Writing a policy issue paper

Dr. Lloyd C. Bautista, DPA

 Outline
• What is the concept and rudiments of a
policy paper?
• How does a policy paper intersect with a
research paper?
• How do we prepare to write a policy paper?
• What are tips and techniques in writing a
policy paper?
What is policy analysis?

• Policy analysis is an applied social

science discipline which uses
multiple methods of inquiry and
arguments to produce and
transform policy-relevant
information that may be used in
political setting to resolve public
problems (Dunn, 1981).
• Policy analysis is a means of
synthesizing information
including research results to
produce a format for policy
decisions (Williams, 1971).
Three pillars of public safety &
security policy
Preservation & • Strategic alliances
enhancement of • Territorial integrity
• National sovereignty
National Security
• Ensure the safety and security
• Public order, public welfare and
Rule of law & discipline
enforcement of public • Law enforcement and maritime
order security
• Jail management

Protection of the • Due process and human rights

• Provide legal and social
human rights, and the protection
promotion of the • Partnerships with LGUs and other
welfare of LGUs stakeholders
 • The public problem should not be linear and is
usually characterized as interlocking and
interdependent with others. We call this wicked
problems or ill-structured dilemmas (i.e. climate
change mitigation affects economic growth).
• The public problem can be interpreted through
various lenses (i.e. pollution is caused by
progress or unabated commercialism).
•
Criteria of The solutions to the public problem are
dynamic (i.e. advocacy to regulation).

topics for • The saliency or urgency of the public problem is

timely, relevant and significant to the
community.
policy paper • The depth of controversy and tension of the
public problem generates enough attention of
policy makers.
• The extent of interests, resources and influence
involved in the public problem has significant
impact to a wide array of stakeholders and
beneficiaries; and
• The societal goals resulting to the resolution of
the public problem generate diverging value
preferences of common good or public welfare.
 There are different type of
researches…
 Basic (Pure) research is for the development of new theories and
principles with little concerns for the application. It is possible that it
can improve knowledge of a new phenomenon but there may not be
any practical application.

 Applied research tests the theoretical findings in actual problem

situations. It is motivated by its practicality and usefulness since it
contributes not only in knowledge base but improvement on the lives
of people, organizations and ecosystems.

 Action research is focused on the immediate application, with

emphasis on the here and now. There is a diagnosis of the problem.
There is participation, reflections and empowerment of people and
groups interested in improving their social condition. Findings are to
be evaluated relative to local application, and not general validity.
 What kind of research is a Policy
Paper?

 Policy Paper is an analytical and evidenced-based research that does not

only present facts or simply provide a description of events but rather
empirical information to evaluate policies, to develop questions for
analysis, to provide evidence for the answers to these questions, and to
make recommendations for actions. In short, the policy paper aims to
process collated data and provide value-added information (policy
knowledge) to guide decision makers in identifying the effective,
efficient and responsive course of action.
 Nicolaïdis’s definition:

Policy is a rule of action, manifesting or clarifying organization

goals, objectives, values, or ideals and often prescribing the
obligatory or most desirable ways and means for their
accomplishment.

Such rule for action established for the purpose of framing,

guiding, or directing organizational activities, including
decision making, and intends to provide relative stability,
consistency, uniformity, and continuity in the operations of
the organization.
 Elements

P – public purpose
C – control or authority
S – state action
E – effects or consequence
C – common good
Research is
knowledge
• Policy paper is not a thesis,
but has research elements.
• Policy paper is not concerned
with theory development.
• Policy paper has different
style and content.
• Policy paper aims to respond
to an issue, dilemma or
unrealized govt need
 • Policy problems are unrealized values,
needs, or opportunities, which however
identified, may be attained through public
action. It may rarely be decomposed into
independent, discrete and mutually
Public exclusive parts. Policy problems arise out
of market failures; which are seen in the
Problem collapse of price-market institutions to
sustain “desirable” activities or to stop
vs. “undesirable” activities.
• Policy issues do not only involve
Policy disagreements on presence of a public
problem. But they reflect competing views
Issue of the nature of the problem or potential
courses of action from multiple
stakeholders. Policy issues are therefore
result of prior disputes about the
definition, classification, explanation, and
evaluation of a problem
 META
PROBLEM
Problem
Problem Search Ill-structured because it
Definition
seems unmanageable.

Encounter problem Define the problem in its

representations by basic and general terms
multiple stakeholders

PROBLEM Recognition or felt SUBSTANTIVE

existence of a problem. Consider the worldviews,
SITUATION ideology and beliefs. PROBLEM

More detailed
and specific.

Problem Framework or model Problem

Sensing of the problem.
Specification

FORMAL
PROBLEM

rce: Dunn, W (2004). The Phases of Problem Structuring

 Proposed Outline of
Foreign Policy Paper
Executive summary
I. Background of the Public Problem
II. Statement of the Problem & Policy Issues
III. Related studies
IV. Research design (if necessary)
V. Findings, discussion & analysis
VI. Conclusion
VII.Policy option or recommendations
Appendices
 • Law enforcement
• Human rights
• Counter insurgency
• Prevention and countering terrorism and
extreme violence

Popular topics •
•
Maritime and border security
Climate Change & Paris Agreement

in public safety •
•
Human security
National sovereignty & territorial integrity
• Illegal drugs and narcotics
& security • Cybersecurity & cyber terrorism
• Human Trafficking
sector • Pandemics & infectious diseases
• Human migration
• Protection of water, energy and critical
infrastructure protection
• Chemical, Biological, Radioactive, & Nuclear
• Drones and hybrid warfare
• Political warfare
• Technologies and 4th Industrial Revolution
 Begin with a Core
Problem in your paper
 What is your Public Problem that leads to
the need for a study
 There are many potential sources –
diplomatic, security, political, economic,
socio-cultural, system, policy, and
technology scanning.
 It might even spring from your own
personal experience
 It may come from an extensive reading
of the literature.
 It might develop from policy debates in
government or among top executives.
 What to remember
• In Background, you should indicate (1) problem area
you are studying, (2) the pertinent facts about the
problem area, and (3) how these facts relate to the
hypothesis of the experiment,
• Other answers: (1) what is the problem, (2) why is it
important, (3) what does prior literature say about
the problem, (4) what thinking led up to that
hypothesis, (5) what is the overall plan for testing
the hypothesis
• You need to pique the interest of your audience –
narrative hook
• Refrain from using long quotations, idiomatic
expressions, and other metaphors
• Consider numeric information (i.e., Today, an
estimated 2,384 have passed away due the COVID-19
infections)
 Other things to remember
• Hypothesis is given and how you will test it. What will
readers get out of this study. This usually appears at
the end after you explained the research and thinking
behind it.
• Overview of the present study gives enough
information about the rationale and procedures to
prepare us for the full description of the experiment.
•  Remember the funnel approach/analogy – begin
with the broad topic area and gradually narrow the
focus of your writing to the specific research
question of your experiment 
• It is not necessary to cite every bit of research that
has ever been done in an area. Be careful with your
citation…cite all articles with background
experiments for your hypothesis as well as sources
from which you obtained your idea.
• Include a sentence or two about operational
definitions to prepare readers
 Example guide: Myanmar coup
Guide question
What is the problem area?
What are pertinent facts?
What are prior literatures?
What are the deficiencies?
Is there a hypothesis?
Why is the study important?
What is the purpose?
How do we refocus on the
general problem again?
Sample
The US and Western countries are pressuring ASEAN to openly condemn
the Myanmar coup overthrowing Aung San Suu Kyi. In the April summit in
Jakarta, the members issued a statement calling for a cessation of
violence and constructive dialogue in its Five Points Consensus. One of
the points was a visit by the ASEAN special envoy. Myanmar authorities
are not too keen in allowing the visit.
On February 1, the Myanmar military (Tatmadaw) staged a coup arresting
civilian leaders, Win Myint as President and Aung Suu as State Counselor.
Aside from arrests of political oppositions, hundreds had been killed an
injured in street demonstrations.
Studies have shown that ASEAN members tended to be reluctant in
interfering into each other’s political affairs. In addition, most members are
ruled by authoritarian socialist regimes (Chambers, 2012).
N/A
The study demonstrates the ASEAN dilemma of some countries accepting
the coup while others condemning it due to the violence against civilians.
The problem hinges on the culture and tradition in ASEAN which often fails
to come up with a cohesive response in the domestic affairs of their
members.
Choosing a policy
research problem

• Would it provoke
interest?
• Does it convey a specific
research issue?
• Would it entice people to
read your paper?
• Does it have a narrative
hook?
 Narrative hook

• Since the 1990s, the world has confronted geopolitical,

economic, technology, environmental, and sociocultural
changes that disrupted all fabric of human life.
• The Philippines has failed to accelerate its R&D due to
the lopsided FTA with advanced economies. It is high
time we reframe our R&D foreign diplomacy strategies in
dealing with them.
Problem statement & Policy Issues
This policy paper aims to evaluate and explain the implications of China’s
growing assertiveness in the West Philippine Sea with respect to the
country’s foreign diplomacy, defense, and security thrusts and directions.

RQ No. Type of questions Specific research questions

#1 Macro-scanning/ What are the geopolitical, diplomatic, security and
Problem scoping economic issues involved in China’s growing
assertiveness in WPS?
#2 Standard or benchmark How do other Southeast Asian countries respond and
interface with China’s hegemony?
#3 Variances What are the gaps and challenges in the country’s
diplomatic and military positions in responding to
China’s growing assertiveness?
#4 Significance testing Does the presence of a robust alliance with the US
predict the China’s territorial assertiveness?

#5 Intervention or solution What are recommendations to recalibrate the country’s

strategic response to China’s hegemony in WPS?
 Research objectives
Specifically, this policy paper aims to achieve the following objectives:

RO No. Specific research questions Objectives (SMART)

#1 What are the geopolitical, diplomatic, To explore the geopolitical, diplomatic, security
security and economic issues and economic issues in WPS
involved in China’s growing
assertiveness in WPS?
#2 How do other Southeast Asian To draw best practices Southeast Asian countries’
countries respond and interface with response to China’s 9-dash line.
China’s hegemony?

#3 What are the gaps and challenges in
the country’s diplomatic and military
positions in responding to China’s
growing assertiveness?
#4 Does the presence of a robust
alliance with the US predict the
China’s territorial assertiveness?
#5 What are recommendations to
recalibrate the country’s strategic
response to China’s hegemony in
WPS?
To investigate and explain the gaps and
challenges in the country’s diplomatic and military
agencies in responding to China’s growing
assertiveness.
To explain the effect of a robust alliance with the
US predict the aggressiveness of China
To institutionalize the recalibrate the country’s
strategic response to China’s hegemony in WPS
 Rationale of Policy Literature Review

The literature review should address the

following questions:
1.What is the existing scholarly context of
what is known about the subject matter?
2.What are the gaps in the literature(s)?
3.How will the current study fill those gaps?

Goldberg, A. & Allen, K. (2015). Communicating Qualitative

Research: Some Practical Guideposts for Scholars. Journal of
Marriage and Family, 77: 3–22
Guide questions in your Literature
Review
• What are your Research Questions?
• Based on these questions, why is the
study significant to your research?
• What are the gaps or inconsistencies
emerging across the past studies?
• How about recommendations for future
research?
• If you pursue your paper, what would be
your ‘own’ contribution to the body of
knowledge?
Hierarchy of secondary documents

Peer-reviewed journals & articles

Authoritative books on the subject

(classics)

Institutional reports of govt or multi-lateral agencies

Thesis / dissertation
(Unpublished)

Periodicals / Magazines / e-Articles

 What is a theoretical framework?
• All the theories from experts which becomes the
subject of your research.
• Analogy of a theoretical coat hanger for your data
analysis and interpretation of results.
• It is a structure that summarizes concepts and
theories, which you develop from previously tested
and published knowledge
• You synthesize them to help you have a theoretical
background, or basis for your data analysis and
interpretation of your research data.
How to develop a theoretical Fundamentals of research

framework.
K u m a r ( 2 0 11 ) s a i d ,
“As you read, you will soon discover that your problem has its roots in a number of theories
that have been developed from different perspectives” (p. 38).

“You need to sort them out into themes and theories, highlight agreements and disagreements
among the authorities and identify the gaps or unanswered questions” (p. 38).
13
Here l i es t he pa radox.

Unle ss you go t hr ough

li t er atur e, you cannot
devel op a theor eti cal
f ram ework and unt i l you
developed a t heor et ical
f ram ewor k you cannot
eff ect i vel y cr ea te your own
concept ual f ram ework.
 What is a conceptual framework?

• It is the total, logical orientation and

associations of anything and everything that
forms the underlying thinking, structures,
plans and practices and implementation of
your entire research project.
 What is a conceptual framework?
• It comprises your thoughts on
identification of the research topic, the
problem to be investigated, the questions to
be asked, the literature to be reviewed, the
theories to be applied, the methodology you
will use, the methods… the data analysis
and interpretation of findings,
recommendations and conclusions you will
make (Ravitch & Riggan, 2017).
• Conceptual framework is the logical Master
Plan of your entire research project.
• It means that a conceptual framework is a
metacognitive, reflective and operational
element of the entire research process.
How to develop a conceptual Fundamentals of research

framework.
K u m a r ( 2 0 11 ) s a i d ,
“It is the basis of your research problem…it stems from your theoretical framework and
usually focuses on the dimensions / facets / variables which lead to your study” (p. 40).

“Whereas the theoretical framework consists of theories or issues in which the study is
embedded, the conceptual framework describes the aspects you selected from the theoretical
framework to become the basis of your enquiry” (p. 40).
 Operational
framework
• Rules, guides and procedures
of how to operationalize your
concept
• These include the precepts
and principles.
• It may also compose of the
pillars or drivers.
• In short, a high official
understands how your idea or
theory can be translated into a
course of action.
A Framework for Design – The Interconnections of Worldviews,
Strategies of Inquiry, and Research Methods

Philosophical
Worldviews Strategies of Inquiry
 Post positivism  Qualitative (e.g. Ethnography)
 Social construction  Quantitative (e.g. Experiment)
 Advocacy/participatory  Mixed method strategies (e.g. Sequential)
 Pragmatic
Research Design
 Qualitative
 Quantitative
 Mixed method

Research Methods
 Questions
 Data collection
 Data analysis
 Data interpretation
 Write-up
 Validation Source: Creswell, 2009
 Research methodology
Research Research Design (Strategy of Data collection technique
Methodology inquiry) or tool
(Approach)
Qualitative Case study Key interview
Grounded theory Focus group
Phenomenology Secondary data analysis
Participant observation
Group interview
Nominal group technique
Quantitative Quasi-experimental Questionnaire
Experimental Pre-post experiment
Survey
Mixed Convergent (concurrent) KII & survey
Sequential
explanatory/exploratory
 Sample Template
Guide question
What is the Research
Methodology, Paradigm or
Approach (i.e., Quali, Quanti or
Mixed)?
What is Research Design of
your methodology (i.e., Case
Study, Survey, Grounded
Theory, etc.)?
Where and what is your locale
and unit of analysis?
If Quanti, how did you derive
your sample?
What is your data collection
procedure?
What is your data analytical
technique?
Answer in paragraph form with connection to each elements
This study employs a mixed approach using both qualitative-descriptive
and quantitative-explanatory approach. The qualitative-descriptive aims
to elicit the meanings and nuances explained by key AFP officers on the
preliminary results of the ELCAC in Region V. Further, the quantitative-
explanatory shows the relationship between the perceived social
services in ELCAC and the rebels surrendering to the LGUs.
The study shall use a Case Study for the qualitative approach while
survey design for the quantitative. The case study aims to xxx. The
survey shall be administered
The research locale shall be Region V. Region V is composed of the
following provinces xxx. The unit of analysis shall be selected LGUs
covered by ELCAC.
The study shall deploy a random stratified sampling of 125 local
government officials, civil society groups, and rebel returnees.
Data shall be collected using the following procedure. First, we shall
coordinate with the selected LGUs. Second, while conducting survey, we
will hold key informant interviews with rebel returnees. Third, we shall
also conduct participant observation in the areas covered. Fourth, xxx.
For qualitative data collected, we will apply content and thematic
analysis. For quantitative data, we will administer ANOVA and
correlation.
 ****Scope and limitations
Element Example
The study shall be conducted in Sulu and Basilan
Locale or location of the provinces to explore the learning content that might
study lead to religious extremism.

The unit of analysis shall be Muslim schools for

Unit of analysis religious instruction.

The sample population shall be four out of the 21

Sample population schools.

The study had to contend with security and safety

challenges during the field research. The time frame
Physical limitations was from August to November or 4 months.

The measures were pretested with 35 participants

using Cronbach’s alpha. The respondents were
Reliability issues selected using a criteria based on interviews.

The study does not aim to generalize the findings in

Validity issues other settings. Results are confined in the 4 schools.
 Guide
Parts of the Paper Guide question
6. Findings, discussion & • What were facts, data & information you collected to
analysis address each Research Question (RQ)?
• What were the claims and counterclaims as
supported by the empirical process?
• What inferences or deduction did you draw from the
discussion?
• How did you deploy critical thinking, logic and
evidence?
7. Conclusion • What are the major take-aways or learning from
your research?
• What are at least major findings you had
enumerated or summarized?
8. Policy option or • What are your criteria or indicators for deriving your
Recommendation choices?
• What are the principal basis of your
recommendation?
• Are they doable, feasible, controllable, and
acceptable to stakeholders?
 Findings & Analysis:
Parts of an Argument
 Claim (thesis statement)
 Reason
 Evidence
 Acknowledgement and response to
counterarguments
 Warrant

Source: Wayne Booth, Gregory Colomb, & Joseph Williams’ The Craft of Research
Joining a labor unions in the Philippines is often
influenced by extrinsic rewards (claim) because
Filipinos have a higher aspiration for pay and
promotion in their occupation (reason). Social
psychologist Geert Hofstede has done extensive
work on cross-cultural countries and found that
Filipino have higher “masculinity” preferences (i.e.,
rewards, completion, and benefits) compared to
other countries (evidence – secondary data).
Joining a labor unions in the Philippines is often
influenced by extrinsic rewards (claim) because
Filipinos have a higher aspiration for pay and
promotion in their occupation (reason). Seven out of
10 Filipino workers interviewed for this study said
that the main motivation for joining a labor union was
to extract as much benefits and privileges from the
company (evidence – primary data).
Joining a labor unions in the Philippines is often influenced by
extrinsic rewards (claim) because Filipinos have a higher
aspiration for pay and promotion in their occupation (reason).
Seven out of 10 Filipino workers interviewed for this study
said that the main motivation for joining a labor union was to
extract as much benefits and privileges from the company
(evidence – primary data). There have been reports that
some workers were forced to join the labor union out of
expediency (acknowledge the counterargument); however,
interviews with the members indicated that no one was forced
to join nor did they saw the expediency of the situation
(response).
 Logic of Research Argument

The principle that connects

the reason & claim is…. WARRANT(S)

I claim that … …because of this reason …which is based on this evidence…

CLAIM REASON(S) EVIDENCE (S)

Acknowledging these questions, objections, and alternatives, and

responding to them with these arguments…..

COUNTERARGUEMENT(S) & RESPONSE(S)

Source: Wayne Booth, Gregory Colomb, & Joseph Williams’ The Craft of Research
 Findings, discussion & analysis
Guide question Answer in paragraph form with connection to each elements
What is the question? What are the gaps and challenges in the country’s diplomatic and
military positions in responding to China’s growing assertiveness?

What is the claim & justification? On the diplomatic front, government authorities had failed to leverage
the landmark decision under the UNCLOS of the Permanent Court of
Arbitration. This could have reinforced the country’s claims over the
maritime territory that China insisted within its 9-dash line.

How do you support it with
facts, data, & evidence?
What are the counterarguments
against your claim?
How do you refute or warrant
your claim despite of them?
The Tribunal found that China’s actions, such as building artificial islands
and restricting Philippine access to the areas violated its EZZ.
National authorities claimed that the PCA ruling cannot be enforced
since they are merely between the disputed parties.
The PCA ruling actually “internationalize” the SCS issue. It provided a
clarity on the competing maritime claims and can be the basis of future
disputes. Further, it underscored the importance of the SCS to global
commerce and prosperity.
 • The following items should be
included as appendices to a policy
paper.
– Annexes, if there are any;
– Endnotes, if end notes are used
rather than footnotes;
Appendices – Tables, charts, maps, etc. Maps can
also be placed within the body of the
paper, if appropriate;
– Paper proposal parts 1-3
– References (Use the American
Psychological Association style 7th Ed)