POLICY ANALYSIS ● Foreign or international policy is the

mechanism national governments

INTRODUCTION TO POLICY use to guide their diplomatic
ANALYSIS interactions and relationships with
other countries. It reflects the
Policy country’s values and goals, and helps
● Policy describes what to do and what drive its political and economic aims
not. in the global arena.
● Policy has many meanings.
● A plan or course of action intended NOTE: Policies are developed in both the
to influence and determine decisions, public and private sectors by politicians in
and actions and other matters. the Philippine Legislature, commonly
● Policies may be thought of as the known as the Congress of the Philippines.
main system which provides the The House of Representatives and the
framework for the accomplishment Senate are the two chambers or houses of
of intended objectives. -Goel and Congress. Representatives or
Goel Congressmen/Congresswomen are members
● Policy is created in response to an of the House of Representatives.
issue or problem that demands
addressing. Analysis
● Policy can be a law, a regulation, or ● It refers to examining the nature or
the collection of all the laws and structure of something, especially by
regulations that regulate a certain separating it into its parts, in order to
subject or situation, and it is created understand or explain it.
on behalf of the “public”.
Policy Analysis
Local Policy ● According to Carl V. Patton, it is
● Public policies on a local level “the process through which we
include city ordinances, fire rules, identify and evaluate alternative
and traffic restrictions. policies or programs that are
intended to lessen (decrease) or
National Policy resolve social, economic, or physical
● Public policy at the national level problems.
addresses topics such as public ● It is also known as public policy
health, criminal justice, gun rights, analysis.
immigration, reproductive rights, ● It is a technique used in the public
drug usage, education, and disaster ● administration subfield of political
preparedness. science to enable civil servants,
nonprofit organizations, and others
International Policy to examine and evaluate the
 available options for addressing an 2. Introduction and Problem
issue or problem, and then compare Statement
those options to select the most - It consists of 3-4 pages
effective, efficient, and feasible - This is the introduction to the
option for implementing the goals of Policy Analysis and the
laws and elected officials. Policy Issue.
- Identify with clarity and
NOTE: Policy Analysis can identify current specificity the problem being
policy options as well as gaps in existing addressed with a summary of
research to further narrow options and the policy issues at stake and
solutions that these proposed policies would the primary options. (Why is
affect members of the community, its the problem important?)
potential economic and budgetary impact, as 3. Assemble Evidence
well as the legal and political landscape that - It consists of 4-6 pages
surrounds the policy. - Provide specific background
for the question at hand.
POLICY ANALYSIS PAPER Clients will be concerned
FORMAT with the substance of the
● It commonly consists of 20-25 pages debate, but they must also
know something about the
Parts of Policy Analysis Paper: politics.
1. Executive Summary - In particular, they need to
- It consists of 2-3 pages know what the goals and
- This should be on separate objectives are that the policy
pages between the title page options are supposed to
and the beginning of the achieve; they need to know
Policy Analysis itself. the dimensions and
- Summarize the content of the parameters of the problem;
entire brief in one page. and they need to know the
- The summary should: state of the problem.
a. state the problem or 4. Construct Alternative Policy
issue Responses
b. give BRIEF - It consists of 6-8 pages
background; - Discuss the alternative policy
c. identify major responses under
alternatives; consideration (at least 3).
d. state preferred - Examine the "best practices"
alternative with of other agencies, as well as
justification policy proposals that are
emerging.
 - The discussion of each option summarizes the preferred
should be balanced, and policy option.
should reflect the evidence/ - Justify why this option is
data indicating degree of preferred over the others. If
potential utility. Under what the policy options are
conditions are options likely weighted and scored, identify
to be most useful? the criteria used to score the
5. List Specific Criteria Used in options, and their order of
Making Evaluation priority.
- It consists of 2-4 pages
- State the criteria that you will NOTE:
use to score the alternatives
explicitly.
- Specific criteria depend on
the context of the problem,
but typically include such
issues as mitigating
measurable indicators
associated with the problem,
cost-efficiency, and equity?
6. Apply the Criteria DIFFERENT TYPES OF POLICY
- It consists of 4-8 pages ANALYSIS
- Apply the Criteria to each of
the policy alternatives using Descriptive Policy Analysis
the most appropriate ● It refers to either historical
methodology. examination of previous events or
- This should be done in a policies, or the implementation of a
transparent manner, with all new policy.
data and results listed ● Ex post, post hoc, or retrospective
explicitly. policy analysis are other terms for
- If possible, score the descriptive policy analysis.
alternatives. ● Descriptive analysis is often
- Summarize comparative incorporated into prospective policy
assessment using a matrix or analysis.
similar summary display. ● It is necessary to comprehend the
7. Recommendation justification for and effects of prior
- It consists of 2-4 pages policies in order to establish and
- Close the Policy Analysis assess new ones.
with a recommendation that ● Monitoring and evaluating
implemented policies is necessary to
 determine whether to keep them in ● It has been called ex ante, pre hoc,
place or change them, as well as to anticipatory, or prospective policy
gather data that will be helpful when analysis.
similar policies are suggested in the ● The main objectives of prospective
future. This after-the-fact analysis is policy analysis are as follows:
further classified into two types: 1. Identifying and validating
A. Retrospective Analysis complex problems;
- It is referring to the 2. Comparing alternative
description and solutions to problems on a
interpretation of past quantitative and qualitative
policies (What basis; and
happened?) 3. Compiling this data into a
- For example, a study format that decision-makers
of past student loan can use.
default rates among ● Prior to policy implementation,
students of different prospective policy analysis may be
majors would be a separated into two types:
retrospective study. 1. Predictive Policy Analysis
B. Evaluative Policy Analysis - It is the forecast of
- It is referring to future states as a
program evaluation result of certain
(Were the purposes of policy alternatives.
the policy met?). - For example, A study
- For example, A study forecasting the impact
of default rates among of changing the
students with student loan interest
particular rate on the savings
characteristics to see behavior of borrowers
if they matched those and their parents.
that had been 2. Prescriptive Policy Analysis
anticipated when the - It is analysis that
program was set up advises measures
would be an because they will
evaluative policy produce a certain
analysis. result.
- It also involves
Prospective Policy Analysis displaying the results
● It refers to a policy analysis that of analysis and
focuses upon the possible outcomes making a
of proposed policies recommendation.
 - For example, A study 1. Learn to Focus Quickly on the
to recommend what Central Decision Criterion (or
interest rate should be Criteria) of the Problem
charged on student - What factor of the problem is
loans to cause most important to your
potential borrowers to client?
use family resources - On what criterion is the
before borrowing. decision likely to be made?
- Will it be minimizing the cost
Policy Analyst of some service?
● They investigate current and - Might it be to spend more
potential policies, using their effectively the funds now
research findings to propose allocated to the activity?
solutions to social issues. - Perhaps it will be to broaden
● They devise new policies, make the base of those being
policy changes and share their served by the program.
research with government officials - On what basis can we judge
and legislators. the merits of alternative
● They might specialize in a specific policies or programs?
type of policy, such as education, - Identifying the central
defense or energy. “nugget” of the problem is
● While their work involves politics essential.
and government, they're also 1. Think about the Types of Policy
responsible for considering the moral Actions That Can Be Taken
implications of laws and the impact - As a planner or analyst you
of public policies on actual people should understand the range
of potential policies, even
NOTE: Policy analysts typically work for though policy instruments are
the government, but they might also work typically selected because of
for lobbying groups and advocacy familiarity, traditions, or
organizations. Communication, critical professional biases.
thinking, analytical thinking and - There are various direct and
problem-solving skills are among the indirect actions that
essential competencies of the job. governments can take to
address public policy issues
PRACTICAL PRINCIPLES FOR when the private market or
BEGINNING POLICY ANALYSTS government does not allocate
goods efficiently or there are
equity or distributional
problems.
 or they can establish pricing
Types of Policy Action: mechanisms.
A. Direct monetary Policies - They can also provide
- A government can directly compensation, subsidies,
provide a good or service welfare payments, vouchers,
itself through bureaus, grants, loans, tax credits,
departments, corporations, or exemptions, insurance, or
special districts, such as fire similar mechanisms.
and police protection, D. Indirect Non-Monetary Policies
education, and recreation. - It includes educational,
- A government can also informational, and
purchase (often referred to as promotional efforts (public
contracting) such a good or relations campaigns) to
service from the private modify behavior.
sector, other governments, or - They also include stronger
the nonprofit sector, or it can measures to cajole or
license an organization to implore.
provide the service.
- Governments can allocate, 2. Avoid the Toolbox Approach to
stockpile, ration, or auction Analyzing Policy
these goods or services as - Use the simplest appropriate
well. method, and use common
B. Direct Non-Monetary Policies sense to design a method if
- It includes the prohibition or one doesn’t already exist.
restricting of actions by rules, - Combine methods if you
regulations, standards, must.
quotas, licensing, - Use more than one whenever
deregulation, or legalization, possible.
such as environmental laws - Apprehension often forces us
and safety regulations. back to the methods with
- Governments can also require which we feel most
certain actions, although comfortable, but try to avoid
there are very few policies this tendency.
that can truly require action; 3. Learn to Deal with Uncertainty
rather, they are prohibitions - Learning to live with and
that look like obligations. work with uncertainty is a
C. Indirect Monetary Policies must for policy analysts.
- Governments can enact - Uncertainty is present in
commodity and excise taxes, nearly every public policy
tariffs, fines, quotas, or fees, problem.
4. Say It with Numbers - It is important to develop a
- Most policy problems have healthy skepticism for widely
an associated database and it held beliefs and established
is important to use these data facts in matters of public
in gaining insights about the policy.
problem. - Such beliefs and facts have a
- The most basic mathematical way of becoming baseline
operations—addition, information for anyone who
subtraction, multiplication, begins to study policy
and division—can yield problems.
powerful insights. - Yet they are not always
5. Make the Analysis Simple and reliable.
Transparent - It takes time to feel confident
- Does the analysis inform enough to challenge existing
your clients? Do they authorities, but uncovering
understand it and as a erroneous or uncorroborated
consequence make better facts can prevent your
decisions? These central analysis from compounding
questions should be asked the error.
about any policy analysis.
- The analysis must be simple Tips for Checking the Facts:
but this doesn’t mean a. Analyze the sources of the facts. Is
simple-minded, but rather, the position of the author served by
not complex, convoluted, or the facts?
impossible for a bright, b. Never rely on a single source. Use
well-informed client to people, reports, and the analysis of
follow. others to corroborate the facts. Use
- Transparency is another independent sources.
attribute of effective analysis. c. Understand how the facts were
- This means that if any generated. If the method wasn’t
models or calculating clear, discount the facts greatly.
routines are used, the client d. Since you can’t check everything,
should be able to see how check the facts most closely
they work, step by step, not associated with the central decision
simply be given the results of criterion.
the internal machinations of a e. Since facts often depend on
“black box.” definitions, check the critical ones. If
- Simplicity and transparency the claim is that a majority of all city
go hand in hand. families are in poverty, how are
6. Check the Facts majority, city, families, and poverty
 being defined and measured? Can assumptions, values, and
you generate the same facts by using uncertainties must be
these definitions and assumptions? reported.
- When the analysis is done
7. Learn to Advocate the Positions of well, the decision maker will
Others be able to weigh the
- There are three principal consequences of changes in
reasons that taking a position assumptions, values, and
different from your own can uncertainties and come to an
be beneficial. independent conclusion.
- This is not to suggest that - In some cases the client will
analysts should be amoral but be seeking a
rather, your willingness to recommendation, but this is
advocate other sides of the typically the case only with
issue can have several skilled analysts who have
positive results. developed a long-term
- Analysts should take the relationship with their client.
opportunity to learn from 9. Push the Boundaries of Analysis
lawyers whose professional beyond the “Policy Envelope”
training teaches them to - The analyst may be able to
assume either side and to expand both the problem
play within the rules of the definition and alternative
legal and political process. solutions.
8. Give the Client Analysis, Not - A major portion of our
Decisions potential contribution is taken
- Policy analysts and planners from us if we are handed the
usually give advice to their problem definition.
clients; they do not make - Almost nothing remains if we
decisions for them. are also given the allowable
- This has important set of alternative solutions.
implications for the types of 10. Be Aware that There Is No Such
analyses that are done and, Thing as an Absolutely Correct,
even more importantly, for Rational, and Complete Analysis
the methods of - Quality of analysis can be
communicating the results of judged only in the context of
analysis. time and resources available.
- The client will make the final - The analyst must ask clients
choice and should be able to about the level of analysis
reanalyze the policy data. they desire: one person per
This means that critical hour or ten; one person per
 day or seven; a month or a client to help identify issues and
year of how many people’s problems; to assign responsibility
effort? and authority for the study to a
- Analysts must be prepared to specific person or group; to provide
examine a problem at any of sufficient staff and financial
these levels, making resources; to specify a deadline for
recommendations where finishing the analysis; to review the
appropriate about the optimal objectives, evaluation criteria,
amount of effort for each alternatives, and constituencies
level of inquiry. included for political ramifications;
- Time and resources should be to check in on progress on a regular
spent in amounts that garner basis.
the maximum marginal gain
in information per money SIX STEPS IN BASIC POLICY
spent. ANALYSIS

Roles of Policy Analyst:

1. Policy analysts must not only use
textbook knowledge to be put in
practice, but they must also
understand about the operation of the
agency and the political system.
2. Aside from reading and training, and
short of getting practical experience,
the analyst must observe and learn
from other analysts and managers at 1. Define the Problem
work. ● Despite the fact that this may
3. They aim to present their employer seem like an obvious place to
or client with an assessment of start, failing to adequately
options that may be utilized as one of define the issue might cause
numerous inputs in making a the process to fail.
decision. Sometimes, finding the main
4. The analyst must recognize problem that needs to be
underlying assumptions, keep correct addressed requires careful
records, use many sources of data, consideration.
and apply reproducible ● Things to take into account
methodologies and models in order while determining the
to maintain credibility. problem:
5. The analyst has a right to expect
some direction from the executive or
 - Determine the ● After identifying the issue,
magnitude and extent the decision-maker must now
of the problem decide what information is
- Continually re-define pertinent to the
the problem in light of decision-making process. The
what is possible decision maker’s interests,
- Eliminate irrelevant values, and preferences, as
material well as those of any other
- Question the accepted stakeholders, will be included
thinking about the in this stage.
problem ● Things to take into account in
- Question initial determining evaluation
formulations of the criteria:
problem - What are the
- Say it with data important policy
- Locate similar policy goals, and how will
analyses they be measured?
- Locate relevant - Identify criteria
sources of data central to the problem
- Eliminate ambiguity and relevant to the
Clarify objectives stakeholders
Resolve conflicting - Clarify goals, values
goals and objectives
- Focus on the central, - Identify desirable and
critical factors undesirable outcomes
- Is it important? Is it - Is there a rank order
unusual? Can it be of importance among
solved? the criteria? What will
- Identify who is be the rules for
concerned, and why? comparing
- What power do alternatives?
concerned parties - Administrative Ease
have? - Costs and benefits
- Make a quick - Effectiveness
estimate of resources - Equity
required to deal with - Legality
the problem - Political acceptability
3. Identify Alternative Policies
2. Determine Evaluation Criteria ● You will need to assess the
criteria to establish the proper
 priority in the choice because - Do the predicted
the criteria provided will outcomes meet the
seldom be of equal desired goals?
importance. - Can some alternatives
● Things to take into account in be quickly discarded
identifying alternative - Continue in-depth
policies: analysis of
- Consider a wide range alternatives that make
of options the first cut
- Consider the status
quo, or no-action 5. Select the Preferred Policy
alternative ● Each alternative may be
- Consult with experts assessed once a relatively
- Brainstorming, comprehensive list of
Delphi, Scenario potential alternatives has
writing Redefine the been created. Which option is
problem if necessary preferred, and why? A few of
the possibilities may be
4. Evaluate Alternative Policies unreasonable or unattainable,
● It is now time to identify but are all of them equally
prospective possibilities for feasible? The moment has
how to make a decision once come to evaluate each
you have recognized the potential solution’s
problem and obtained advantages and
pertinent information. disadvantages.
● Some of those possibilities ● Things to take into account in
will be typical and quite selecting preferred policy:
clear, but it might be useful to - Choose a format for
be original and suggest a few display
uncommon ideas as well. - Show strengths and
● Things to take into account in weaknesses of each
evaluating alternative alternative policy
policies: - Describe the best and
- Select appropriate worst case scenario
methods and apply for each alternative
them correctly policy
- Estimate expected - Use matrices, reports,
outcomes, effects, and lists, charts, scenarios,
impacts of each arguments
policy alternative
 6. Implement the Preferred Policy II (Walt and Gilson, 1994), but its
● You must select a solution roots date back to the 1940s or even
after carefully weighing your earlier. Initially conceived as a way
options. To eliminate to improve health policies and deal
ambiguity or confusion, you with water resource problems, it has
should make your decision been extended to a number of other
clear. The answer might be public sectors, including education
one of the specific and training (Healey, 2011).
alternatives that were
originally suggested, a Policy
modified version of one of ● It can be defined as a ‘purposive
those possibilities, or a mix course of action followed by an actor
of various elements from or a set of actors’ (Anderson, 1975;
other recommendations. It’s ETF, 2013a).
also possible that the review ● In theoretical terms, it is a process
process will lead to the with distinctive (differentiated)
discovery of a completely stages, each with an activity that
new solution. enables the next stage, the results of
● Things to take into account in which feed back into the process
implementing the preferred (Lasswell, 1963)
policy:
- Draw up a plan for Policy Analysis
implementation ● It is the process of systematic
- Design monitoring investigation of the implementation
system and impact of existing policy
- Suggest design for (ex-post analysis), and of options for
policy evaluation new policy (ex-ante analysis)
- Was the policy (Weimer and Vining, 1999; European
properly Commission, 2004; European
implemented? Commission, 2014
- Did the policy have ● It could be a tool for solving
the intended effect(s)? smaller-scale, technical questions,
for instance those related to
A CONCEPTUAL FRAMEWORK FOR assessing the costs and benefits of
POLICY ANALYSIS actions within a project. This is
known as the ‘analycentric’ approach
● In its modern form, policy analysis (Schick, 1977).
emerged in the 1960s as a product of
economic and reconstruction Impact of Policy
planning for Europe after World War
 ● It could also be analyzed by focusing that helps to quantify the
on a somewhat bigger picture, phenomenon under study and a tool
namely on (policy) processes and that helps to grasp complex realities’
stakeholder involvement, by ● It can also be presented in the form
assessing how a change in the power of descriptive information, such as
and influencE of stakeholder groups case studies, observations, reports, or
might help to implement a policy protocols from focus groups.
option (process approach)
(Springate-Baginski and Soussan, Use of Evidence:
2002; Islamy, 2008). a. Direct Evidence is evidence that is
● Finally, policy analysis could be used directly related to the issue under
on the macro-scale to assess how investigation and offers a direct
structural factors and the answer to the specific questions of
socioeconomic context impact the the analysis.
design and implementation of b. Indirect Evidence is the evidence
policies (meta-policy approach) used in the analysis, while relevant,
(ETF, 2013a). will probably not be directly related
to the issue at hand but to a selected
Evidence aspect of it, and must therefore be
● It can be any piece of quantitative or combined with other pieces of
qualitative information, the source of information before the analysis can
which is stated and can be lead to a conclusion.
independently verified. c. Negative evidence is the absence of
evidence for a phenomenon might
Types of Evidence: indicate that the phenomenon does
a. Quantitative evidence is objective not exists, and this in itself is
information about the real world that evidence
is mostly expressed in numbers.
b. Qualitative evidence could also be Findings
expressed in numbers, but in essence ● Every finding is a statement, but not
it is mostly a narrative about the all statements qualify as findings.
qualities of the object of study, and For a statement to be an analytical
may include subjective information, finding, it must provide an
opinions or judgements about an interpretation (explanation) of
issue. evidence provided in the analysis,
and identify an issue that can and
Form of Evidence: should be addressed through a policy
● Evidence can come in the form of decision
indicators, defined as ‘an
aggregation of raw or processed data Recommendation
 ● Policy recommendations are pieces but also to gain clarity about
of policy advice to recipients who what evidence is needed,
have authority to make decisions. which policies need to be
They are inseparable from the analyzed, and who are the
analytical findings and suggest an parties concerned that need to
option for action. In this sense, they be involved.
are among the key means through 2. Collecting and describing the
which policy decisions are made. evidence
- Step 2 in the analytical
Analytical Process process comprises the
● Whether applied for ex-post or collection and description of
ex-ante purposes, the target of policy quantitative and qualitative
analysis is technically the same: to evidence.
break an issue into ‘simpler - The collection of evidence is
elements’ to better understand the guided by three
underlying details. These details can considerations – availability,
be a logical structure, basic relevance and reliability
principles or any other elements 3. Interpreting (analyzing) the
(Blackburn, 1996; Beaney, 2016) – evidence
anything that can help to understand - The third step in the
and explain the issue under analytical process is about
consideration, and find ways to preparing the findings of
influence it for the better. analysis.
- The findings are messages
Steps in Analytical Process formulated by interpreting
1. Framing and understanding the the evidence.
problem - They are prepared in
- ‘Well-defined problems lead response to questions raised
to breakthrough solutions’ during the problem analysis
(Spradlin, 2012). in Step 1.
- Even with less ambitious - The findings can form the
goals, the careful definition basis of conclusions and
of the issue in focus – recommendations, or can
identify the problem at hand, trigger a reassessment of the
recognise it, and define it problem in the light of new
(ETF, 2013a) – should be the insights, help to fine-tune the
very first step of any selection of evidence, and
analytical exercise. adjust the overall
- This helps not only to frame interpretation.
the starting point of analysis,
 4. Formulating recommendations and detailed (Patton and Sawicki, 2016)
outlining the options findings, and recommendations that
- The fourth and final step in lead to demonstrable improvement.
the analytical process is ● What also matters is how well the
devoted to the formulation of analytical work manages to produce
recommendations for action. and connect the analytical
- There is no predefined deliverables that are needed at each
structure for the of these steps into a single,
recommendations, but the convincing and well-founded
following are prerequisites. narrative. If one of the links fails, it
- A recommendation must jeopardizes both the reliability of the
formulate a proposal on how analysis and the accuracy and impact
to address the findings. The of recommended actions. In fact,
recommendation might lower-quality analysis tends to take
otherwise be deemed ‘shortcuts’ by failing to provide
incomplete. deliverables at some of the analytical
- It must explain how the stages, or by not linking deliverables
recommended actions matter to each other.
for the findings. The ● Not only is a good analytical
recommendation might narrative complete, it also relies on
otherwise be considered good-quality deliverables at each
irrelevant. One way to hedge stage of the analytical process:
against this is to outline the accurate (or at least workable)
theory of change – how and framing of the problem, a good
why will the change happen selection of reliable evidence,
if the recommended actions convincing analysis and accurate
are implemented findings, and feasible, targeted
- It must assign responsibilities recommendations. Naturally,
for implementation. The achieving all this is sometimes easier
recommendation might said than done. Problems can be too
otherwise be ignored. If complex to understand, or they might
possible, recommendations concern sensitive issues; evidence
must outline the risks that might not be sufficient for proper
could lead to failure. analysis, or its interpretation might
be plagued by ambiguities; and the
GUIDANCE FOR A GOOD QUALITY recommendations might comprise
ANALYSIS options to choose from that are far
from optima.
● Good quality analysis can be defined
as analysis that delivers reliable and
STAGES OF THE ANALYTICAL
PROCESS AND DELIVERABLES