Policy analysis

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Policy analysis is "determining which of various policies will most achieve a given set of goals in
light of the relations between the policies and the goals".[1] However, policy analysis can be divided
into two major fields. Analysis of policy is analytical and descriptive—i.e., it attempts to explain
policies and their development. Analysis for policy is prescriptive—i.e., it is involved with formulating
policies and proposals (e.g., to improve social welfare).[2] The area of interest and the purpose of
analysis determines what type of analysis is conducted. A combination of policy analysis together
with program evaluation would be defined as Policy studies.[3]
Policy Analysis is frequently deployed in the public sector, but is equally applicable to other kinds of
organizations. Policy analysis has its roots in systems analysis as instituted by United States
Secretary of Defense, Robert McNamara[4]

Contents
[hide]

 1 Approaches
 2 Methodology
o 2.1 Dimensions for analyzing policies
 3 Evidence based Models
o 3.1 Types of Policies[10]
o 3.2 For Governments
 3.2.1 Process model
o 3.3 For Public Institutions
 3.3.1 Rational model
 3.3.2 Incremental Policy
o 3.4 For Workplace
 3.4.1 Group model
o 3.5 Techniques used in Policy Analysis
 4 Evaluation
o 4.1 NCCHPP's 10 Steps for conducting a policy evaluation
 5 See also
 6 References
 7 Further reading
 8 External links

Approaches[edit]
Various approaches to policy analysis exist. The Analysis ‘of-for’ policy is the central approach in
social science and educational policy studies which is linked to two different traditions of policy
analysis and research frameworks. The approach of analysis ‘for’ policy refers to research
conducted for actual policy development, often commissioned by policymakers inside the
bureaucracy within which the policy is developed. Analysis ‘of’ policy is more of an academic
exercise, conducted by academic researchers, seeking to understand why a particular policy was
developed at a particular time and the effects, intended or otherwise, of that policy.[5]
There are, in addition three general approaches that can be distinguished: the analycentric, the
policy process, and the meta-policy approach.[2]
The analycentric approach focuses on individual problems and their solutions; its scope is the
micro-scale and its problem interpretation is usually of a technical nature. The primary aim is to
identify the most effective and efficient solution in technical and economic terms (e.g. the most
efficient allocation of resources).
The policy process approach puts its focal point onto political processes and involved stakeholders;
its scope is the meso-scale and its problem interpretation is usually of a political nature. It aims at
determining what processes and means are used and tries to explain the role and influence of
stakeholders within the policy process. By changing the relative power and influence of certain
groups (e.g., enhancing public participation and consultation), solutions to problems may be
identified. One way of doing this followed a heuristic model called the policy cycle.
The meta-policy approach is a systems and context approach; i.e., its scope is the macro-scale
and its problem interpretation is usually of a structural nature. It aims at explaining the contextual
factors of the policy process; i.e., what are the political, economic and socio-cultural factors
influencing it. As problems may result because of structural factors (e.g., a certain economic system
or political institution), solutions may entail changing the structure itself.

Methodology[edit]
Policy analysis is a methodologically diverse practice using both qualitative methods and quantitative
methods, including case studies, survey research, statistical analysis, and model building among
others. One common methodology is to define the problem and evaluation criteria; identify all
alternatives; evaluate them; and impede or recommend the policy accordingly. Promotion of the best
agenda's are the product of careful back-room analysis of policies by a priori assessment and
posteriori evaluation.
Dimensions for analyzing policies[edit]
There are six dimensions in analyzing a policy. It is based on the Effects and Implementation of the
policy across a period of time. Otherwise "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.[6]
Effects

Effectiveness What effects does the policy have on the targeted problem?

Unintended effects[7] What are the unintended effects of this policy?

Equity[8] What are the effects of this policy on different groups?

Implementation

Cost What is the financial cost of this policy?

Feasibility Is the policy technically feasible?

Acceptability[9] Do the relevant policy stakeholders view the policy as acceptable?

The strategic Effects dimensions can pose certain limitations due to data collection. But the
analytical dimensions of Effects directly influences Acceptability. The degree of Acceptability is
based upon the 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 Cost.
Finally Implementation dimensions collectively influence a policy's ability to produce results or
impacts.

Evidence based Models[edit]

Many models exist to analyze the creation and application of public policy. Analysts use these
models to identify important aspects of policy, as well as explain and predict policy and its
consequences. Each of these models are based upon the types of policies.
Types of Policies[10][edit]

 Government (e.g. federal, provincial, municipal)

 Policies adopted within public institutions (e.g. hospital, child care centers, schools)
 Workplace (e.g. policies that govern employees)
Some evidence supported models are:
For Governments[edit]
Public policy is determined by political institutions, which give policy legitimacy. Government
universally applies policy to all citizens of society and monopolizes the use of force in applying policy.
The legislature, executive and judicial branches of government are examples of institutions that give
policy legitimacy.
Process model[edit]
See also: policy cycle
Policy creation is a process following these steps:

 Identification of a problem and demand for government action.

 Agenda setting
 Formulation of policy proposals by various parties (e.g., congressional committees, think tanks,
interest groups).
 Policy selection/adoption and enactment of policy; this is known as Policy Legitimation.
 Policy Implementation which has the plausible solution.
 Policy Evaluation.
This model, however, has been criticized for being overly linear and simplistic.[11] 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 influence the process itself as well as each other, and the complexity
this entails.
For Public Institutions[edit]
One of the most widely used model for Public Institutions are of Herbert A. Simon, the father of
rational models. It is also used by private corporations. Though many criticise the model due to
characteristics of the model being impractical and lying on unrealistic assumptions. For instance, it is
a difficult model to apply in the public sector because social problems can be very complex, ill-
defined and interdependent. The problem lies in the thinking procedure implied by the model which
is linear and can face difficulties in extra ordinary problems or social problems which have no
sequences of happenings.
Rational model[edit]
See Rational planning model for a fuller discussion
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”.[12] It is important to note
the model makes a series of work conditions, 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 problem is unambiguous; There are no limitations of time or cost.
Furthermore, in the context of that 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 are identified, collected and analyzed.
2. Identifying problems — Accounting 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
factors could materialize in-order to give a correct priority 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 & the criteria of the tentative options and by
selecting a optimal alternative with consensus of involved actors.[13]
The model of rational decision-making has also proven to be very useful to several decision making
processes in industries outside the public sphere. Nonetheless, there are some who criticize the
major problems faced when using the rational model arise in practice because social and
environmental values can be difficult to quantify and forge consensus around.[14] Furthermore, the
assumptions stated by Simon are never fully valid in a real world context.
Deficiencies of Rationalism — gap between planning and implementation. Ignores role of people,
entrepreneurs, leadership, etc. Technical competence along is not enough (ignores the human
factor). Too mechanical an approach, organizations are more organic. Models must be
multidimensional and complex. Predictions are often wrong; simple solutions may be overlooked.
The costs of rational-comprehensive planning may outweigh the cost savings of the policy.
However, Thomas R. Dye, the president of the Lincoln Center for Public Service states the rational
model provides a good perspective since in modern society rationality plays a central role and
everything that is rational tends to be prized. Thus, it does not seem strange that “we ought to be
trying for rational decision-making”.[15]
Incremental Policy[edit]
See Incrementalism for a fuller discussion
This model relies on the concepts of incremental decision-making such as satisfying, organizational
drift, bounded rationality, and limited cognition, among others. Basically can be called "muddling
through." It represents a conservative tendency: new policies are only slightly different from old
policies. Policy-makers are too short on time, resources and brains to make totally new policies; past
policies are accepted as having some legitimacy. Existing policies have sunk costs which discourage
innovation, incrementalism is an easier approach than rationalism, and the policies are more
politically expedient because they don't necessitate any radical redistribution of values. This model
tries to improve the acceptability of public policy.
Deficiencies of Incrementalism — Bargaining is not successful with limited resources. Can downplay
useful quantitative information. Obscures real relationship being political shills. Anti-intellectual
approach to problems; no imagination. Conservative; biased-against far-reaching solutions.
For Workplace[edit]
There are many contemporary policies relevant to gender and workplace issues. Actors analyze
contemporary gender-related employment issues ranging from parental leave and maternity
programs, sexual harassment, and work/life balance to gender mainstreaming. It is by the
juxtaposition of a variety of research methodologies focused on a common theme the richness of
understanding is gained. This integrates what are usually separate bodies of evaluation on the role
of gender in welfare state developments, employment transformations, workplace policies, and work
experience.
Group model[edit]
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
Other major types of Policy Analysis:-
a) Empirical, Normative Policy Analysis. b) Retrospective/Prospective Analysis. c) Prescriptive and
Descriptive Analysis
Techniques used in Policy Analysis[edit]

1. Cost Benefit Analysis

2. Management by Objectives (MBO)
3. Operations Research
4. Decision making based on Analytics
5. Program Evaluation and Review Technique (PERT) & Critical path Method (CPM)

Evaluation[edit]
The success of a policy can be measured by changes in the behavior of the target population and
active support from various actors and institutions involved. A public policy is an authoritative
communication prescribing a unambiguous course of action for specified individuals or groups in
certain situations. There must be an authority or leader charged with the implementation and
monitoring of the policy with a sound social theory underlying the program and the target group.
Evaluations can explain causal chains and what effects will be produced by program
objectives/alternatives.
To obtain compliance of the actors involved, the government can resort to positive sanctions, such
as favorable publicity, price supports, tax credits, grants-in-aid, direct services or benefits;
declarations; rewards; voluntary standards; mediation; education; demonstration programs; training,
contracts; subsidies; loans; general expenditures; informal procedures, bargaining; franchises; sole-
source provider awards...etc.[16]
NCCHPP's 10 Steps for conducting a policy evaluation [edit]
Policy evaluation is used to examine content, implementation or impact of the policy, which helps to
understand the merit, worth and the utility of the policy.[17]
Planning

 Clarify the policy

 Engage stakeholders
 Assess resources and evaluability
 Determine your evaluation questions
 Determine methods and procedures
 Develop evaluation plan
Implementation

 Collect data
 Process data and analyze results
Utilization

 Interpret and disseminate the results

 Apply evaluation finding