introduction to policy analysis

7/24/2019 Introduction to Policy Analysis

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INTRODUCTION TO POLICY

ANALYSISWhat to think about when you want to examine

the content and impact of a policy


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THINKING ABOUT CREATING A NEWPOLICY

Definition of the Problem

Cause of the problem [identifying the causalchain]

Target PopulationConsequences of the Problem

Ideology and its relationship to policy solutions

Criteria for setting policy goals (generally derived

from ideology/values).Gainers & Losers (Political, Social, & MonetaryGains)


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ROLE OF IDEOLOGY

Ideology is a set of assumptions about how the world works. Most of the time ideologies are not tested empirically. If they aretested and verified, we would call them theories.

Ideologies are often associated with political parties. For example, policy decisions could be based on the following

principles:1) Individual Responsibility

2) Social Responsibility, especially for people in need.A politician that adopts the Individual Responsibility approachmight argue against new taxes and for reducing social programs.

A politician that adopts the Social Responsibility approach mightargue that new taxes are necessary to support programs for thepoor.

The Individual Responsibility approach is often used to argueagainst government intervention. Social Responsibility approachis often used to argue for more government programs.


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CAUSAL CHAIN

Peoplewithmentalillness

Limits onInvoluntary

Commitment;Reductions inmental healthfunding

Fewer mental

healthinstitutionsand outpatientfacilities

More mentallyill people onthe streets

Increasesin

homeless-ness


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MOST SOCIAL POLICY IS BASED ONTHE RATIONAL OR PROBLEM-SOLVINGMODELProblem identification

Assessment

Goal Setting

ImplementationEvaluation


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SOCIAL POLICY ANALYSTS USE A VARIETYOF METHODS TO CHOOSE AMONG

ALTERNATIVE GOALS OR INTERVENTION

PLANS

Review of the available theoretical and research literatureto identify appropriate interventions that have beenassessed as effective.

Best practices disseminated by other agencies andplanning groups.

Decision trees

Conceptual, visual, or mathematical models.

Principle of Transitivity: If A > B and B> C, then A > C. Cost benefit or cost effectiveness analysis.

Analysis of the distributional impact of the plan (whatgroups will benefit or lose).


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GAINERS & LOSERS

Costs for Social Programs are seldom shared amongdifferent groups in society.

Social Policies should have some benefits for the public atlarge, but may favor some groups over others.

Policy analysts and social planners use the principle ofpareto optimality in the decision-making process.

The principle states that in all social programs, the gainsshould outweigh the costs of programs. In addition, theprinciple suggests that people who benefit disproportionallyfrom a program should compensate the losers.

However, some policy analysts believe that it is sufficientthat policies and programs simply meet the standard ofpotential pareto optimality i.e. that rather than actuallygive compensation to the losers, a program or policy shouldbe adopted if the people who benefit canpotentiallycompensate the losers because their benefits are so large.


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THIS PRINCIPLE IS PUT INTO OPERATION BYGOVERNMENT AGENCIES AND BUSINESSES BYCONDUCTING COST-BENEFIT OR COST-EFFECTIVENESS ANALYSIS

In cost-benefit analysis, the benefits of social policies shouldoutweigh the costs. Policy analysts look at a number ofdifferent program outcomes and evaluate them in terms ofcosts and benefits.

In cost-effectiveness analysis, policy analysts examine the costsof various policy options and their potential impacts. Thelowest cost program that has the highest impact is the onechosen for implementation.

Problems issues with these approaches; costs are expressed indollars. Some social costs and benefits can not be convertedinto dollars. For example, quality of life, mental health, or thebeauty of a national park cannot be assigned dollar values.

Also, the method may not take into account unexpected costsor side-effects of the program (externalities) and it may bedifficult to estimate costs and benefits overtime.

In addition, the method does not really help to identify howbenefits should be distributed across different demographic orincome groups. Distributional decisions are usually made(non-rationally) in the political process.


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DISTRIBUTIONAL EFFECTS IN COST-

BENEFIT ANALYSIS(ADOPTED FROM STOKEY & ZECKHAUSER, 1978)Benefits Costs Net Benefits

Project 1

Landlords $100,000 $50,000 $50,000

Tenants $ 30,000 $40,000 -$10,000

Whole Society $130,000 $90,000 $40,000

Project 2

Landlords $40,000 $80,000 -$40,000

Tenants $40,000 $10,000 $ 30,000

Whole Society $80,000 $90,000 -$10,000


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IN ANALYZING POLICIES OR PROPOSINGNEW ONES, WE TAKE INTO ACCOUNTJUDICIAL DECISIONS. Three branches: executive, legislative, judicial. Legislative branch passes laws; executive (president,governor) may sign or veto laws and implementspolicy. Judiciary interprets laws and regulations.

Standards used to interpret laws are inherent in theBill of Rights and the Constitution. Does the law uphold individual and state rightsidentified in the Bill of Rights and the Constitution.

Two layers of courts Federal and State. Federal judges are appointed (District and SupremeCourt judges). U.S. Senate must confirm.

State courts have a mix of appointed (by the governor)and elected judges.


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CONTROVERSIES ABOUT THEJUDICIAL BRANCH

Judges are supposed to make impartial decisions. Might be difficult in cases in which judges are elected (theyaccept campaign donations)

Since judges are appointed by politicians, the President orGovernor may make appointments based on political ideology.

Since judges are called upon to assess government policy, theperson who appoints them might have a vested interest inappointing judges that will make decisions that supportexisting policies or government decisions. The legislativebranch may refused to confirm judges that they feel arepartisan or that have made previous decisions that runcounter to a particular political partys ideology or vested

interests. Judges do make decisions based on ideology. One philosophicalapproach is strict constructionism the belief that laws mustbe interpreted in a manner that is consistent with the intent ofthe founding fathers. Other judges believe that changes insocial values and technology can be used to make newinterpretation of rights granted in the constitution.


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IN DECIDING WHETHER A LAW ISCONSTITUTIONAL JUDGES TAKE INTO

ACCOUNT: Judicial precedent how have similar cases been decided bythe court?

Procedural rights; due process do people have equal access tobenefits, jobs, services, voting, and legal protections? Forexample, do people have the right to appeal governmentdecisions?

Have people been previously granted substantive rights by apiece of legislation that cant legally be withdrawn bygovernment?

Does the law violate any of the rights identified by the Bill ofRights. Difficulty in interpretation by the courts relates toimplementation or procedures used to put the policy into

operation. Another difficulty in interpretation involvesunderstanding of what those rights actually mean. Courtshave held that certain rules can be used to regulate theexercise of those rights. In some cases, the rights of someindividuals can conflict with the rights of others. In addition,our understanding of rights can change over times due todifferences in social values or changes in technology.


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FRAMEWORK FOR UNDERSTANDINGJUDICIAL DECISIONS (FROM CANNON ASCITED IN CHAMBERS & WEDEL,2005, P. 38)

Whether and in what way new judicial decisionsnegate earlier legislation.

The degree to which earlier judicial precedentsare altered.

Determining what specific policy consequencesfollow from a judicial decisions.

How new judicial decisions affect administrativediscretion (it might alter how the policy isimplemented; courts can facilitate consentdegrees when someone sues the government both parties must agree to abide by the decision).


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WHEN ANALYZING JUDICIALIMPACTS IT SHOULD BE NOTED:

That since there are courts in each state and federalcourts serve different regions of the country, differentcourts can make different decisions on similar issues.

Most court decisions can be appealed except formatters that go to the U.S. Supreme Court.

Even the Supreme Court may re-examine casesconsidered settled.

Especially for laws affecting individual rights, newcourt cases can affect how the laws are interpretedand enforced. Consequently, some laws are constantly

changing. This is called case law. Therefore,government agencies, private businesses, andnonprofit agencies need to keep updating theirknowledge of these changes in order to be in legalcompliance. This is particularly true about lawsaffecting the hiring, firing, and retention of staff.


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MORE ON POLICY ANALYSIS

Analysts look at the current or potential impact of laws andpolicy.

Analysts choose the criteria to be used for examining laws andpolicies.

Often these criteria are based on value assumptions about

how laws should work. The value assumptions are closelylinked to ideology and political philosophy.

Policy analysts use values such as equity, equality, adequacy,efficiency, and constitutional rights (freedom of speech,freedom of the press, etc). Effectiveness or the ability of apolicy to produce the intended outcome is also a criteria.

Policy analysts must also consider whether a policy outcome isfeasible(economically, politically, or likely to receive publicsupport).

Policy analysts also try to determine externalities who orwhat is likely to be affected by unintended side effects of thepolicy.


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USING THE PROBLEM-SOLVING(RATIONAL) MODEL, POLICY

ANALYSTS CHOOSE AMONG ANUMBER OF DIFFERENT OPTIONS

WITH DIFFERENT EFFECTS


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ASPECTS OF POLICIES TO BE CONSIDEREDWHEN CHOOSING THE MOST APPROPRIATE

POLICY (AS DESCRIBED IN JANSSON) Mission or purpose Level of Government or Specific Agency that is responsible for policyimplementation/oversight

What type of organization should actually deliver the program(government, nonprofit, for-profit)?

How should funding be delivered (for example, direct federal, or

federal to state to agency)? How much money should be provided? What type of services should be delivered? Theoretical framework forservice delivery?

What type of staffing should be required? Should beneficiaries pay some of the costs of services. Should access to services to restricted or rationed? Should organizations serving similar clientele or offering the sameprograms be required to collaborate with one another.

Should some administration practices be a condition for funding? Who should be responsible for monitoring the implementation of theprogram/policy?


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POLICY ANALYSTS MAY

Consider options for a number of types of programs or

Consider options for each of the policy/programcomponents involved in implementation.

Value criteria are used to choose among the options.

The policy analyst can use mathematical models suchas cost-benefit analysis, can establish a formula forranking each item, or use research data, informationon best practices, or previous program evaluations to

choose among the various options. Questions to be addressed are whether the policiesuphold the value criteria. Does the policy meet someof the criteria and not others. Which option meetsmost of the criteria?

introduction to policy analysis

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