The document presents a framework for policy analysis, detailing its definition, goals, and a six-step process for conducting thorough assessments. Key steps include verifying and defining the problem, establishing evaluation criteria, identifying and evaluating alternative policies, presenting findings, and monitoring policy implementation. It emphasizes the importance of systematic evaluation to guide decision-makers in selecting the most effective course of action amidst uncertainty.

1. POLICY ANALYSIS PROCESS
By Wilfredo B. Ruin
DM 220 – Public Policy and Program Administration

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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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. 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!