POLICY

ANALYSIS

Prepared by:
Mr. Rogelio L. Paredes Jr.
Course Title: ELEC 3 - Policy Analysis
Credit: Three (3) units
Prerequisite: ADMIN 1

Course Description:
This course will introduce you to the theory and practice
of policy analysis. Working as a policy analyst,
administrator, or manager means making or helping to
make decisions in the public’s interest and doing so within
a democratic setting. Our course will focus on policy
evaluation by covering many different tools providing
students with practice, and ultimately expertise in policy
analysis.
 INTRODUCTION

• According to Olaniyi
(1998:13) Public Policy
Analysis is a field of study that
has its meaning enriched by
two separate terminologies -
namely: "Public Policy" and
Analysis. Thus, any attempt at
understanding the field must
first explain the two concepts
separately before their
integration.
Public policy affects every
aspect of your life.
When you are old
enough to do these
things, public
policies will regulate
how you do them.
it.
POLICY
• Policy - a relatively stable, purposive course
of action followed by an actor or set of actors
in dealing with a problem or matter of
concern.
• Policies are rules, laws, or guidelines
• Policy is simply actions taken or to be taken
by government or private organization.
(Ikelegbe: 1996.1)
• A policy option made by an
individual is known as "private
policy" because it affects the
person alone and no any other
person. (Olaniyi: 1998:13)
In a democratic society, everyone
can influence the public policies
that affect their lives. If people do
not like a law or policy, they can
try to change it.
• Skills of a public policy analyst
– What public policy is
– What a public policy issue is
Public policy issues involve three main
components:
• A social problem that needs to be corrected by
government (is the issue that needs to be addressed)
• Individuals, groups or organizations called players who
are upset by the social problem and want to improve or
make (is the individual or group of individuals that is
influential in forming a plan to address the problem in
question)
• a public policy to try to correct the social problem (is
the finalized course of action decided upon by the
government.)
• A social problem is a
condition that at least
some people in a
community view as
being undesirable.
Everyone would agree
about some social
problems. (e.g. DWI
traffic accidents)
TOP 10 CONCERNS OF FILIPINOS
THE STUDY OF PUBLIC POLICY cont.

• Public opinion polls confirm

that people worry about
economic well-
their
being more than any other
concern.
• Players are individuals, groups or
organizations that try to influence public
policies.
– Individuals - The President, a mayor, a school
principal.
– Groups/organizations – e.g. Philippine
Alliance of Human Rights Advocates,
Philippine Task Force for Indigenous Peoples’
Rights
THE STUDY OF PUBLIC POLICY

• In a diverse society embracing differerent

values and point of view, interests collide
and compromises are unavoidable.

• Political analysts must deal with questions

of who will gain and who will lose by
any given policy.
THE STUDY OF PUBLIC POLICY

The basic challenge confronting

public policy is the fact of scarcity.

We cannot have everything we want.

OPPORTUNITY COSTS

• Public policy focuses on the CHOICES

individuals and governments make.
• Whenever we make a choice, there is a
cost.
• This cost equals the value of the most
desired goods and services forgone.
OPPORTUNITY COSTS cont.

• Oppurtunity Cost - is a forgone opportunity

or alternative
- it is the value of what is
given up when one
makes a choice
THE STUDY OF PUBLIC POLICY

• Will government intervention improve upon

a market solution?

• The analysts must also be aware of the

need to examine the ideas regarding
normative values of what is good for
society as a whole.
THE STUDY OF PUBLIC POLICY

• In the course of their daily lives people are

affected, directly and indirectly, obviously and
subtly, by an extensive array of public policies.

• Public policies in a modern, complex society are

indeed ubiquitous.

• They confer advantages and disadvantages,

cause pleasure, irritation, and pain, and
collectively have important consequences for
our well-being and happiness.
THE STUDY OF PUBLIC POLICY cont.

• This being so, we should know

something about public policies, including
how they are:

– Formed
– Budgeted
– Implemented
– Evaluated
THE STUDY OF PUBLIC POLICY

• Public policy - a policy developed

within the political system

• Public policy is the attempt by a

government to address the issue
by instituting laws, regulations,
decisions and actions pertinent to
the problem at hand.
THE STUDY OF PUBLIC POLICY

• Public policies are those

developed by governmental
bodies and officials.
• (Nongovernmental actors
and factors may of course
influence public-policy
development.)
THE STUDY OF PUBLIC POLICY

• Public policy consists of political

decisions for implementing programs
to achieve societal goals.

• Ultimately public policy is about

people, their values and needs, their
options and choices.
THE STUDY OF PUBLIC POLICY

• Public policies are those

produced by government officials
and agencies. They also usually
affect substantial numbers of
people.
• “The term public policy always refers to
the actions of government and the
intentions that determine those actions.”
Clarke E. Cochran et al.

• “Public policy is the outcome of the

struggle in government over who gets
what.” Clarke E. Cochran et al.
• “Whatever governments choose to do or
not to do.” Thomas Dye

• “Public policy consists of political decisions

for implementing programs to achieve
societal goals.” Charles L. Cochran and
Eloise F. Malone
THESE DEFINITIONS SHARE IDEAS
No single definition may ever be developed, but
we can discern key attributes of public policy:

• Policy is made in
response to some
sort of problem that
requires attention.
THESE DEFINITIONS SHARE IDEAS
No single definition may ever be developed, but
we can discern key attributes of public policy:

• Policy is ultimately made by

governments, even if the
ideas come from outside
government or through the
interaction of government
and nongovernmental
actors.
THESE DEFINITIONS SHARE IDEAS
No single definition may ever be developed, but
we can discern key attributes of public policy:

• Policy is made on
the “public’s” behalf.
• Policy is oriented
toward a desired
state
 THESE DEFINITIONS SHARE IDEAS
No single definition may ever be developed, but
we can discern key attributes of public policy:

• Policy is interpreted
and implemented by
public and private
actors.
 THESE DEFINITIONS SHARE IDEAS
No single definition may ever be developed, but
we can discern key attributes of public policy:

• Policy can be action

or inaction.
• A statement by government
of what it intends to do
about a public problem.
• E.g. For example, a law
that says that those caught
driving while intoxicated
will go to jail for is a
statement of governmental
policy to punish drunk
drivers.
REASONS FOR STUDYING PUBLIC
POLICIES AND POLICYMAKING.

1. Scientific/ Theoretical Reasons

(SCIRE) Scientifically - the
systematic and rigorous study of the
origins, development, and
implementation of public policies will
enhance our knowledge of political
behavior and governance, as well as
of public policy per se.
THE STUDY OF PUBLIC POLICY cont.
• How is policymaking affected by federalism
(unitary) and the separation of powers?

• Were pressure groups or public opinion or the

media influential in the adoption of a policy?

• Why did government cease to be concerned

with a problem?
THE STUDY OF PUBLIC POLICY cont.

2. Applied/ Practical Reasons/

Professionally - a person may pursue a
career as a policy analyst or evaluator.

Practitioners of policy analysis, which

draws heavily upon economic theory and
statistical and mathematical analytical
techniques, have been growing in number
in recent decades.
THE STUDY OF PUBLIC POLICY cont.
3. Politically - many people want to engage
in policy advocacy, using knowledge of
public policy to formulate and promote
"good" public policies that will have the
"right" goals, that is, goals which serve
their purposes.
POLICY ANALYSIS
Policy analysis is defined as a set of
techniques that seeks to answer the
question of what the probable effect of a
policy will be before they actually occur'
(Shafritz 1986:409). This refers to a
"before the fact" analysis of Public
Policies. However, the term is also used
by many to refer to both before bind after
the fact analyses of Public Policies.
POLICY ANALYSIS

But a Policy Analysis undertaken on a

programme that is already in effect is
more properly called a
“programme/policy evaluation”.
(Shafritz 1985: 410). All Policy
analysis involves the application of
systematic research techniques most
of which are borrowed in other
disciplines.
 CATEGORIES OF PUBLIC POLICY
• Substantive policies
- Involve what government is going to do
- Concerned with the general welfare and
development of the society
- Directly allocate advantages and
disadvantages, benefits and costs, to
people. (have a significant impact)
Example
• constructing highways
• education and employment opportunities
• prohibiting the retail sale of liquor
• anti-pollution law
 CATEGORIES OF PUBLIC POLICY Cont.
• Procedural policies - pertain to
how something is going to be
done or who (what government)
is going to take action.
– Outline the steps in the
process
– The creation of public offices is
primarily a legislative function
– It often involves the protection
of individual rights like rights to
a fair hearing
 CATEGORIES OF PUBLIC POLICY Cont.
• Distributive policies - involve
allocation of services or
benefits to particular segments
of the population (especially
the needy ones) - individuals,
groups, corporations, and
communities.
E.g. Farm subsidies, local
infrastructure projects
like dams, highways and
schools, free public
school education, and
job-training programs,
food relief
 CATEGORIES OF PUBLIC POLICY Cont.
• Distributive policies
typically involve using
public funds to assist
particular groups,
communities, or industries.
• Thus, distributive policies
appear to create only
winners and no specific
losers, although obviously
someone does pay their
financial cost.
CATEGORIES OF PUBLIC POLICY Cont.

• Redistributive policies - involve deliberate efforts

by the government to shift the allocation of wealth,
income, property, or rights among broad classes or
groups of the population, such as haves and have-
nots, proletariat and bourgeoisie.
• Are essential component of strategies for reducing
inequality and promoting sustainable development in
its three dimensions: economic, social and
environmental.
• The usual pattern in redistributive policy shifts
resources from haves to have-nots.
CATEGORIES OF PUBLIC POLICY Cont.
• Regulatory policies -
impose restrictions or
limitations on the
behavior of individuals
and groups.
• Concerned with the
regulation of business,
public utilities, etc.
– regulation exists in dealing
with criminal behavior
– TFRO, LTO
 CATEGORIES OF PUBLIC POLICY Cont.
• Self-regulatory policies -
are similar to competitive
regulatory policies in that
they involve restricting or
controlling some matter or
group.
– controlled by the regulated
group as a means of
protecting or promoting the
interests of its members.
– For example, this occurs
frequently in occupational
and professional licensing
CATEGORIES OF PUBLIC POLICY Cont.

• Public policies may also be described as

either material or symbolic, depending
upon the kind of benefits they allocate.

• Material policies - actually either provide

tangible resources or substantive power to
their beneficiaries, or impose real
disadvantages on those who are adversely
affected.
CATEGORIES OF PUBLIC POLICY Cont.

–Legislation requiring
employers to pay a
prescribed minimum wage,
–Appropriating money for a
public-housing program
CATEGORIES OF PUBLIC POLICY Cont.

• Symbolic policies - have

little real material impact
on people.
• It demonstrate a
commitment to a principle
– Appeal to people cherish
values, and ideals (such as
peace, patriotism, and
social justice)
– E.g. Independence Day,
Ninoy Aquino Day
Policies Involving Collective Goods or
Private Goods
 MODELS OF POLICYMAKING

• Scholars have developed various

public policymaking models in an
attempt to explicate the process and
to teach students and practitioners
how to make public policy.
 Institutionalism/ Institutional Model

• The study of government

institutions (or
organizations) is one of the
oldest concerns of political
science.

• Political life generally

revolves around
governmental institutions
such as legislatures,
executives, courts, and
political parties.
Institutionalism Cont.
• Public policy, moreover, is authoritatively
determined and implemented by these
institutions.

• Traditionally, the institutional approach

concentrated on describing the more
formal and legal aspects of
governmental institutions: their formal
structure, legal powers, procedural
rules, and functions or activities.
Institutionalism Cont.
• Formal relationships with other institutions
might also be considered, such as
legislative-executive relations.

• In the academic curriculum the course on

the legislature often came to be about the
legislative process.
Institutionalism Cont.

• Describes and visualizes how the

doctrine of separation of powers
operates
• Policy is a product, authoritatively
determined, implemented and
evaluated by the government
institutions
Institutionalism Cont.

• A policy does not become a public

policy until it is legitimized by
government entity concerned.
• Government policies provide legal
powers that demand obligations
from and command loyalty of the
citizen.
Institutionalism Cont.

• This type of policy has its

concomitant punitive
components
• The structure of the various
government institutions
contribute to the context of
public policy
Political Systems Theory
– Public policy may be viewed as a
political system's response to demands
arising from its environment.
Political System - comprises those
identifiable and interrelated institutions
and activities (what we usually think of
as governmental institutions and political
processes) in a society that make
authoritative allocations of values
(decisions) that are binding on society.
Political Systems Theory Cont.

• Environment - consists of all phenomena

- the social system, the economic system,
the biological setting - that are external to
the boundaries of the political system.

• Inputs into the political system from the

environment consist of demands and
supports.
Political Systems Theory Cont.

• Demands are the claims for action that

individuals and groups make to satisfy
their interests and values.

• Support is rendered when groups and

individuals abide by election results, pay
taxes, obey laws, and otherwise accept
the decisions and actions undertaken by
the political system in response to
demands.
Political Systems Theory Cont.

• Outputs of the political system include laws,

rules, judicial decisions, and the like.

• The concept of feedback indicates that public

policies (or outputs) made at a given time may
subsequently alter the environment and the
demands arising therefrom, as well as the
character of the political system itself.
• Policy outputs may produce new
demands, which lead to further outputs,
and so on in a never-ending flow of public
policy.

• Indeed, systems theory depicts

government as simply responding to
demands made upon it, and its results are
sometimes characterized as "input-output
studies."
Elite Theory
• Approached from the
perspective of elite theory,
public policy can be regarded
as reflecting the values and
preferences of a governing
elite.

• The essential argument of

elite theory is that public
policy is not determined by
the demands and actions of
the people or the "masses"
but rather by a ruling elite
whose preferences are
carried into effect by public
officials and agencies.
Represented into symbols and boxes, the elite
theory looks like this:
 Elite Theory Cont.
Professors Thomas Dye and
Harmon Zeigler provide a
summary of elite theory:
1. Society is divided into the few
who have power and the many
who do not. [Only a small
number of persons allocate
values for society; the masses
do not decide public policy]
2. The few who govern are not
typical of the masses who are
governed. Elites are drawn
disproportionately from the
upper socioeconomic strata of
society.
Elite Theory Cont.
3. The movement of non-elites to elite positions
must be slow and continuous to maintain
stability and avoid revolution.

4. Elites share a consensus on the basic values of

the social system and the preservation of the
system. [In the United States, the elite
consensus includes private enterprise, private
property, limited government, and individual
liberty.]
Elite Theory Cont.
5. Public policy does not reflect
demands of the masses but rather the
prevailing values of the elite.
Changes in public policy will be
incremental rather than revolutionary.
6. Active elites are subject to relatively
little direct influence from apathetic
masses. Elites influence masses
more than masses influence elites.
Elite Theory Cont.
In the Philippine setting, do the elite lord
over policy-making and governance?

Don’t the majority of Filipinos,

particularly the masses, have any role
to play?
Elite Theory Cont.

The profile of our legislators gives us

the impression of a Congress
dominated by old political elite,
economic elite and famous people
and the so-called “progressives” and
“intellectual elite”.
Elite Theory Cont.
 Elite Theory Cont.
Our Executive branch is also ruled
by presidents who come from well-
heeled families, economically and
politically.
e.g.
- President Marcos was a brilliant lawyer
- President Aquino was educated in the USA
- President Ramos is an engineer and a military
man educated at West Point, is
- believed to have vast real estate and logging
holdings in the country, is a son of a former
ambassador and educator, and has served
Presidents Marcos and Aquino as defense officer
and chief.
- President Estrada is a wealthy San Juan mayor,
movie star and film producer. He attended
Ateneo de Manila University and Mapua
Elite Theory Cont.
Our Supreme Court justices are
likewise among the well-to-do. They
have also carefully crafted their
glorious careers in the legal
profession. They have been bar
topnotchers. Some belong to the best
legal minds around town.
Elite Theory Cont.
Our local executives, meanwhile, are
generally, also of the elite class, belonging
to any of the similar categories listed in the
Legislature. Many are traditional politicians.
e.g. Binay
Duterte
Hagedorn
Revilla
Many of them have tried running for higher
office
Elite Theory Cont.

Elite theory focuses our attention

on the role of leadership in policy
formation and on the reality that,
in any political system, a few
govern the many.
Group Theory
• A group is a collection of individuals that may,
on the basis of shared attitudes or interests,
make claims upon other groups in society.

• According to the group theory of politics, public

policy is the product of the group struggle.

• It becomes a political interest group "when it

makes a claim through or upon any of the
institutions of government."
Group Theory
• The Group Theory begins with the
proposition that interaction among groups
is the central fact of politics. Individuals
with common interests band together into
a group, formally or informally, to press
their demands upon government.
Individuals then become important only
when they act as part of, or in behalf of the
group’s interests.
Group Theory
• Group influence in policy making is
determined by their numbers, wealth,
organizational strength, leadership, access
to decision makers, and internal cohesion.
Group Theory Cont.
• A central concept in group theory
is that of access.

• To have influence and to be able

to help shape governmental
decisions, a group must have
access, or the opportunity to
express its viewpoints to
decision-makers
Group Theory Cont.
• Access may result from the group's being
organized, from its having status, good
leadership, or resources such as money
for campaign contributions.

• In the nature of things, some groups will

have more access than others.

• Public policy at any given time will reflect

the interests of those who are dominant.
Interest Group cont.
• Interest group - is a group of people who
share common goals and organize to
influence government (Remy)

• An organized body of individuals or groups

promoting, defending or articulating some
kind of interests or combination of
interests either with government or non-
governmental entities (Bersamin)
Interest Group Cont.cont.
• Why do people belong to interest group?
1. A group may help promote an individual's
economic self-interest.
e.g. Labor union, business groups
2. To pased into laws an individual's beliefs,
values, or attitudes
3. Non-political reason
e.g. social function
Methods of Interests Group Cont.

• Representatives of the interest group will

contact government officials directly

Lobbying - direct contact to officials of

government

It is the process of approaching senators

and representative in the outer room or
lobby of a capitol
Methods of Interests Group cont.

• Lobbyists -representatives of interest

group who do the lobbying.

– Political persuader

– Influence the people who control the

government

– They know which officials have the most

influence
Methods of Interests Group cont.

• Interest groups may use TV,

radio, magazines and
newspaper advertising to
create public support for their
policies

• Resort to court action

Group Theory Cont.
• Many public policies do reflect the
activities of groups.

• Examples include the AFL-CIO and

minimum-wage legislation, farm
groups and agricultural subsidies

• Group theory rests on the contention

that interaction and struggle among
groups are the central facts of political
life.
Rational Choice Theory
• Sometimes called social-choice, public-
choice, or formal theory

• Originated with economists and involves

applying the principles of micro-economic
theory to the analysis and explanation of
political behavior (or nonmarket decision-
making).
• The earliest use of rational-choice
theory to study the political process is
Anthony Downs's Economic Theory of
Democracy.

• In this influential book, Downs

assumes that voters and political
parties act as rational decision-
makers who seek to maximize
attainment of their preferences.
• Parties formulated whatever
policies would win them most
votes, and voters sought to
maximize the portion of their
preferences that could be realized
through government action.
Components of Rational-Choice
Theory.
• One of its basic axioms is that Political
actors, like economic actors, act rationally
in pursuing their own self-interest.

• Politicians are guided by their self-interest

rather than an altruistic commitment to
such goals as statesmanship or the
national interest. (James
Buchanan,economist)
• "This should be no surprise," says
Buchanan, "because governments are
made up of individuals, and individuals
operate from self-interest when they are
engaged in a system of exchange, whether
this is in the market economy or in politics."

• Individuals who are engaged in decision-

making exchanges or transactions, such
as voting, also have preferences that vary
from person to person.
• Being rational, individuals are able to
comprehend and rank their preferences
from most to least desired.

• In making decisions (whether economic or

political), they are guided by these
preferences and will seek to maximize the
benefits they gain. In short, people are
self-interested utility maximizers, not the
uninformed, confused, or irrational choice-
makers often depicted in analyses of
political behavior.
THANK YOU!