Problem Identification & Policy
Analysis
1
What is a policy analysis
• Informed advice to a client that relates to a public
policy decision, includes a recommended course of
action/inaction, and is framed by the client’s
powers and values
2
Elements of policy analysis
• Essential elements of the analysis
• Issue Statement/Problem Statement
(Bardach elements)
• Background
• Landscape
• Options
• Recommendation
3
Problem analysis: issue
statement
• Defining the problem
• Identify the conditions
• What are you examining? Describe the set of conditions that
are under examination.
• Broad or narrow?
• Issue statement
• Short statement (2-3 sentences) summarizing the issue to be
considered. Ideally, phrase the problem in the form of a
question to guide your selection of information to include.
• Provide some context by identifying the conditions creating the
problem in an introductory sentence or clause.
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Issue/problem statement:
Bardach
• Think in terms of excess or deficit, i.e., too much or
too little
• Include a quantitative feature, if possible
• Don’t include the solution in the problem
statement
• Iterate!
5
Issue/problem statement:
Rate These examples
• “The problem with urban schools is that teachers
unions block reforms.”
• “The problem is the schools need more money."
• “The problem is, until you fix the breakdown of the
American family, schools can't succeed.”
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issue statement: Example
The 1993 Family Medical Leave Act (FMLA) provides
up to twelve weeks of unpaid, job-protected leave
per twelve-month period for specified family and
medicals reasons to nearly 60% of employees in the
United States.5 However, many Americans are not
covered under FMLA, or do not use it because of the
financial implications of unpaid leave. What Could
NYS Senator do to address this issue in her state?
7
Another example
• About five percent of children in
Pennsylvania do not have health insurance
because of their immigration or refugee
status. What options are available to the
Governor to support coverage for these
chlldren?
8
One last example
• Motor vehicle crashes are the leading cause
of death for U.S. teens. According to the
CDC, every day, six teens ages 16–19 die
from motor vehicle injuries. What can PA do
to prevent teen motor vehicle fatalities and
injuries?
9
Structure of options
analysis
• The Options Analysis: 2 basic objectives
• Proposing, evaluating policy alternatives that
address the problem
• Comparing and measuring different alternatives
• Determining which option is best course of
action
• Justifying your recommendation
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Options/solutions analysis
• Identify Options = potential solutions to the
problem
• Brainstorm many possible solutions
• Do research, Be creative
• Search and adapt options from analogous situations
• Develop new, customized ideas
• Think Incrementally
• Think Ideally
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Identifying options
• Consider typical policy actions
• Gov’t providing or purchasing a good for public
• Taxing or subsidizing to achieve outcome
• Passing laws and regulations to require action
• Education and information to persuade action
• Always consider the status quo
• Identify 3 to 5 best suited alternatives
• GO BACK TO PROBLEM to make sure options
squarely address problem
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Key elements of options
analysis
• Describe Options
• Once selected, provide information that will help in analysis
• Describe what option is
• Define the populations that will be affected
• Analyze options
• Make an assessment of that option
• Using data
• Using qualitative words – high, medium, low
• Create a matrix, side-by-side as tool
• Or express in terms of consideration of pros/cons with criteria
embedded in that analysis
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PROBLEM ANALYSIS:
BACKGROUND
• Elements to include in the Background
• Identify who is impacted by the problem
• Who is most affected by the problem? How and why?
• Are subgroups affected differently?
• Quantify impact on groups and the difference between groups
• Place boundaries on the problem
• Where does it exist?
• National vs. state; urban vs. regional
• Are there differences in scope, magnitude by region, locale?
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PROBLEM ANALYSIS:
BACKGROUND
• Elements to include in the Background
• Identify how long the problem has existed
• What are historical trends?
• Has it improved or worsened?
• Identify how the problem might change over
time
• Look at forecasts, projections (e.g. Medicare will be
bankrupt by 2019)
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PROBLEM ANALYSIS:
LANDSCAPE
• Landscape – most important section of the
problem analysis
• Provides more context of the problem
• Tries to diagnose the problem
• What is the cause of the problem?
• How amenable is the problem to a policy
intervention?
• Options should make sense in light of landscape
analysis
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PROBLEM ANALYSIS:
LANDSCAPE
• Potential elements to include in the
Landscape (not all are always relevant)
• Stakeholders
• Political landscape
• Economic factors
• Legal context
• Social context
• Administrative practicality, feasibility
• Others…
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PROBLEM ANALYSIS:
LANDSCAPE
• Elements to include in the Landscape
• Identify the stakeholders
• Groups, organizations, individuals that are invested
in the problem and how it will be solved
• e.g. Advocacy, lobbying groups, industry, membership
organizations, health services orgs, consumers/citizens
• What is their stake in the issue?
• How much influence do they have to impact the
solution?
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PROBLEM ANALYSIS:
LANDSCAPE
• Elements to include in the Landscape
• Describe the political landscape
• Is this a hot topic politically? Highly contested?
• Are there differences in how politicians define the
problem and the causes of the problem?
• Are there strong positions according to party lines?
• Do key constituents, opponents, interest groups
have an opinion? Who supports or opposes change?
• Is there a reason to act now (e.g., election year?)
• Is there a reason to delay?
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PROBLEM ANALYSIS:
LANDSCAPE
• Elements to include in the Landscape
• Describe the economic context
• What are the economic causes of the problem?
• What is the problem costing individuals, groups, society as a whole?
• Are certain subgroups disproportionately bearing the burden of the
cost?
• What is the economic impact of addressing, or not addressing the
problem?
• Will the economics of the problem play into the solution?
• YES, THERE IS SOME OVERLAP HERE WITH
BACKGROUND, THIS IS ART, NOT SCIENCE. YOU
ARE MAKING A CASE, AND LANDSCAPE PROVIDES
CONTEXT FOR FACTS IN BACKGROUND.
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PROBLEM ANALYSIS:
LANDSCAPE
• Elements to include in the Landscape
• Describe the social context
• Is the problem an individual problem or societal
problem?
• Are there equity issues?
• Are there ethical and moral issues?
• Be careful not to elevate all issues to moral/ethical
• Are vulnerable subgroups disproportionately,
negatively affected?
• Are influential, valued groups affected?
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PROBLEM ANALYSIS:
LANDSCAPE
• Elements to include in the Landscape
• Consider the legal factors
• Are there legal restrictions affecting this problem?
• Are there legal requirements that impact the
analysis?
• Is the potential for future litigation a concern if
action is taken?
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landscape: Example
• Problem statement:
• Teen smoking is a significant public health issue. What
policies should Governor Y support to bring about the
greatest reduction in teen smoking?
• What landscape information might we include?
• Political support?
• Corporate positions?
• Budget context
• Timing right/not right? Why?
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Review: Elements of policy
analysis
• Essential elements of the analysis
• Issue Statement/Problem Statement
(Bardach elements)
• Background
• Landscape
• Options
• Recommendation
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RECOMMENDATION
• Generally you will chose one recommendation for
your stakeholder
• In some situations may have conditional
recommendations
• e.g.: if tax cut passes choose option 1, if tax cut does not pass
choose option 2
• In some situations may chose combination of options
• If recommend more than one option need to justify
• Don’t take easy route of avoiding picking one option unless
there is a good reason to do so
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RECOMMENDATION
• Recommendation must be one of the
options evaluated
• Need to be clear why this option chosen
from among all the options evaluated
• Don’t just repeat analysis of option section
• Identify why this option best for your
stakeholder given that all options have pluses
and minuses
• Will relate to values and power of your decision-
maker
• Must recognize downsides/acknowledge opposition
• AND address how downsides might be mitigated or
overcome 26