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Public policy analysis_dunn
1. Public Policy Analysis: An
Introduction
William N. Dunn
Associate Dean and Professor
University of Pittsburg
Dr. Dunn is a scholar, educator, and academic administrator. His
most well-known publication is Public Policy Analysis, 4th
ed.,which is one of the most widely cited books on the
methodology of policy research and analysis in print.
2. What is Policy Analysis: Definitions
The use of reason and evidence to select the best policy
among a number of alternatives to address a particular policy
problem. (MacRae and Wilde).
“An applied social science that utilizes multiple research
methods, in argumentation and debate contexts, to create,
estimate critically, and communicate knowledge that is
relevant to the policies.” (Dunn)
A process through which one identifies and evaluates
“alternative policies or programs that are intended to lessen
or resolve social, economic or physical problems” (Patton &
Sawicki)
3. “Policy analysis is client oriented
advice relevant to public, or private,
decisions and informed by social
values”
Weiner & Vining
4. A good analysis or even a good
decision Does Not Guarantee that
the optimal solution will be selected
and / or implemented.
5. What Policy Analysis Can and Cannot
Do…….
Policy analysis can assist decision makers in choosing a
preferred course of action from complex alternatives
and under uncertain conditions.
Policy analysis is not a panacea or a substitute for
inadequate policymaking processes, defects of public
decisions, bad judgment on the part of analysts or
policymakers, an exact science or a tool for advocacy by
the analyst for his/her own views.
6. One way to look at the Analysis
The Problem & the Solution
“a problem well formulated is a problem half solved”
Defining the Policy Problem is easier said than
done…..
7. Not all Public Problems are amenable to
policy analysis, but when they.., the
analysis can support decision making to:
Determine whether a new policy is required to address
the problem
If a policy already exists, determine whether it needs to
be modified or terminated
Analyze one policy (retrospectively or prospectively)
Compare two or more policies that address a similar
problem
Assess future implications of current or new policies
Explore stages in the development of particular policies
8. We want to learn how to look at
problems from multiple
perspectives to achieve the best
problem definition and possible /
feasible solutions
9. Example:
Increasing rates of lung cancer among certain population
groups could be framed as:
The failure of individuals to stop smoking, or
Failure of the health care providers to provide adequate
/ timely information, or
Failure of the Government to regulate smoking in public
places, or
Failure on the part of Government to take the
opportunity to improve research, to raise taxes by
increasing the price of cigarettes
All of the above
10. Increasing obesity among youngsters and among
certain population groups could be framed as:
The failure of parents or individual will to change their
eating behaviors, or
The inability of health care providers to provide
adequate and timely information, or
Failure of the government to:
Regulate health care dept.
Eliminate harmful substances from the general diet
Build more places for people to exercise
All of the above
11. Problem Definition
“There is a difference between a condition and a
problem…conditions become defined as problems
when we come to believe that we should do
something about them…the problem doesn’t have to
get any worse or better”.
Kingdon, 1984
12. Problem Definition in Decision Making
Problem definition depends on:
How issues are framed, portrayed
How obvious is the crisis that the problem evokes
How it is measured
Endless ways to look at a particular problem, yet
limited time, money and energy.
Hence, highly complex issues are simplified; focus on
certain aspects happens at the expense of other aspects
/ elements
13. Challenges of Public Policy problems
(Social problems)
May show up in ways that are difficult to address
“Inherently multidimensional”, overlap & contradict
Are ill defined, so “wicked problems”
The consensus over social goals may be illusory
Decision-makers have different preferences and values,
often conflicting
The definition of a policy problem is not completely
scientific or systematic: creativity, sagacity, socially
constructed
14. Situation that can be perceived as important
into a problem
Indicators reveal its existence, magnitude, severity
Events or crisis call attention on a problem
The results of evaluations (or monitoring/surveillance)
show
15. Methodology of Policy Analysis: integrates
elements from Multiple disciplines
Political Science
Sociology
Psychology
Economics
Philosophy
16. Three Approaches to Policy Analysis
Type of
Approach Primary Question
Information
Does it and will it exist? Descriptive and
Empirical
(facts) predictive
Of what worth is it?
Valuative Valuative
(values)
Normative
What should be done?
(value- Prescriptive
(action)
critical)
17. Five types of Policy relevant information:
interrelated and interdependent
S.
Types Importance
No.
Policy Problems Conceptualizing problem from different
1 angles-viable solutions
Policy Futures Identifying consequences of future course of
2 action
Policy Actions Forecasting & evaluating consequences of
3 action based on different alternatives
Policy Ensuring an observed consequences of policy
4 Outcomes actions
Policy Finding the degree of value contributed by
5 Performance policy outcome (useful in forecasting policy
future)
18. Five Info is obtained by the means of - Policy
Analysis Process of Inquiry
S. No. Procedure Information
1 Definition (Problem Conditions giving rise to a policy
Structuring) problem
Prediction Future consequences of acting on policy
2
(Forecasting) alternatives, including doing nothing
Prescription
3 Future course of action
(Recommendation)
Present and Past causes and
Description
4 consequences of acting on policy
(Monitoring)
alternatives
Value or worth of consequences in
5 Evaluation
solving the problem
20. Three Elements of Policy System
Policy
Stakeholders
Policy
Public Policy
Environment
Crime Policy Analysts Law Enforcement
Inflation Citizens’ Groups Economic
Unemployment Labor Unions Welfare
Discrimination Parties Personnel
Urban Squalor Agencies Urban
Source: Adapted from Thomas R. Dye, Understanding Public Policy 3rd ed.
21. Six Elements of Policy Arguments: the main
vehicle for conducting debates about PP
Issues
1. Policy
Relevant (Therefore) 2. Policy
6. Qualifier Claim
Information
Probably Govt. should invest in
Nuclear power is two or three The construction of
Times more efficient than Nuclear power plants
Conventional Power Sources (Unless)
(Since)
5.
3. Warrant
Rebuttal
Production of Nuclear energy is Solar Energy can be developed
The only way to ensure continuing growth On a large scale
Of the economy
(Bcoz) (Bcoz)
4. Backing
Backing
Arab Countires can continue
To embargo oil. Other sources This is the conclusion of panel of experts
Are limited
22. Dunn’s Integrated Framework: Problem Centered
Policy Analysis
Policy
Performance
Evaluation Forecasting
Problem
Structuring
Policy
Structuring
Policy Structuring
Problem Problem Policy Futures
Outcomes Problems
Problem
Structuring
Monitoring Recommendation
Policy Actions
23. The process of policy analysis is a series of
intellectual activities carried out within a process
comprised of activities that are essentially political
24. Reconstructed Logic Vs. Logic-in-Use
Reconstructed Logic Logic-in-Use
Process – problem Variation can occur due to personal
centered policy analysis characteristics of analysts and the
institutional setting
Designed for Factors that Influence variation:
methodological purposes •Cognitive Style: diff. Knowledge
ie. For studying the •Analytical Roles: Entrep, Politicians and
strengths and Technicians
weaknesses of different •Institutional Incentive system: Different
methods & techniques orientation – humanistic & scientific; quality
of Policy Analysis control also differs
•Institutional time constraints: expedite
• Professional Socialization: varied
orientation (traditional/basic & applied)
25. Forms of Policy Analysis
Prospective Retrospective
Policy Analysis Policy Analsis
Integrated
Policy
Analysis
26. Three major forms of Policy Analysis:
Prospective Policy Analysis:
Involves the production and transformation of
information before policy actions are initiated and
implemented.
Tends to Characterize the operating styles of
economists, systems analysts, and operations
researchers.
Synthesizes information to draw policy alternatives
and preferences.
27. Prospective Analysis often creates large gap
Efforts of
Preferred
Govt. to
Solutions to
resolve the
Problems
problem
Gaps
28. Retrospective Policy Analysis
Confined to the production and transformation of
information after policy actions have been taken.
Operating styles of three major groups of analysts:
1.Discipline oriented analysts
2.Problem oriented analysts
3.Application oriented analysts
29. Discipline Oriented Problem Oriented Application Oriented
Analysis Analysis Analysis
Political Scientists & Political Scientists & Also persons from social
Sociologists – seeks to Sociologists - seeks to work, public
develop and test describe the causes and administration &
discipline based theories. consequences of policies. evaluation research. Seeks
to describe causes & consq
Describe the causes and Less concerned with the Not concerned with dev.
consequences of the development and testing of And testing of discipline
policies. theories. Discipline based theories.
Oriented Analysis
What affected the policies
Seldom attempts to Seldom provides info about They are concerned with
identity specific goals and specific goals and the identification of goals
objectives of policymakers objectives of policymakers. and objectives of policy
(does not distinguish Coz the problem they makers and other
“policy variables”). analyze are usually of stakeholders. Good info for
general nature. evaluating policy outcome.
30. Integrated Policy Analysis
Prospective Policy Integrated Policy Analysis
Retrospective Policy
Analysis
Analysis
Builds on the strengths of both
Prospective & Retrospective
Analysis – multidisciplinary in
Suffers from inadequate &
full sense of the world Suffers from its nature i.e.
unreliable info. About changes in
values , goals and objectives confined with passive reporting
which occur after policies have Multidisciplinary framework, concerns of information about the
been implemented. with the production & transformation consequences of implemented
of information both before and after policies
policy actions have been taken.
Provides methodology for policy
analysis (rules & procedures)
31. An Integrated Framework
Policy
Performance
Evaluation Retrospective Prospective
Forecasting
P. S.
Policy P.S. Policy P.S. Policy
Outcomes Problems Futures
What happened? P.S. What will happen?
After action Before action
Recommend
Monitoring
ation
Policy Actions
32. Methodology of Policy Analysis: Distinction
between theories
Descriptive Decision Theory: set of logically consistent
propositions that describe action. Primary aim is to
understand a policy problem rather than to solve it.
Normative Decision Theory: set of logically consistent
propositions that provide a basis for improving the
consequences of action. Appropriate for predicting and
recommending different courses of action before they
have occurred. Aim is to solve the problem - “Problem
Solving” methodology.
33. Summary
A combination and transformation of the
substance and methods of several disciplines,
intends to produce policy relevant information
to resolve the problems
Knowledge of what is (fact), what is right
(values) and what to do (action) requires /
demands the use of multiple methods of
inquiry
Policy analysis has 3 main forms: prospective,
retrospective & integrated
