University of the Philippines College of Management

AY 2020-2021

PM 241 Public Policy Management

Module 5: WEEK 6-7
Public Policy Analysis

If you look up the sky on one starry evening and see little brilliant specks of silvery light
dotting the dark landscape above, wouldn’t you wonder how the stars came to hang on space and
look that mysterious and beautiful? Policy analysis is almost like that, you come to experience the
benefits of policy and appreciate them but you wouldn’t really know exactly how policies come
about. But as we delve into this section on policy analysis, you will know how policies are born.

Objectives:

At the end of the week, we should be able to:

1. Describe characteristics of public policy analysis, policy analytic questions, and attributes of
public policy;
2. Explain the types of policy explanations in terms of policy sources as well as dynamics and
process factors; and
3. Understand the forms of policy analysis and steps in doing policy analysis.

Lets begin

A. Theoretical Underpinnings of Public Policy Analysis

1. Definition and Characteristics of Public Policy Analysis

Dubnick and Bardes (1983) define policy analysis as “the application of problem-solving
techniques to questions concerning 1) the expressed intentions of the government relative to a
public problem and 2) those actions government officials take (or avoid) in attaining these
objectives”. From the definition are five defining characteristics of public policy analysis: 1) public
policy analysis is applied; 2) public policy analysis uses problem-solving techniques; 3) public
policy analysis deals with specific questions; 4) public policy analysis focuses on the expressed
government intentions; and 5) public policy analysis mines actions taken or avoided in the
fulfillment of those intentions. Dubnick and Bardes provide the following explanation for police
analysis:

“Public policy analysis is an applied enterprise because it makes use of

problem solving techniques. Similarly, what these techniques are applied to
- are questions -are also inherent to the analytical effort, as are the topical
focal points for the questions: expressed government intentions (i.e.
 statements) and related actions. to questions that are also inherent in the
analytical effort, as are topical focal points for questions: expressed
government intentions”.

According to Dunn (1994), “public policy analysis is the activity of creating knowledge of and in
the policymaking process”. In the process of creating knowledge, policy analysts investigate causes,
consequences, and performance of public policies and programs”.

Policy analysis usually involves collecting and analyzing information that reveals the causes and
effects of public problems and the likely results of using one policy over another to address them
(Kraft and Furlong, 2004).

Furthermore, policy analysis means “bringing the scientific knowledge to the political
process” (Kraft and Furlong, 2004) or “speaking the truth to power (Widavsky, 1979 as cited in
Kraft and Furlong, 2004).

Such barrage of conceptualizations show that policy analysis is basically a scientific inquiry into the
performance of a particular public policy, and involves both normative and empirical description,
explanation, and consequences of the policy. It also provides alternatives to address policy
deficiencies and gaps in performance. It is not aimed at making policy decisions but to provide the
needed information to inform policy deliberation and debate (Kraft and Furlong, 2004). It is through
policy analysis that we come to understand the reasons behind government actions and statements
(Dubnick and Bardes (1998).

Read /Watch

Daniel Béland, Michael Howlett & Ishani Mukherjee (2018) Instrument constituencies and public
policy-making: an introduction, Policy and Society, 37:1, 1-13. Retrieved DOI:
10.1080/14494035.2017.1375249

Young, E. and L. Quinn.2002. Writing Effective Public Policy Papers: A Guide for Policy Advisers
in Central and Eastern Europe. Government and Public Service Reform initiative. Budapest,
Hungary. Retrieved 10 October 2020 from https: //[Link]/sites/icpa/
files/downloads/writing_effective_public_policy_papers_young_quinn.pdf.

Dig Deeper

2. Questions of Policy Analysis

Policy analysis takes on an interdisciplinary approach. However, Dunn (1994) states that “there are
basic questions that the analyst may therefore be expected to produce information and plausible
arguments about three kinds of questions 1) values whose attainment is the main test of whether a
problem as been resolved; 2) facts whose presence may limit or enhance the attainment of vales,
and 3) actions who's adoption may result in the attainment of values”. These three questions
correspond to the three approaches in public policy analysis: evaluative, empirical, and normative
(Dunn, 1994).
According to Dubnick and Bardes (1983), there are three analytic problems all policy analysts must
deal with: 1) what is the policy?; 2) why is the policy; and 3) what are the policy’s consequences?
According to the authors, the first question involves making descriptions about the policy. The
second one is trying to explain why the policy is the way it is. The third question aims to know the
impact of policy. moreover, the authors pointed out certain characteristics of policy analysis:

Furthermore, public policy analysis deals with specific problems. There are three basic types of
problems that public policies pose for analysts:
1. Policies are analytic problems. We want to know what governments are doing, why
they are doing and saying those things and with what consequences.
2. As judgemental problems. We need to decide whether or not to support a policy or
seek changes in it
3. Public polices may be thought of as strategic problems in the sense that they call for
the development of new or better actions and statements.

3. Types of Policy Descriptions

a. Policy Attributes

In finding answers to the first question, “what is policy”, analysts seek for descriptions of the policy
by looking at certain attributes of policy. Public policies have attributes that can be classified into
intrinsic and extrinsic. Intrinsic attributes are internalized characteristics of policy. Dubnick and
Bardes (1983), says that “we are discussing intrinsic attributes when we classify or label policies
according to the substantive issues they address”.

Moreover, Dubnick and Bardes (1983), state that “extrinsic attributes refer to how policies relate to
their environments.” As such, policies can be allocative ( allocation of goods and services, honors,
statues, opportunities from the political system to individuals and groups in society), extractive
(when policies draw material and “human resources from the environment” and apply them to a
deliberate way), control/regulative (control behavior of groups or individuals e.g. traffic regulations/
indirect e.g. interest rates, maximum amount of loan); symbolic: manipulation of symbols to control
response of audience e.g. speeches, material symbols”.

Theodore Lowi makes a combination of the extrinsic and intrinsic attributes of public policy and
came up with the following typology of policies:

• Distributive Policy – characterized by the ease with which they can be disaggregated and
dispensed unit by small unit, each unit more or less is in isolation from others units and
from any general rule.
• Regulatory Policy – ex. exclusive franchised, licensed for broadcasting.
• Redistribute policy – involve resources that are so limited that they must be extracted
from some group society in order to satisfy others.

b. Types of Policy Description

As a means of further describing the policy, Dubnick and Bardes (1983) present the following
common types of policy descriptions:
 • intentional -purposes, goals , objectives of policies
• functional-roles or services performed by the policy for society or some sector
• population focused - policy actions and statements that benefit or harm specific groups
in the environment
• developmental - evolving policy statement or act; part of an emerging trend or
historical movement
• programmatic - policy is part of a “package” of similar or related policies
• comparative - policy is comparable to other policies or programs

4. Types of Policy Explanation

Policy explanations seek to find out the cause of the policy actions and statements. Dubnick and
Bardes (1983) present the covering law explanations. Such explanations require application of some
accepted premise to the phenomenon being examined. These are the following:

• Rational policies - produced by goal oriented behavior

• Genetic or Historical - explanations can be found in past government activity
• Functional - role played by policy within a general set of circumstances
• Associational - comparing events and patterns of a phenomena and comparing them
with the patterns and events associated with policy

a. Explanatory Models: The Policy Sources

Dubnick and Bardes (1983) present the explanatory models in terms of policy sources:

1. The Policy System Model - stresses the dynamic relationship between environment and
public policy. A policy system includes a policy environment which provides inputs to the
political system (political process), which converts it to become policies. Figure 5
presents a schematic diagram of the three elements of the policy system.

2. The Power Structure Model - power involves four important components: resources,
ability to apply resources in a power relationship; and willingness on he part on the power
welder house his or her resources an ability in given situation; and one must have an
“other” individual who is susceptible to the willing and able application of resources.

3. The Party/Electoral Organization Model - political parties are formed and operated for the
sole purpose of capturing and maintaining an office such as the presidency or a
proportionate number of legislative seats to give enough voting control to the party.

4. The Institutional/Constitutional Model - formal and informal structures of government- as

well as the many rules of the game of government-have an impact on policymaking.

5. The Individual Decision-Maker model - it is the individual member or official who seems
to make the difference in the kind of public policy that results
 Policy Stakeholders

Policy Environment Public Policies

Crime Policy Analysts Law Enforcement

Inflation Citizens’ groups Economic
Unemployment Labor Unions Welfare
Discrimination Parties Personnel
Urban Squalor Agencies Urban

Figure 1. A Public Policy System Framework

Source: Adapted from Dye, T. 1978. Understanding Public Policy. 3rd ed. (Englewood Cliffs,
NJ: Prentice Hall.

b. Explanatory Models: The Dynamics and Process Factors

Dubnick and Bardes’ (1983) explanatory models in the context of the dynamics and process factors
and their main concepts are presented below:

1. The Model of Rational Decision Process

1. Defining the Problem

2. Analyzing the problem
3. Establishing a goal or objective
4. Developing alternative solutions
5. Analyzing the alternatives.
6. Selecting the “best” alternative
7. Evaluating the chosen [Link] a policy process

2. The Incremental Process Model - policies are changed in a series of steps, or increments.
It is similar to the Incremental Theory discussed earlier.

3. The Satisfying Approach - public policies are chosen not because they will achieve a goal,
but because they will satisfy the decision maker or to those whom the policeymaker is
accountable.
4. Bargaining as a policy Approach - reciprocal relationships between least two individuals.
The give and take process results in a compromise giving form and content to public
policy.
B. Doing Policy Analysis

1. Forms of Policy Analysis

Dunn 1994) provides the following forms of policy analysis:

1. Prospective policy analysis - involves the production and transformation of information

before policy actions are initiated and implemented.

2. Retrospective policy analysis - involves the production and transformation of

information before policy actions are initiated and implemented.

3. Integrated policy analysis - a comprehensive form of analysis since it combines the

prospective and retrospective frameworks.

2. Content of Policy Analysis*

I. Introduction

State what policy is being analyzed.

Reasons why there is need to assess this particular policy
Goals of the policy analysis

II. Policy Description

A. A clear statement of the policy. Quote directly from the document and state them, and
provide the source of the quotation. If the policy is established under the authority of a
more general legislation, quote and cite the legislation also.

B. Brief history of the policy

C. A description of the problem the policy was aimed at resolving, including an estimate of
its extent and importance.

D. A description of the policy in the light of the various policy description and explanatory
models and theories as well as policy attributes.

II. Policy Environment

A description of the policy environment requires the following:

A. Social and physical factors affecting the origin, development, and implementation of the
policy;
B. Economic factors affecting the origin, development, and implementation of the policy;
and
C. Political factors affecting the origin, development, and implementation of the policy.

III. Efficiency and Effectiveness of the Current Policy.

 A. Evaluating efficiency and effectiveness should provide the following information:

1. How well the existing policy does what is was designed to do.
2. How well the policy performs in relation to the effort and resources committed to it.

B. Cost benefit analysis and other forms of quantitative methods appropriate to assessing
efficiency and effectiveness of the policy can be used. Statistical results should be
accompanied by adequate analysis and interpretation.

IV. Policy Alternatives

Possible alternatives must include the following:

A. Possible alterations of the present policy, with the estimated costs and benefits of each;
B. Alternatives to the present policy, with the estimated cost and benefits of each.

V. Conclusion

* Source: Adapted with modifications from Scott, G.M. and S.M. Garrison. 1998. The Political Science Student Writer’s
Manual. Upper Saddle River, New Jersey 07458: Prentice Hall.

Think/Do

Working with your groups:

1. Discuss briefly your own concept of public policy analysis.

2. How important is policy analysis in policymaking?
3. Choose one Philippine national legislation for policy analysis. Draft/outline the policy analysis
paper.

References:

Béland, D., M. Howlett & I. Mukherjee (2018) Instrument constituencies and public policy-making: an
introduction, Policy and Society, 37:1, 1-13, Retrieved 10 October 2020 from DOI:
10.1080/14494035.2017.1375249.
Dubnick, M & B. Bardes. 1983. Thinking about Public Policy, a Problem-Solving
Approach. New York: John Wiley and Sons.
Dunn, W.N. 1998. Public Policy Analysis. 2nd ed. Upper Saddle River, New Jersey 07458: Prentice
Hall.
Dye. T. 1978. Understanding Public Policy. 3rd ed. (Englewood Cliffs, NJ: Prentice Hall, 1978.
Kraft, M.E. and S.R. Furlong. 2004. Public Policy: Politics, Analysis, and Alternatives. Washington
D.C.: CQ Press.
Scott, G.M. and S.M. Garrison. 1998. The Political Science Student Writer’s Manual. Upper
Saddle River, New Jersey 07458: Prentice Hall.
Young, E. and L. Quinn.2002. Writing Effective Public Policy Papers: A Guide for Policy Advisers in
Central and Eastern Europe. Government and Public Service Reform initiative. Budapest, Hungary.
Retrieved 10 October 2020 from https: //[Link]/sites/icpa/
files/downloads/writing_effective_public_policy_papers_young_quinn.pdf.