Contemporary Policy Analysis

Preface
1. Introduction
The Nature of Policy Analysis
The Rise of Policy Analysis
The Purpose and Organization of this Book
Conclusion
Exercises
Further Reading
OVERVIEW OF POLICY ANALYSIS
2. What Policy Analysts Do
The Social Function of Policy Analysis
Where Policy Analysts Are Employed
How Policy Analysts Contribute to Public Decision Making
Common Competencies and Attributes of Successful Policy Analysts
Why Being a Policy Analyst Is an Appealing Career Choice
Conclusion
Exercises
Invite a Guest to Class
Further Reading
3. What Governments Do
The Role of Government in Society
Achieving Cooperation
A Review of Government Policy Actions
Market Making
Taxes
Subsidies
Regulation
Direct Service Supply
Funding and Contracting
Partnering and Facilitating
Information and Social Marketing
Frameworks and Strategies
Summary
Increasing Complexity
Looking Ahead
Exercises
Further Reading
4. Objectives of Government Policy Actions
Discussing Government Policy Action
Promoting Human Flourishing
Promoting Effective Institutions
Promoting Efficiency
Promoting Sustainability
Advancing Human Rights
Promoting Social Equity
Problem Definition and Agenda Setting
Working with Objectives, Goals, and Public Policies
Conclusion
Exercises
Further Reading
5. Managing Policy Projects
The Discipline of Project Management
Project Initiation
Project Planning
Project Execution and Control
Project Closure
Developing a Policy Project Proposal
A Project Summary
A List of Project Objectives
A List of Project Deliverables
A Project Task List
A Preliminary Time Budget
A Project Timeline
Biographical Statements
A Project Budget
A Risk Assessment
Transitioning to Project Execution and Control
Constructing Progress Reports
Managing Your Time
Make "To Do" Lists
Prioritize among Activities
Batch Routine Tasks
Think about Opportunity Costs
Think in Marginalist Terms
Take Care of Relations with Others
Manage Your Downtime
Working with Policy Literature
Conclusion
Exercises
The Class Project
Further Reading
6. Presenting Policy Advice
Clarifying Audience Needs
Structuring a Policy Report
Abstract or Executive Summary
Table of Contents
Introduction
Background
Analytical Strategy
Analysis and Findings
Discussion
Policy Recommendations
Conclusion
Other Items
Effective Presentation of Evidence
Reflecting on the Contribution
The Sign-Off
Developing Presentations and Oral Briefings
The Importance of Creativity
Conclusion
Exercises
Invite a Guest to Class
Further Reading
7. Doing Ethical Policy Analysis
Policy Analysis and Ethical Practice
Ethical Principles for Policy Analysts
Integrity
Competence
Responsibility
Respect
Concern
Doing Ethical Policy Analysis
Ethical Problem Definition
Ethical Construction of Alternatives
Ethical Selection of Criteria
Ethical Prediction of Outcomes
Ethical Analysis of Trade-Offs
Ethical Reporting Practices
Conclusion
Exercises
Invite a Guest to Class
Further Reading
ANALYTICAL STRATEGIES
8. Introduction to the Analytical Strategies
Policy Analysts in the Policy-Making Process
The Analytical Strategy Chapters
Chapter 9: Analysis of Markets
Chapter 10: Analysis of Market Failure
Chapter 11: Analysis of Government Failure
Chapter 12: Comparative Institutional Analysis
Chapter 13: Cost-Benefit Analysis
Chapter 14: Gender Analysis
Chapter 15: Race Analysis
Chapter 16: Implementation Analysis
Use of Applied Examples
The Analytical Strategies and General Steps in Policy Analysis
When to Apply Each Analytical Strategy
Conclusion
9. Analysis of Markets
An Introduction to Market Analysis
Consumer Choice and the Demand Side of the Market
Firm Behavior and the Supply Side of the Market
Equilibrium in Markets
Comparative Static Equilibrium Analysis
Price Signaling and Interconnected Markets
Assumptions of the Market Model Revisited
Using Market Analysis as an Analytical Framework
Steps in Market Analysis
Step 1: Identify the phenomenon of interest.
Step 2: Consider the behavior of consumers and producers.
Step 3: Think in terms of comparative statics equilibrium analysis.
Step 4: Collect and analyze the relevant information.
Step 5: Draw implications for government action.
An Applied Example
Step 1: Identify the phenomenon of interest.
Step 2: Consider the behavior of consumers and producers.
Step 3: Think in terms of comparative statics equilibrium analysis.
Step 4: Collect and analyze the relevant information.
Step 5: Draw implications for government action.
Advice for Analytical Practice
Analysis of Markets and Other Analytical Strategies
Chapter Content Review: A Self-Test
Exercises
The Policy Research Seminar
Further Reading
10. Analysis of Market Failure
An Overview of Market Failure
Information Asymmetries
Rectifying Information Asymmetries
Positive Externalities
Rectifying Positive Externalities
Negative Externalities
Rectifying Negative Externalitie
Public Goods: Common Pool Resources
Rectifying Problems with Common Pool Resources
Pure Public Goods: The Need for Collective Provision
Arranging Collective Provision
Natural Monopolies and How They Can Be Managed
Social Equity Concerns and How They Can Be Addressed
Using Market Failure as an Analytical Framework
Steps in the Analysis of Market Failure
Step 1: Specify the good or service of interest.
Step 2: Identify the consumers and producers and the location of their transactions.
Step 3: Using the tools of market analysis, construct a simple model of how an efficient market would allocate this good or service.
Step 4: State the market failure that you believe is present in this context.
Step 5: Analyze the actions of consumers and producers and how those actions contribute to market failure.
Step 6: Estimate the financial implications of the market failure, and note any other salient impacts.
Step 7: Identify efforts made by consumers, producers, and any other nongovernmental actors to address the market failure.
Step 8: Suggest how government use of policy instruments could potentially address the market failure.
An Applied Example
Step 1: Specify the good or service of interest.
Step 2: Identify the consumers and producers and the location of their transactions
Step 3: Using the tools of market analysis, construct a simple model of how an efficient market would allocate this good or service.
Step 4: State the market failure that you believe is present in this context.
Step 5: Analyze the actions of consumers and producers and how those actions contribute to market failure.
Step 6: Estimate the financial implications of the market failure and note any other salient impacts.
Step 7: Identify efforts made by consumers, producers, and any other nongovernmental actors to address the market failure.
Step 8: Suggest how government use of policy instruments could potentially address the market failure.
Advice for Analytical Practice
Market Failure and Other Analytical Strategies
Exercises
The Policy Research Seminar
Further Reading
11. Analysis of Government Failure
An Overview of Government Failure and Its Analysis
Government and Coordination Problems
Political Control
Provider Capture
Perverse Incentives
Goal Displacement
Institutional Inertia
Using Government Failure as an Analytical Framework
Steps in the Analysis of Government Failure
Step 1. Define the area of policy interest.
Step 2. Determine the objectives of government action.
Step 3. Note the nature of information and coordination problems that can arise through reliance on decentralized, private decision making.
Step 4. Contrast the current or favored government actions with possible alternatives.
Step 5. Identify opportunities for undue political interference in program management.
Step 6. Identify opportunities for provider capture.
Step 7. Identify perverse incentives and unintended outcomes.
Step 8. Propose changes in policy design to reduce observed government failure.
Step 9. Consider ways that reliance on government action could be reduced over time. An Applied Example
An Applied Example
Step 1. Define the area of policy interest.
Step 2. Determine the objectives of government action.
Step 3. Note the nature of information and coordination problems that can arise through reliance on decentralized, private decision making.
Step 4. Contrast the current or favored government actions with possible alternatives.
Step 5. Identify opportunities for undue political interference in program management.
Step 6. Identify opportunities for provider capture.
Step 7. Identify perverse incentives and unintended outcomes.
Step 8. Propose changes in policy design to reduce observed government failure.
Step 9. Consider ways that reliance on government action could be reduced over time.
Advice for Analytical Practice
Analysis of Government Failure and Other Analytical Strategies
Exercises
The Policy Research Seminar
Further Reading
12. Comparative Institutional Analysis
An Overview of Comparative Institutional Analysis
Using Comparative Institutional Analysis as an Analytical Framework
Steps in Comparative Institutional Analysis
Step 1: Select and refine the analytical questions.
Step 2: Develop a research design, and select cases.
Step 3: Collect and analyze the relevant information.
Step 4: Isolate the relationships between institutional choice and observed outcomes.
Step 5: Present your findings, and make recommendations.
An Applied Example
Step 1: Select and refine the analytical questions.
Step 2: Develop a research design, and select cases.
Step 3: Collect and analyze the relevant information.
Step 4: Isolate the relationships between institutional choice and observed outcomes.
Step 5: Present your findings, and make recommendations.
Advice for Analytical Practice
Comparative Institutional Analysis and Other Analytical Strategies
Exercises
Invite a Guest to Class
The Class Project
The Policy Research Seminar
Further Reading
13. Cost-Benefit Analysis
An Overview of Cost-Benefit Analysis
Using Cost-Benefit Analysis as an Analytical Framework
Steps in Cost-Benefit Analysis
Step 1: Define the scope of the study.
Step 2: Identify all negative and positive effects of the policy.
Step 3: Estimate the monetary costs and benefits of the policy.
Step 4: Take account of opportunity costs.
Step 5: Calculate net present value.
Step 6: Reflect on the value of human life and quality-of-life issues.
Step 7: Report study assumptions and limitations.
Step 8: Present results using several scenarios.
An Applied Example
Step 1: Define the scope of the study.
Step 2: Identify all negative and positive effects of the policy.
Step 3: Estimate the monetary costs and benefits of the policy.
Step 4: Take account of opportunity costs.
Step 5: Calculate net present value.
Step 6: Reflect on the value of human life and quality-of-life issues.
Step 7: Report study assumptions and limitations.
Step 8: Present results using several scenarios.
Advice for Analytical Practice
Cost-Benefit Analysis and Other Analytical Strategies
Exercises
The Class Project
The Policy Research Seminar
Further Reading
14. Gender Analysis
Gender and Race Analysis
Policy Motives
Policy Actions
An Overview of Gender Analysis
Analysis of Aggregate Statistics
Process Tracing
Tests for Discriminatory Practices
Using Gender Analysis as an Analytical Framework
Gender Analysis and Problem Definition
Gender Analysis and Construction of Alternatives
Gender Analysis and Selection of Criteria
Gender Analysis and Prediction of Outcomes
Reporting Gender Analysis
Steps in Gender Analysis
Step 1. Select a specific context in which women appear significantly disadvantaged relative to men.
Step 2. Assemble evidence allowing you to illustrate differences in men's and women's experiences in similar contexts.
Step 3. Develop a process-tracing method to show how specific institutional arrangements, social practices, or decision-making are discriminatory.
Step 4. Highlight discriminatory policies or practices, and show how they disadvantage women compared with men.
Step 5. Propose policy actions to rectify the discrimination and disadvantage.
Step 6. Address the view that gains for women spell losses for men.
An Applied Example
Step 1. Select a specific context in which women appear significantly disadvantaged relative to men.
Step 2. Assemble evidence allowing you to illustrate differences in men's and women's experiences in similar contexts.
Step 3. Develop a process-tracing method to show how specific institutional arrangements, social practices, or decision making are discriminatory.
Step 4. Highlight discriminatory policies or practices, and show how they disadvantage women compared with men.
Step 5. Propose policy actions to rectify the discrimination and disadvantage.
Step 6. Address the view that gains for women spell losses for men.
Advice for Analytical Practice
Gender Analysis and Other Analytical Strategies
Exercises
The Policy Research Seminar
Further Reading
15. Race Analysis
An Overview of Race Analysis
Testing for Statistical Discrimination versus Racial Prejudice
Confronting Misattribution Problems
Tracing Complex Processes
Using Race Analysis as an Analytical Strategy
Race Analysis and Problem Definition
Race Analysis and Construction of Alternatives
Race Analysis and Selection of Criteria
Race Analysis and Prediction of Outcomes
Reporting Race Analysis
Steps in Race Analysis
Step 1. Select a specific context in which significant racial disparities are known or expected to exist.
Step 2. Assemble evidence allowing you to confirm the existence of racial disparities.
Step 3. Develop a process-tracing method to show how specific institutional arrangements, social practices, or decision making are discriminatory.
Step 4. Highlight discriminatory policies or practices, and show how they disadvantage specific racial groups.
Step 5. Propose policy actions to rectify the discrimination and disadvantage.
Step 6. Scrutinize the proposed policy actions to avoid unintended negative effects.
Step 7. Estimate the gains for all groups that would result from effective policy change.
An Applied Example
Step 1. Select a specific context in which significant racial disparities are known or expected to exist.
Step 2. Assemble evidence allowing you to confirm the existence of racial disparities.
Step 3. Develop a process-tracing method to show how specific institutional arrangements, social practices, or decision making are discriminatory.
Step 4. Highlight discriminatory policies or practices, and show how they disadvantage specific racial groups
Step 5. Propose policy actions to rectify the discrimination and disadvantage.
Step 6. Scrutinize the proposed policy actions to avoid unintended negative effects.
Step 7. Estimate the gains for all groups that would result from effective policy change.
Advice for Analytical Practice
Race Analysis and Other Analytical Strategies
Exercises
Further Reading
16. Implementation Analysis
An Overview of Implementation Analysis
Envisioning Policy Success
Identifying Tasks and Task Dependencies
Identifying Threats to Successful Implementation
Closing Knowing-Doing Gaps
Planning for Evaluation
Using Implementation Analysis as an Analytical Framework
Steps in Implementation Analysis
Step 1. Identify the overall purpose of the new policy, where it will be implemented, and how success has been defined.
Step 2. Identify who will be responsible for policy implementation and the behavioral changes that implementation is expected to produce.
Step 3. Specify the institutional, organizational, and procedural changes required to support the new policy.
Step 4. Treating implementation as a project, note the key tasks required to establish the new policy context.
Step 5. Identify any significant threats to successful implementation and how they can be addressed.
Step 6. Consider how institutional inertia might hinder change and how it can be overcome.
Step 7. Ensure provisions have been made for evaluation of the new policy and associated programs.
An Applied Example
Step 1. Identify the overall purpose of the new policy, where it will be implemented, and how success has been defined.
Step 2. Identify who will be responsible for policy implementation and the behavioral changes that implementation is expected to produce.
Step 3. Specify the institutional, organizational, and procedural changes required to support the new policy.
Step 4. Treating implementation as a project, note the key tasks required to establish the new policy context.
Step 5. Identify any significant threats to successful implementation and how they can be addressed.
Step 6. Consider how institutional inertia might hinder change and how it can be overcome.
Step 7. Ensure provisions have been made for evaluation of the new policy and associated
Advice for Analytical Practice
Implementation Analysis and Other Analytical Strategies
Exercises
Invite a Guest to Class
The Class Project
The Policy Research Seminar
Further Reading
IMPROVING YOUR PRACTICE
17. Developing as a Policy Analyst and Advisor
The Power of Positive Thinking
Developing Openness and Creativity
Skill Building Through Deliberate Practice
Becoming a Change Leader
Further Reading
Bibliography
Index

Michael Mintrom is Associate Professor of Political Studies and Coordinator of the Master of Public Policy degree at the University of Auckland in New Zealand.

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