Policy Analysis in 750 words: Classic 5-step advice

Policy analysis’ describes the identification of a policy problem and possible solutions.

Classic models of policy analysis are client-oriented. Most texts identify the steps that a policy analysis should follow, from identifying a problem and potential solutions, to finding ways to predict and evaluate the impact of each solution. Each text describes this process in different ways, as outlined in Boxes 1-5. However, for the most part, they follow the same five steps:

  1. Define a policy problem identified by your client.
  2. Identify technically and politically feasible solutions.
  3. Use value-based criteria and political goals to compare solutions.
  4. Predict the outcome of each feasible solution.
  5. Make a recommendation to your client.

Further, they share the sense that analysts need to adapt pragmatically to a political environment. Assume that your audience is not an experienced policy analyst. Assume a political environment in which there is limited attention or time to consider problems, and some policy solutions will be politically infeasible. Describe the policy problem for your audience: to help them see it as something worthy of their energy. Discuss a small number of possible solutions, the differences between them, and their respective costs and benefits. Keep it short with the aid of visual techniques that sum up the issue concisely, to minimise cognitive load and make the problem seem solvable.

Box 1. Bardach (2012) A Practical Guide for Policy Analysis

  1. ‘Define the problem’. Provide a diagnosis of a policy problem, using rhetoric and eye-catching data to generate attention.
  2. ‘Assemble some evidence’. Gather relevant data efficiently.
  3. ‘Construct the alternatives’. Identify the relevant and feasible policy solutions that your audience might consider.
  4. ‘Select the criteria’. Typical value judgements relate to efficiency, equity and fairness, the trade-off between individual freedom and collective action, and the extent to which a policy process involves citizens in deliberation.
  5. ‘Project the outcomes’. Focus on the outcomes that key actors care about (such as value for money), and quantify and visualise your predictions if possible.
  6. ‘Confront the trade-offs’. Compare the pros and cons of each solution, such as how much of a bad service policymakers will accept to cut costs.
  7. ‘Decide’. Examine your case through the eyes of a policymaker.
  8. ‘Tell your story’. Identify your target audience and tailor your case. Weigh up the benefits of oral versus written presentation. Provide an executive summary. Focus on coherence and clarity. Keep it simple and concise. Avoid jargon.

Box 2. Dunn (2017) Public Policy Analysis

  1. What is the policy problem to be solved? Identify its severity, urgency, cause, and our ability to solve it. Don’t define the wrong problem, such as by oversimplifying.
  2. What effect will each potential policy solution have? ‘Forecasting’ methods can help provide ‘plausible’ predictions about the future effects of current/ alternative policies.
  3. Which solutions should we choose, and why? Normative assessments are based on values such as ‘equality, efficiency, security, democracy, enlightenment’ and beliefs about the preferable balance between state, communal, and market/ individual solutions (2017: 6; 205).
  4. What were the policy outcomes? ‘Monitoring is crucial because it is difficult to predict policy success, and unintended consequences are inevitable (2017: 250).
  5. Did the policy solution work as intended? Did it improve policy outcomes? Try to measure the outcomes your solution, while noting that evaluations are contested (2017: 332-41).

Box 3. Meltzer and Schwartz (2019) Policy Analysis as Problem Solving

  1. ‘Define the problem’. Problem definition is a political act of framing, as part of a narrative to evaluate the nature, cause, size, and urgency of an issue.
  2. ‘Identify potential policy options (alternatives) to address the problem’. Identify many possible solutions, then select the ‘most promising’ for further analysis (2019: 65).
  3. Specify the objectives to be attained in addressing the problem and the criteria  to  evaluate  the  attainment  of  these  objectives  as  well as  the  satisfaction  of  other  key  considerations  (e.g.,  equity,  cost, equity, feasibility)’.
  4. ‘Assess the outcomes of the policy options in light of the criteria and weigh trade-offs between the advantages and disadvantages of the options’.
  5. ‘Arrive at a recommendation’. Make a preliminary recommendation to inform an iterative process, drawing feedback from clients and stakeholder groups (2019: 212).

Box 4. Mintrom (2012) Contemporary Policy Analysis

  1. ‘Engage in problem definition’. Define the nature of a policy problem, and the role of government in solving it, while engaging with many stakeholders (2012: 3; 58-60).
  2. ‘Propose alternative responses to the problem’. Identify how governments have addressed comparable problems, and a previous policy’s impact (2012: 21).
  3. ‘Choose criteria for evaluating each alternative policy response’. ‘Effectiveness, efficiency, fairness, and administrative efficiency’ are common (2012: 21).
  4. ‘Project the outcomes of pursuing each policy alternative’. Estimate the cost of a new policy, in comparison with current policy, and in relation to factors such as savings to society or benefits to certain populations.
  5. ‘Identify and analyse trade-offs among alternatives’. Use your criteria and projections to compare each alternative in relation to their likely costs and benefits.
  6. ‘Report findings and make an argument for the most appropriate response’. Client-oriented advisors identify the beliefs of policymakers and tailor accordingly (2012: 22).

Box 5 Weimer and Vining (2017) Policy Analysis: Concepts and Practice

  1. ‘Write to Your Client’. Having a client such as an elected policymaker requires you to address the question they ask, by their deadline, in a clear and concise way that they can understand (and communicate to others) quickly (2017: 23; 370-4).
  2. ‘Understand the Policy Problem’. First, ‘diagnose the undesirable condition’. Second, frame it as ‘a market or government failure (or maybe both)’.
  3. ‘Be Explicit About Values’ (and goals). Identify (a) the values to prioritise, such as ‘efficiency’, ‘equity’, and ‘human dignity’, and (b) ‘instrumental goals’, such as ‘sustainable public finance or political feasibility’, to generate support for solutions.
  4. ‘Specify Concrete Policy Alternatives’. Explain potential solutions in sufficient detail to predict the costs and benefits of each ‘alternative’ (including current policy).
  5. ‘Predict and Value Impacts’. Short deadlines dictate that you use ‘logic and theory, rather than systematic empirical evidence’ to make predictions efficiently (2017: 27)
  6. ‘Consider the Trade-Offs’. Each alternatives will fulfil certain goals more than others. Produce a summary table to make value-based choices about trade-offs (2017: 356-8).
  7. ‘Make a Recommendation’. ‘Unless your client asks you not to do so, you should explicitly recommend one policy’ (2017: 28).

This is an excerpt from The Politics of Policy Analysis, found here: https://paulcairney.wordpress.com/policy-analysis-in-750-words/

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One response to “Policy Analysis in 750 words: Classic 5-step advice

  1. Pingback: The coronavirus and evidence-informed policy analysis (long version) | Paul Cairney: Politics & Public Policy

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