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.
 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)
“Policy analysis is client oriented
advice relevant to public, or private,
decisions and informed by social
values”
Weiner & Vining
A good analysis or even a good
decision Does Not Guarantee that
the optimal solution will be selected
and / or implemented.
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.
 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…..
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
We want to learn how to look at
problems from multiple
perspectives to achieve the best
problem definition and possible /
feasible solutions
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

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

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
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
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
 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
Methodology of Policy Analysis: integrates
elements from Multiple disciplines

Political Science

Sociology

Psychology

Economics

Philosophy
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)
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)
 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
 Process of Policy Communication: 4
Stage Process Knowledge:
Policy Problems
1 Policy Futures 2
Policy Policy Actions Materials
Analysis Policy Performance Development

Stakeholders: Documents:
Agenda Setting Policy Memo
Policy Formulation Policy Issue
Policy Adoption Policy Papers
Policy Implemen. Analyst Exe. Summary
Policy Assessment Appendices
News Release

4 Presentations: 3
Knowledge Conversations Interactive
Utilization Conferences Communication
Meetings
Briefings
Hearings
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.
 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
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
The process of policy analysis is a series of
intellectual activities carried out within a process
comprised of activities that are essentially political
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)
Forms of Policy Analysis

Prospective Retrospective
Policy Analysis Policy Analsis

Integrated
Policy
Analysis
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.
Prospective Analysis often creates large gap

Efforts of
Preferred
Govt. to
Solutions to
resolve the
Problems
problem
Gaps
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

Discipline Oriented
Analysis
Political Scientists &
Sociologists – seeks to
develop and test
discipline based theories.
Describe the causes and
consequences of the
policies.
Seldom attempts to
identity specific goals and
objectives of policymakers
(does not distinguish
“policy variables”).
Problem Oriented
Analysis
Political Scientists &
Sociologists - seeks to
describe the causes and
consequences of policies.
Less concerned with the
development and testing of
theories. Discipline
Oriented Analysis
What affected the policies
Seldom provides info about
specific goals and
objectives of policymakers.
Coz the problem they
analyze are usually of
general nature.
Application Oriented
Analysis
Also persons from social
work, public
administration &
evaluation research. Seeks
to describe causes & consq
Not concerned with dev.
And testing of discipline
based theories.
They are concerned with
the identification of goals
and objectives of policy
makers and other
stakeholders. Good info for
evaluating policy outcome.
 Integrated Policy Analysis

Prospective Policy Integrated Policy Analysis

Analysis
Suffers from inadequate &
unreliable info. About changes in
values , goals and objectives
which occur after policies have
been implemented.
Builds on the strengths of both
Prospective & Retrospective
Analysis – multidisciplinary in
full sense of the world
Multidisciplinary framework, concerns
with the production & transformation
of information both before and after
policy actions have been taken.
Retrospective Policy
Analysis
Suffers from its nature i.e.
confined with passive reporting
of information about the
consequences of implemented
policies

Provides methodology for policy

analysis (rules & procedures)
 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
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.
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
Thank you