detail the Problem 
Step One 
 Determine the magnitude and extent of the problem; 
DON’T ACCEPT initi...
Verify, Define, and Detail the Problem 
Step One 
 Understand the positions and influence of various 
individuals and gro...
Establish the Evaluation Criteria 
Step Two 
 Any proposed policy will have a variety of impacts 
and may affect various ...
Establish the Evaluation Criteria 
Step Two 
 Decision criteria are sometimes provided by 
the client either directly as ...
Identify the Alternative Policies 
Step Three 
 Analyst should already have a CLEAR 
UNDERSTANDING of the values, goals, ...
Identify the Alternative Policies 
Step Three 
 Consider solutions from 
previous analysis of a 
similar case/problem; th...
Evaluate Alternative Policies 
Step Four 
 Nature of problem and types of 
evaluation criteria will suggest the 
methods ...
Evaluate Alternative Policies 
Step Four 
 Reveals alternatives which – 
 may satisfy most or all of the major criteria ...
Display and Distinguish among 
Alternative Policies 
Step Five 
Neutral presentation format, the order of criteria, the se...
Display and Distinguish among 
Alternative Policies 
Step Five 
 Analysis under time constraints are done in 
shortcuts. ...
Monitoring the Implemented Policy 
Step Six 
 Not because the policy has been 
implemented, it will automatically 
mean t...
References 
 http://www.fao.org/AG/againfo/projects/en/pplpi/ 
home.html 
 Carl V. Patton, Basic Methods of Policy Analy...
Governments will always play a huge part in solving big 
problems. They set public policy and are uniquely able to 
provid...
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Policy Analysis Process by Willy Ruin

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

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Policy Analysis Process by Willy Ruin

  1. 1. POLICY ANALYSIS PROCESS By Wilfredo B. Ruin DM 220 – Public Policy and Program Administration
  2. 2. Objective  The presentation will try to provide a framework for thinking about policy analysis and a discussion on the process for conducting policy analysis.
  3. 3. 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
  4. 4. 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.
  5. 5. 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.”
  6. 6. 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
  7. 7. 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
  8. 8. 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
  9. 9. Process to Policy Analysis FIGURE 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.
  10. 10. Verify, Define, and Detail the Problem Step One  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 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 …
  11. 11. Verify, Define, and Detail the Problem Step One  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. 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
  12. 12. Establish the Evaluation Criteria Step Two  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. 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.
  13. 13. Establish the Evaluation Criteria Step Two  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.  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
  14. 14. Identify the Alternative Policies Step Three  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. NO action alternative is a policy that deserves a consideration.
  15. 15. Identify the Alternative Policies Step Three  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). 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.
  16. 16. Evaluate Alternative Policies Step Four  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.  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 out feasible and effective solutions.
  17. 17. Evaluate Alternative Policies Step Four  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. 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.
  18. 18. Display and Distinguish among Alternative Policies Step Five Neutral presentation format, the order of criteria, the sequence of alternatives, and the space given to various options can influence decisions.  Ways to PRESENT findings / evaluations  Quantitative terms – where the value  Comparative matrix – where there will be 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 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?
  19. 19. Display and Distinguish among Alternative Policies Step Five  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. NOTE: every solution breeds new problems. - Is the organization willing to accept them? - What could be ways to mitigate?
  20. 20. Monitoring the Implemented Policy Step Six  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.  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.
  21. 21. 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
  22. 22. 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 Thank you!

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