OCEAN GOVERNANCE, LAW, AND POLICY
Contributing Policy Analysis to Ocean Nexus: A Primer on Our Approach
AUTHORS OVERVIEW
Grant H Blume, PhD DeputyDirector,PolicyAnalysis, NipponFoundationOceanNexus
AssociateTeachingProfessor, EvansSchoolofPublicPolicyandGovernance, UniversityofWashington
By positioning policy analysis as a critical link that connects scholarly research to the political and administrative decision-making processes that create public policy, this manuscript provides an overview of the policy analysis process to the Ocean Nexus scholars, researchers, and analysts who work collaboratively on the pressing problems facing the world’s oceans
Acknowledgements
TheauthorgratefullyacknowledgessupportforthisworkfromtheNipponFoundation OceanNexusCenterattheUniversityofWashingtonEarthLab.Allopinionsexpressedin thismanuscriptarethosesolelyoftheauthor
Introduction
Policyresearchisanintegralpartofmostinterdisciplinarydomainsofscholarlyinquiry,yet policyanalysisisoftenmissingfromsuchliterature Ontheonehandthisomissionisnot surprisingsincepolicyanalysisisusuallycreatedforinternaldecision-makingprocesses. Ontheotherhand,animplicationofthismissingpolicyanalysisisthatresearchers, scholars,andpolicyanalystsmaylackasharedunderstandingofpolicyanalysis'spurpose andprocess Suchalackofsharedunderstanding,inturn,preventspolicyanalysisfrom informingdecisionsinthepublicdomain
Bypositioningpolicyanalysisasacriticallinkthatconnectsscholarlyresearchtothe politicalandadministrativedecision-makingprocessesthatcreatepublicpolicy,this manuscriptprovidesanoverviewofthepolicyanalysisprocesstotheOceanNexus scholars,researchers,andanalystswhoworkcollaborativelyonthepressingproblems facingtheworld’soceans CurrentcollaborationsbetweenthesescholarsandtheOcean Nexuspolicyanalysisteamaredesignedtogenerateactionableanalysisthatcanimpact oceangovernanceandthepeoplewhodependontheoceans Thiscollaborationwill translateandextendOceanNexusresearchfurtherintothedomainofpublicpolicy throughthepolicyanalysisframeworkoutlinedinthismanuscript.Moreover,ourintentional focusonequityasacoreprinciplemeansweaspiretointroduceequity-orientedanalysis andfindingsintothepolicydebatesandconversationsthatshape,andareshapedby, researchontheworld'soceans
Themanuscriptbeginswithabriefoverviewofkeytermsinpolicyanalysiswitha distinctionbetweenpolicyresearchandpolicyanalysis.Ithendescribethefourphasesof thepolicyanalysisprocessandexplainhoweachphaserepresentsaniterativeprocessin whichananalyst1 makesdesignchoicesanddrawsfromresearchtoimplementanalysis thatisevidence-basedandgroundedinempiricalfindings Afterdiscussingsomeofthe challengesthatarisewhenimplementingpolicyanalysis,Iconcludewitharesponseto someofthemostcommoncriticismleviedagainstpolicyanalysisasdescribedinthis manuscript
1 PolicyanalysisisnearlyalwaysateameffortandwillbeimplementedamongOceanNexus projectsinthatspirit,butforthesakeofparsimonyinthismanuscriptIwillrefertothe"analyst"in thesingularform
Whatispolicyanalysis?
Dunn 2008 definespolicyanalysisasanappliedsocialsciencedisciplinethatuses multipleresearchmethodstocreate,criticallyevaluate,andcommunicatepolicy-relevant knowledge Asidefromthistechnicaldefinition,policyanalysismayalsobesimplydefined asawayforpublicactorstomakeinformeddecisionsaboutsolvingproblems.Sucha parsimoniousdefinitionlikewiserevealstheinherentgoalofpolicyanalysis:toinfuse evidenceandanalysisintopublicdecision-making.2
Ourfocuson“problems”inpolicyanalysisistheoreticallygroundedinabeliefaboutliberal3 democracy Thatis,weassumethatgovernmentdoesnotsimplyimplementpolicyfor policy'ssakebutthatpublicpolicyisaninstrumenttosolveproblemsandimprovepeople's lives.Inaliberaldemocracy,governmentseekstominimizeintrusionintothelivesof citizens,useresourcesefficientlytosolveproblems,anddrawfromevidenceandbest practicestomaximizetheoddsthatpublicpolicyiseffective.Thesegoalsdrivethe rationalebehindusingpolicyanalysistoinformdecision-making Whiletheorybehindwhy somepolicyproblemsgaintheattentionofdecision-makerswhileotherpolicyproblems languishfordecadesisbeyondthescopeofthismanuscript,wecannonetheless acknowledgethatonceapolicymakerdecidestoaddressaproblembecauseoftheirown valuesandbeliefsorbecausepublicsentimentcompelssuchattention,thepolicyanalyst stepsintodeliverinformationtothepolicymakeronwhichinformedpolicydecisionscan bemade
Indescribingwhatpolicyanalysisis,ahelpfuldistinctioncanbemadebetweenpolicy researchandpolicyanalysis Policyresearchisquestion-orientedanddevelopedfora broadaudiencewhereaspolicyanalysisisproblem-oriented,client-based,andgenerally narrowinitsscope.Policyresearchdrawsfromprimarydataandaspirestobeinherently objectiveinitscontributiontoabodyofscientificknowledge,whereaspolicyanalysis drawsfromsecondarydataandresearchandisinherentlysubjectivebecausetheanalysis isbasedonadecision-maker'svalues Thesecharacteristicsareexploredfurther throughoutthismanuscriptbutthedistinctionbetweenpolicyresearchandpolicyanalysis
2 Inthefieldofpolicystudies,theterm“policyanalysis”usuallydescribesexanteinformation designedtoinformpublicdecision-makingwhereas“programevaluation”describesthemethods usedtoanswertheexpostcausalquestion:towhatextentdidapolicydeliveritsintendedeffects?
3 “Liberal”hereisusedtodescribeapoliticalphilosophyorideologygroundedinself-determination, personalresponsibility,andagovernmentorganizedtolimitinstitutionalpower,inthespiritofsuch philosophersasJohnLocke,Jean-JacquesRousseau,andJohnStuartMill
isnotedheretofacilitateanunderstandingofthedifferencesbetweenthetwoandthe waysinwhichpolicyresearchinformspolicyanalysis.
Apointalsoworthmakingexplicitisthatpolicyanalysisreflectsvalues Onedecisionmakermaybeinterestedintheequityimplicationsofpolicyoptionswhileanother decision-makermaycaredeeplyabouttheextenttowhichpolicyoptionspotentially infringeonindividualliberties 4 Thisexplicitacknowledgementofhowvaluesshapethe criteriaweuseinpolicyanalysisand,inturn,thepoliticalprocessesthroughwhichpublic policyisanalyzed,chosen,andimplemented,isaresultofpolicyanalysis'sclient-oriented focus.Thatis,ifpolicyanalysisaspirestodeliverusefulinformationtoadecision-maker, theanalystmustimplementthatdecision-maker'svaluesascriteriaintheanalysis
Theimportanceofassumptionsisafinalcharacteristicofpolicyanalysistomakeexplicit beforeexaminingthefourphasesthatcomprisethepolicyanalysisprocess Assumptions mustalwaysbemadeexplicitsoareader,orthedecision-makerforwhomthepolicy analysisiscreated,understandstheassumptionsonwhichtheanalysisisbased.Policy analysiscompriseschoicesandpredictionsaboutanuncertainfuture.Makingthe analysis’sassumptionsexplicitallowsareaderordecision-makertopotentiallydisagree withtheanalyst'sunderlyingassumptionbutregardtheirtechnicalanalysisaslogically soundandempiricallyvalid Withoutmakingassumptionsexplicit,theanalystpotentially opensthedoortoareaderquestioningtheoverarchinglegitimacyoftheanalysis Wewill returntotheimportanceofassumptionsinpolicyanalysisinsubsequentsectionsofthis manuscript.
TheFourPhasesofthePolicyAnalysisProcess
Policyanalysisisoftenpresentedasalinearsetofsteps(eg,Dunn,2008;Weimer& Vining,2017 butpolicyanalystswilloftendescribepolicyanalysisasafast-pacediterative processthatrequiresflexibility,adaptation,andcreativity Bardach&Patashnik,2019 For thisreason,thefollowingpolicyanalysis“process”–thatis,thestepsundertakento generateevidence-basedinformationandanalysisforpublicdecision-making–are presentedasfourbroad“phases”thatrepresentinherentlyiterativesub-processes These fourphasesarebestdefinedas:
4 Idonotofferthesetwoexamplestosuggestoneofthesevaluesisnaturallyopposedtotheother buttosimplyillustratehowdiversityofpoliticalthoughtmanifestsinpolicyanalysis
1 Determinescope
2. Setparameters
3. Analyze 4 Communicate
ForeachofthesephasesIdescribetheiterativeprocessinvolved,useanappliedexample todemonstratetheiterativeimplementationoftheprocess,anddescribethecritical placeswhereresearchfitsintothatphaseoftheprocess.ForanappliedexampleIwilluse thetopicofsalmoninthePacificNorthwest.Tonotbiasthepolicyanalysisphases reviewedinthissectionthetopicbeingintroducedhere(“salmon”)isleftintentionally vagueatthispoint;wewillperiodicallyreturntothisexampletodemonstratehowpolicy analysisstepsareapplied
Afinalnoteaboutthesemanticsofpolicyanalysis:acomprehensivepolicyanalysis processgenerallycontainseachofthefourphasesoutlinedherebutpolicyanalysisneed notcontainalltheseiterativephasestoconstitutea“policyanalysis”outcome.For instance,empiricalworkthatcarefullydefinesapolicyproblem,mapstheproblem’s symptomsandunderlyingcauses,andacknowledgesthejurisdictionalboundsofpolitical powerandpublicdecision-making(relativetotheproblemasitisdefined)canrepresenta productivefirststepintranslatingpolicyresearchtopolicyanalysis Likewise, systematicallyevaluatingasetofcontext-specificpolicyoptionsoralternativesmayserve asthenecessaryconceptualbridgetoconnectabroadpolicyproblemtoaspecific geopoliticaljurisdictioninwhichtheproblemoccurs.Theessenceofpolicyanalysis ultimatelycomesdowntointent:Istheintenttogenerateempiricalanalysisthatsupports publicactorsinmakinginformeddecisionsaboutsolvingproblems?Ifso,suchanalysis fallswithinthebroaddomainofpolicyanalysis
DetermineScope
Figure1 DetermineScope
Webeginthepolicyanalysisprocessbydeterminingtheproject’sanalyticalscope Ifwe assumethatthepurposeofpolicyanalysisistogenerateinformationforpublic decision-makingwemustanswertwointerrelatedquestionsupfront: 1 Whoisthe decision-maker? 2 Whatistheircapacitytorealisticallychooseandimplementthepolicy optionsweareevaluatinginouranalysis?Wethinkcarefullyaboutthisbecausewewantto analyzeasetofpolicyoptionsonwhichourclient(eitherrealorhypothetical)can realisticallyact 5
Theconcurrenttaskinthisfirstphaseofdeterminingscope–definetheproblem–isoften themostchallengingstepinpolicyanalysis.Whenwedefineaprobleminpolicyanalysis, weaspiretodefinetheproblemassimplyaspossibleoratleastdisentangleasmany problemsaspossibleintoasetofclearlydefinedproblems Aswewilldiscussthroughout thissection,aclearlydefinedparsimoniousdefinitionofapolicyproblemisoneofthe mostimportantcomponentsineffective,tractablepolicyanalysis
Definingapolicyproblemrequiresaniterativeprocessbywhichwedistilltheproblem's definitionintoitssimplestterms.Theproblem'sdefinitionwillbeinherentlynormative becauseweassumeproblemsareinjuriousandshouldbesolved.Oftentimeswecanbegin todefineaproblemas“Toofew ”or“Toomany ”torevealthebaselineconundrumon whichourpolicyanalysiswillfocus Thatis,“toofew”ofsomethingsuggestsaneedfor morewhereas"toomany"suggeststhatgovernmenthasaroleinreducingthisunitofthe problem
5 Ifweareapolicyanalystwhoworksforapublicdecision-makerthenthisfirststepismoot becausethedecision-makerisourboss;inthecaseofOceanNexus,wecanbecreativewiththe clientwechoosebasedontheproblemweareanalyzingandanyaccesswemayhavetoactual policymakerswhocanmakedecisionstoaffecttheproblemathand
Therationalebehindstrivingforasimpledefinitionoftheproblemistwofold.First,working todefineapolicyprobleminitssimplesttermsleadstoapolicyproblemthatiseasily understoodbybothadecision-makerandtheproblem'srelevantstakeholders,whichin turnoptimizestheproblem'stractabilityinthepoliticalsphere Bardach&Patashnik,2019; Peters,2005 Second,aclearlydefinedproblemfacilitatesthenextstepinthepolicy analysisprocess–settingparameters–by 1 revealingthemechanismthroughwhich policyoptionsmayaddresstheproblem'scausesand 2 definingcriteriainawaythat makessuchcriteriarelevantandmeasurable(moreinthisinthenextsection).Put succinctly,acleardefinitionoftheproblemrevealswhatwewillcounttogaugethe effectivenessofthepolicyoptionsconsideredintheanalysis
Definingapolicyproblemisanexerciseinwhichaproblem'ssymptomsandcausesare “mappedout”bytheanalyst Mappingsymptomsandcausesisaconceptualtoolthrough whichananalystdisentanglesmultipleproblemsthatco-existinapolicyspace.Apolicy problem'ssymptomsaregenerallytheobservable“units”oftheproblemthatwesee aroundus(the“toofew”or“toomany”ofsomething),andoftenwhatappearinmedia reportsasattentionaroundaproblembuilds Causes,ontheotherhand,arethesourceof theproblembutarelikelyhardertoobserveandpotentiallycontestedamongexperts, stakeholders,anddecision-makers Ideallytheanalystidentifiesaproblem'ssymptoms andcausesclearlybecauseapolicyoptionthattargetsaproblem'ssymptomswill potentiallyhaveverydifferentresults,especiallyinthelong-term,comparedtoapolicy optionthattargetsaproblem'sunderlyingcauses.Andwhereasweaspiretobeassimple andparsimoniousaspossibleindefiningapolicyproblem,suchguidelinescanberelaxed whendefiningtheunderlyingcause(s)ofaproblem Thecriticalpurposeincatalogingthe causesofaproblemistoidentifythosethatfallwithinthejurisdictionofwhattheanalyst's clientordecision-makercanrealisticallytargetwithpublicpolicyinterventions.
Wecanturntoourappliedsalmonproblemtodemonstratehowtheseideasare implementedinpractice Inthepastthreedecades,wildsalmonhavedeclined precipitouslyinthePacificNorthwest Levin&Schiewe,2001;Milleretal,2014; Spromberg&Scholz,2011;Waltersetal,2019 Declinesinsalmonhavecapturedthe attentionofabroadgroupofstakeholdersanddecision-makersatmultiplelevelsof government(i.e.,regional,state,federal,andinternational).Althoughtheinterrelated problemsarenumerous,wecandefinetwopolicyproblemsrelatedtowildsalmonforthe purposeofourexample:
PolicyProblem1A Toofewwildsalmonreachtheirspawningground PolicyProblem1B ToofewmembersoftheUmatillatribecanaccesswildsalmon.
Giventhebroadscopeoftheseproblems,wecanfurtherrefinetheseproblemsina mannerthatboundstheirgeographicscopeanddirectsustowardpotential decision-makerswhohaveaninterestintheproblemandthecapacitytoact:
PolicyProblem2A ToofewwildsalmonreachtheirspawninggroundinOregon. PolicyProblem1B ToofewmembersoftheUmatillatribecanaccesswildsalmonin Oregon.
Policyproblems2Aand2BnowsuggestthatthegovernorofOregoncouldbeapotential decision-makerwiththejurisdictiontoaddresstheproblem Federaldecision-makers(eg, aUS senatororrepresentative)couldalsoconsiderpoliciestoaddressthisproblem
Policyproblems2Aand2Barerelatedbutdistinctfromeachother,inlargepartbasedon theproblem'sfocus.Inpolicyproblem2A,the“unit”ofwhichthereare“toofew”issalmon; inpolicyproblem2B,thefocusistheUmatillatribe'saccesstosalmon,ormoresimply, membersoftheUmatillatribe Bothproblemsareimportant,worthyofapolicymaker's attention,andmaysharesimilarunderlyingcauses(eg,streamdegradation,dams, overfishing)andsymptoms(fewerfish) Yetthenuanceddifferencebetweenthese problemswillcompoundthroughoutthepolicyanalysisprocesstoultimatelyyieldtwo distinctbodiesofinformationtoinformpotentialdecision-makingprocesses.
Theproblemsarealsodistinctfromeachotherbasedontheirorientation Problem1Aisa biological/ecologicalprobleminwhichthefocusissalmonpopulationsandtheirabilityto reproduce;problem1Bisaproblemfocusedonagroupofpeople,whointhiscasehave beenhistoricallyoppressedandexploitedbytheU.S.government Lewis,1995;Wilson, 1998 .Thisfocusonaparticulargroupofpeoplewhohavehistoricallyhadunequalaccess topublicgoodsandresources(oftenastheresultofintentionalbarrierscreatedby government)meansthatpolicyproblem2Bembedsanequityorientationinthedefinition ofthepolicyproblemcomparedtohowpolicyproblem2Adefinestheproblem This equity-orienteddefinitionoftheproblemisanimportantconsiderationforOceanNexus scholarswhomayaspiretobuildpolicyanalysiswithequityasitscenterpiece
Theappliedexamplerelatedtosalmonhelpstoillustratetwomorenuancesofpolicy problemsworthnoting.First,tractablepolicyproblemsforpolicyanalysisoftenavoid
embeddingthesolutiontothepolicyprobleminthedefinitionoftheproblem Forinstance, problemsrelatedtosalmoninthePacificNorthwestcouldbedefinedas“Toomanywild salmonaregettingeatenbysealions”or“Toofewwildsalmonareabletopassthrough dams”Theseproblemdefinitionsarepotentiallytoonarrowforpolicyanalysisbecause theyreveal,oratleastarehighlysuggestiveof,oneparticularpolicysolution(eg, eliminatethesealionseatingsalmonandbuildfishladdersorremovedams,respectively) Second,thedefinitionoftheproblemshouldalsofocusontheproblemandnotthefact that“toofewpolicies”or“toomuchregulation”leadtotheproblem.Onecouldeasilyargue that“toofewpoliciesexisttoprotectsalmoninOregon.”Suchaproblemdefinition intuitivelyleadstotheconclusionthatthepolicyanswertotheproblemis“morepolicies” butdoesnotrevealthekindofnuancedanalysisthatpolicyanalysisisintendedtodeliver toadecision-maker
Inthecaseofpolicyproblemswithembeddedsolutionsorthosethatimplyalackofpolicy istheproblem,onewaytotesttheparsimonyandtractabilityofapolicyproblemisto simplyask“Sowhat?”Ifasking“Sowhat?”revealsanotherlayertotheproblem,thenthat subsequentlayeroftheproblemmaydeservetheattentionoftheanalyst.Ifweask“So what?”totheproblemthattoofewwildsalmonareabletopassthroughhydroelectric dams,thenwemaylogicallycometothepolicyproblemsdefinedas2Aand2B Asking“so what”isalsoaneasyheuristictoemployiftheproblem'sdefinitioninitiallyappearstobe “toofewpolicies ”or“toolittleregulation ”becauseasking“Sowhat?”orputanother way,“Whydowecarethattherearetoofewpoliciesto...?”helpsrevealtheessenceofthe problem.Itisthisessenceoftheproblemaroundwhichweaspiretobuildourpolicy analysis
Researchandempiricalevidenceplayacriticalroleinmultipleaspectsofdefiningapolicy problem,mappingaproblem'scausesandsymptoms,andidentifyingaviable decision-makerfortheproblem.Mostimportantly,extantresearchiscriticaltobuilding evidencetodemonstratetheproblemisindeedaproblemthatwarrantstheattentionof decision-makers.Policyanalystsmustdrawfromresearchtodemonstratethemagnitude oftheproblemandvalidatetheseverityoftheproblem'ssymptoms(ie,thedatathat representobservableaspectsoftheproblem) Researchalsodemonstrateslinkages betweenaproblemanditscauses,therebysupportinghowananalystmapsapolicy problemtothecauseswhichpolicyoptionswilltarget Finally,extantresearchcaninform theprocessthroughwhichanalystsidentifydecision-makersthathavetheauthorityor jurisdictiontoaddressapolicyproblem.Returningtooursalmonexample,therearevast bodiesofliteraturethatexplorethedeclineofwildsalmonovertime,theecological,
industrial,andcommercialcausesattributedtosuchdeclines,andthegeopolitical dimensionsofsalmon.Dependingonhowtheproblemisdefined,someorallofthese domainsofresearchwouldprovideessentialinformationtoinformandbolstertheanalyst's effortstoappropriatelydeterminethisproject'sscope
Oneofthegreatestchallengesindefiningaproblemismakingthechoicetoanalyzeone problemattheexpenseofnotanalyzingothers Thiscanbeparticularlyagonizingwhenan interconnectedwebofpolicyproblemsrequiresurgentattention;bychoosingoneproblem theanalystmayfeelliketheotherproblemsarebeingignored.Dunn 2008 canhelpus makesenseofwhyweneedtodisentanglepolicyproblemstoidentifythewell-defined problemsthataretractablewithinapolicyanalysisframework Dunnconceptualizesthe distinctionbetweenwell-structuredandill-structuredproblemsanddescribesthese problemsacrossfivecharacteristics Table1
Table1 CharacteristicsofWell-StructuredandIll-StructuredProblems
Well-Structured Ill-Structured
Decision-Makers
OneorFew Many
PolicyOptions Limited Unlimited
Values Consensus Conflict
Outcomes Degreesof Certainty Unknown
Probabilities Calculable Incalculable
Note AdaptedfromDunn 2008
WhatappearsinTable1willbecomeincreasinglyintuitiveaswecontinuetoexplorethe fourphasesofthepolicyanalysisprocessinthismanuscript;thewell-definedproblems arethosewithacleardecision-maker,afeasiblesetofpolicyoptions,ageneralconsensus onthevalues(i.e.,criteria)aroundwhichtheanalysisshouldbeimplemented,anabilityto projectoutcomeswithinarangeofcertainty,andanability(tovaryingextents)topredict theprobabilitiesofsuchoutcomes.ThepointworthnotingfromTable1isthatwhile society'sattentionandconcernisoftendrawntoill-structuredproblems(eg,climate change,poverty,institutionalracism)theseproblemsspannumerousjurisdictionsand levelsofgovernment,nottomentionalimitlessnumberofpossiblepolicysolutions The designanddeliveryoftargetedpublicpolicy,ontheotherhand,dependsonidentifying andanalyzingwell-structuredproblems.Inshort,facedwiththechallengeofdefiningand analyzingasinglepolicyproblem,theanalystshouldfeelconfidentknowingthatanalyzing
oneproblemwilllikelyprovideinformationofgreatervaluetoadecision-makerthanthe deliveryofscattershotanalysisthattriestoencapsulateawebofrelatedproblems.
SetParameters
Figure2 Setparameters
Policyoptionsaretheinterventions,initiatives,laws,programs,andregulationsthata decision-makermayconsidertoaddresstheproblemtheyface Thetermisintentionally vagueheretocaptureabroadrangeofoptions Eachpolicyproblemwilllenditselftoaset ofpolicyoptionsappropriatetothepolicyproblemathandbutthechoiceofwhichpolicy optionsareincludedintheanalysisisultimatelyuptotheanalystworkingonbehalfofthe decision-maker.
Thereisnosetformulaforhowtoidentifyviablepolicyoptionsforanalysisbutafew practicesarecommonamonganalysts First,analystswilloftenlookfor“promising practices”fromotherjurisdictionswhereanalogouscasessuggestapolicyoptionthatwas effectiveinthatcontextmightbeeffectiveinthecontextbeinganalyzed.Promising practicesmayhavebeenimplementedorsimplyproposedbyotherdecision-makers,but ineithercircumstancesuchinsightmaybetransferabletothepolicyproblembeing analyzedbytheanalystinsearchofviablepolicyoptions
Analystsmaytrytobalanceamixofdirectandindirectpolicyoptionstocreateasetof diverseapproachesadecision-makermayusetoaddressapolicyproblem Salamon, 2001 .Directoptionsareconsideredthosedirectlyimplementedandenforcedbypublic actors,government,orgovernancenetworks.Suchdirectoptionsincludethedirect provisionofgoodsandservices,regulationsenforcedbygovernment,and government-sponsoredinformationcampaignsdesignedtochangethebehaviorof individualsorfirms Indirectpolicyoptions,ontheotherhand,leveragemarketstoaddress policyproblems Indirectpolicyoptionsarenumerousandincludesuchcommon interventionsasmarket-basedfeesandpermits,contractingwithprivateornonprofitfirms toprovideagoodorservice,andtheuseofvoucherstofacilitateindividuals’consumption ofamarket-basedproductorservice.
Thethirdpracticeanalystswilloftenemploytodefineasetofpolicyoptionsistoembrace specificityindefiningeachpolicyoption.Giventhatthegoalofpolicyanalysisistodeliver detailed,tractableinformationtoadecision-makertoaddressapolicyproblem,the tractabilityofananalysiswillalwayscorrelatewiththespecificityoftheoptionsbeing analyzed Inotherwords,ananalystanalyzing“taxrebates”asatheoreticalintervention producesavagueanalysiscomparedtoananalystwhoanalyzesa$1,000taxrebate basedonthreeeligibilityfactorswithaforecasted75%utilizationrate;theformercouldbe consideredatypeofpolicyresearchwhereasthelatterfallssquarelywithinthedomainof policyanalysis.
Finally,theanalystwillalwayspresentthedecision-makerwithapolicyoptionthat representsthatstatusquo Capturingthestatusquoasadistinct“policyoption”is importantfortworeasons First,thestatusquoshouldcaptureallthepolicyinitiatives(if any)targetingthepolicyproblemthatareunderwayorforthcomingwithinthe decision-maker’sjurisdiction.Thisassessmentofcurrentandnear-termpolicyleadstothe secondimportantreasonforincludingthestatusquo;ananalystshouldprovidethis informationtothedecision-makersoastorevealtheimplicationsofachoicetodo nothing Thatis,whatwillhappenifnoneoftheanalyzedpolicyoptionsarechosenbythe decision-maker?Insomecaseswhererobustpolicyinitiativesarealreadyunderway,the problemmayimprovesubstantiallywithoutfurtherintervention;inothercases,aproblem mayberapidlyworseningandthechoiceofnoactionspellsdisaster.Ineithercase,the utilityofunderstandingthestatusquoisanimportantfactorintheanalysis.
Turningtothesecondcomponentofthephaseinwhichparametersareestablished, criteriainpolicyanalysisrepresentthemeasuresagainstwhichpolicyoptionswillbe systematicallyevaluated Likewithpolicyoptions,thecriteriaincludedintheanalysis representchoicesthatananalystmustmakewiththeirdecision-makerclientinmind.The fluidityandcontextualnatureofpolicyanalysismeansthereisnosinglestandardsetof criteriarequiredforanalysis,butthefollowingcriteriagenerallyappearinsomeformacross mostpolicyanalyses Thesecriteriaarebrieflydescribedherewiththecaveatthatapolicy analystwillalwaysneedtocarefullydefineeachcriterionintheanalysiswithanexplicit descriptionforhoweachcriterionismeasuredconsistentlyacrosspolicyoptionsgiventhe contextofthepolicyproblem
Effectiveness
Thenatureofpolicyproblemsmeansofutmostimportanceisthequestion: towhatextentwillthispolicyoptionaddresstheproblemathand?Yetembeddedin thiscriterionistheoften-perplexingquestion:Whatwillwecounttodetermineifthe problemisgettingbetter?Inotherwords,howdowemeasureimprovement?The choiceofwhattocountislikewiseachoiceofwhatisnotcounted Stone,2010 , whichmeansananalystmustchooseameasureofeffectivenesscarefullyandwith aclearrationale.
Equity
Conventionalpolicyanalysistendstoconceptualizeequityindistributionalterms buttheimplementationofequityasacriterioncan(andshould)extendacross multipledimensions Inadistributionalsenseequityattemptstomeasuretheextent towhichapolicyoptionallocatesapolicy'sbenefitsorburdensintentionally,andin doingsomayacknowledgehistoricalorcontemporaryoppression,marginalization, orexploitationofagrouporclassofpeople.Equitycanalsobeanalyzedwitha focusondecision-makingprocesses,knownasproceduralequity;thetimehorizon forwhenapolicy’scostsandbenefitsarerealized,oftendescribedas intergenerationalequity;andtheextenttowhichapolicypotentiallyachieves representationforotherwisemarginalizedgroupsaffectedbytheproblem,which couldbedescribedasrecognitionalequity Place-specificsocialnorms,institutions thatmediatehowpolicyoptionsplayoutinpractice,andthespatial-temporalscale ofthepolicyproblemallconvergetomakeequitycontextdependent Pascualetal., 2014 Acknowledgingthecontextinwhichequityisanalyzedalsorevealstheinitial conditions(ie,potentialinequity)thatispresentatthepolicy’sstartingpoint McDermottetal,2013
Cost
Thescarcityofpublicresourcesmeansapublicdecision-makerwillalwaysneedto gaugethecostofapolicyoptionagainstboththepolicyoption'seffectiveness,the relativecostoftheotheroptionsbeinganalyzed,andtheextantpublicresources availableorearmarkedtoaddresstheproblem Forthesemultiplereasonsacost criterionmustbecarefullydefinedandappliedconsistentlyagainsteachpolicy option
Manageability
Sincepolicyoptionsareneverimplementedinavacuumapolicyanalystmust decidehowtosystematicallymeasureoneormoreaspectsofmanageabilityacross options Forinstance,“implementationfeasibility”asacriterionmayseektogauge theadministrativecomplexityinvolvedwithimplementingeachpolicy Adimension ofmanageabilitycouldalsocapturetheextenttowhichapolicyoptionutilizes existingadministrativeinfrastructureorrequiresanewadministrativeor bureaucraticsystemforitsmanagement Salamon,2001,labelsthisapolicy option'slevelof“automaticity”).Aswithothercriteria,manageabilitywillbe specifiedasacriterionbasedonadecision-maker'spriorities
Inpracticeacriterioncanbedefinedandimplementedinmultipleways Forinstance, equitymaybeimplementedasacriterionacrossmultiplegroupsofpeopleanddimensions (e.g.,intergenerationalequity,proceduralequity).Costsmaybemeasuredseparatelyas twocriteriatogaugeapolicy’sstartupcostsdistinctfromitsannualcosts,potentially revealingimportantdifferencesthatwouldotherwisebeobscuredbyabroadcost criterion Likewise,ifasetofpolicyoptionshavevaryingdegreesofimplementation timelinesthataffectthetimeframetogenerateobservableresults,effectivenessmaybe measuredinamannerthatcapturesshort-termeffectiveness(apolicyoption’sobservable resultsafter12months)andlong-termeffectiveness(apolicyoption’sobservableresults after10years).Thechoicesforhowcriteriaaredefinedareultimatelyadecisionmadeby theanalyst,basedontheanalyst’sgoaltodeliverthemostusefulinformationpossibleto theirdecision-makerclient
Choosinganddefiningcriteriainvolvesthedifficulttypeofchoice-makingsimilartothe taskofdefiningapolicyproblem;likewithchoosingonepolicyproblemattheexpenseof notchoosingothers,theanalystmustdecideonasetofcriteriawhichinevitablymeansa decisiononwhichcriteriatonotinclude.Inchoosingcriteriaananalystusestheir judgementtoincludewhattypeofinformationtheclientmostlikelywantstoseebutalso mustalsoconsiderwhatinformationthedecision-makerneedstosee Inotherwords, importanttrade-offsamongpolicyoptionscanonlyemergeiftheanalysthaschosen diverse,informativecriteriathroughwhichtoanalyzethepolicyoptions
Theaddedchallengewithcriteriaisthattheanalystnotonlyselectsthecriteriabutmust clearlydefinehoweachcriterionwillbesystematicallymeasuredacrosseachpolicy option.Choicesabouthowtodefineeffectivenessandequity,forinstance,havea
consequentialimpactonhowthechosenpolicyoptionsandtheirtrade-offsare considered.Likewise,theanalysthasaresponsibilitytoimplementacostcriterionina mannerthatgeneratesthemostinformativecostestimatesrelativetotheinformationthe decision-makerneedstobeststewardscarcepublicresources Withoutcarefulattention tohowcriteriaareappliedacrosseachpolicyoption,theanalystriskscreatingapolicy analysisproductwiththeappearanceofcriteriathatarechosentosimplyendorseone preordainedpolicyoptionoverothers
Returningtoourhypotheticalsalmonexample,wecanuseourtwodifferentproblemsto demonstratethenuancedwaythatcriteriamayvarybasedonhowwedefineaproblem.If wedefinetheproblemas“ToofewwildsalmonreachtheirspawninggroundinOregon” thenwewouldcountthenumberofwildsalmonthatreachtheirspawninggroundsasour centralmeasureofapolicy'seffectiveness Alternatively,ifwedefinetheproblemas“Too fewmembersoftheUmatillatribecanaccesswildsalmon”thenwewouldjudge effectivenessbygeneratingestimatesfortheincreasednumberoftribalmemberswho canaccesssalmonbasedoneachpolicyoption.
Thisexamplerevealsaninterestingpatternthatcanoccurinpolicyanalysis Consider againthepolicyproblemthat“ToofewwildsalmonreachtheirspawninggroundinOregon” andassumethedecision-makercaresaboutthefactthatasymptomofthisproblemis thattoofewmembersoftheUmatillatribehaveaccesstowildsalmon Knowingthisabout theirclient,theanalystmaychoosetodefineequityhereastheextenttowhichapolicy option'sbenefitsareaccessibletotheUmatillapeople,whichmaybemoreformally operationalizedasanequitycriterionthatmeasurestheincreasednumberoftribal membersthatwouldbeabletoaccesswildsalmonbasedonapolicyoption Notethis definitionofequityasacriterionforpolicyproblem1Amirrorsthedefinitionof effectivenessforpolicyproblem1B Thisdemonstrateshowequity,inparticular,canbe conceptualizedinmultiplewayswithinthepolicyanalysisframeworkpresentedhere.
Identifyingpolicyoptionsandcriteriaoftenconstituteaniterativeprocessbecausethe analystisattemptingtodefineeachcriterioninamannerthatissystematicallyapplicable acrosseachpolicyoption Inotherwords,ifadefinitionofeffectivenessisonlyfeasibly appliedacrossthreeoffourpolicyoptionsinananalysis,theanalystisfacedwiththe choiceofredefiningeffectivenessinamannerthatappliestoallfouroptions,ormodifying thenonconformingpolicyoptioninawaythatismoreamenabletotheeffectiveness criterion'sspecifications.Thegoalwithsuchiterationistodevelopanalysisthatallowsfor thegreatestamountofcomparabilitybetweenoptionsaspossible.Thistypeoflateralor
directcomparisonfacilitatestheanalysisoftrade-offs,whichisacentraltaskofthenext phaseofthepolicyanalysisprocess.
Aswiththeearlierstepofdefiningapolicyproblemandidentifyinganappropriate decision-maker,researchandempiricalevidencefactorcentrallyinsettingtheparameters ofpolicyanalysis Researchthatexplorestheeffectivenessofpolicyinitiativesand interventions,forexample,servesasacriticalsourceforidentifyingpolicyoption candidatesforanalysis.Likewise,empiricalcasestudiescanbearichsourceofevidence catalogingwhathasworked,ornotworked,inspecificcontextsrelevanttoapolicy problemathand.
Researchsimilarlyinformsthewayinwhichcriteriaarechosenandanalyzed Insome cases,ananalystmayturntoabodyofliteraturetoadoptaconventionalmeasureof effectivenessthatiswidelyusedinscholarshiponthepolicyproblem Researchon inequitiesordisparitiescanalsohelpananalystconstructanequitycriterionthatis groundedinempiricalevidence.Cost-benefitandcost-effectivenessresearchprovidean intuitivefoundationtoconstructcost-relatedcriteria.
Analyze
Figure3 Analyze
Theprecedingtwophases–determiningscopeandsettingparameters–demonstratethat asubstantialamountofcriticalthoughtandeffortoccurpriortoimplementingasystematic evaluationofpolicyoptionsagainstaslateofwell-definedcriteria.The“analyze”phaseof thepolicyanalysisprocesscomprisestwoimportanttaskswherebytheanalystis implementingtheactualanalysisandcontinuouslyassessingthekeytrade-offstoemerge fromtheanalysis
Implementingtheanalysismarksthebeginningofanewphasedefinedbyasubstantial amountofempiricalinvestigation Becauseeachpolicywillbeevaluatedagainsteach criteriontheanalystisfacedwithasetofdatapointsequaltothenumberofpolicy options,m,multipliedbythenumberofcriteria,n.Inotherwords,theanalystmust
generatemxndatapointsbasedonthebestandmostreliableresearchandevidence available.
Alongstandingpracticeinpolicyanalysisistoassemblethemxndatapointsinapolicy analysismatrix Figure4 Thepolicyanalysismatrixservesasapowerfultoolforthe analysttoinventoryandorganizetheirempiricalanalysisasitunfolds Thematrixmaynot appearinafinalreportorpresentationbuttheorganizationofdatapointsinthematrix formatrepresentsanimportantundertakingalongthepolicyanalysisprocess.
Figure4 Prototypicalpolicyanalysismatrix
PolicyOption#1
PolicyOption#2
PolicyOption#3
StatusQuo
Themxncellsinthematrix,whichbecometheempiricalfoundationoftheanalysis, representtheanalyst’sbestestimatesandpredictionsforeachpolicyoptionrelativeto eachcriterion.Forinstance,considertheanalyst'sassessmentofPolicyOption#1’s effectiveness;holdingallelseequal,inahypotheticalworldinwhichPolicyOption#1is implemented,theanalystpredictstheestimatedchangeinthe“units”ofthepolicy problemattributedtothispolicyoption Similarlyforacostcriterion,theanalystcalculates andrecordsintheappropriatecelltheestimatedcostofPolicyOption#1(basedonhow thecostcriterionisdefined) Wheneverpossibleananalystattemptstoprovidequantified estimatesforthesepredictionstomaximizetheutilityoftheinformationdeliveredtothe decision-maker.Suchcriteriaaseffectiveness,cost,equity,andtimelinesarequantifiedas preciselyaspossible.Whenpointestimatesarenotfeasibleananalystmaygenerate predictedoutcomesusingacategorialscale(eg,low,medium,high)oranumericscaleif suchintervalsintuitivelyalignwiththecriterion(eg,aquantifiedassessmentof implementationfeasibilitythatcorrespondstoascalerangingfrom1to5whicheach interval'svalueclearlydefined).
Thewords“predict”and“estimate”arecriticaltonoteindescribingcriteriabecausepolicy analysisisalwaysconductedwithafocusonthefuture.Thatis,theanalystmustpredicta hypotheticaloutcomeforeachpolicyoptionagainsteachcarefullydefinedcriterion.These estimatesandpredictions,however,willneverbemadewithcompletecertaintybecause publicpolicyisalwaysdeliberated,chosen,andimplementedinanuncertain, ever-changingpoliticalworld Manksi,2013 Yeteveninsuchanunpredictablepolitical world,policyanalystscanaccountforthisuncertaintyintwoways First,uncertaintycan bereflectedinapolicyoption'sestimatesandpredictionsbyusingarangeinsteadofa pointestimate.Aswithwiderconfidenceintervalsreflectingagreaterrangeoflikelyvalues forastatisticalestimate,apredictedpolicyoutcomereportedasarangeinpolicyanalysis canreflectthedegreetowhichtheanalystisuncertaininmakingsuchanestimate A stand-aloneuncertaintycriterionisthesecondwayinwhichananalystmayaccountfor theinherentuncertaintyinananalysis Inthismanneracriterionseekstoassessapolicy option'soveralluncertainty Suchacriterioncanprovidevaluableinformationifsome policyoptionsarenovelanduntestedandhencehavelittleresearchbolsteringthe estimatesandpredictionsgeneratedbytheanalyst.
Assessingtrade-offsisthesecondtaskundertakeninthe“Analyze”phaseofpolicy analysis Theessenceofanalyzingtrade-offsissummedupintheobservationthatinthe contentofpolicyanalysisandassessingtrade-offs,“Ifyouareononesideofanissue,you areonthewrongside” Winter,2013,p xiv) Winter's 2013 quipcapturestheessenceof tradeoffs–andpolicyanalysismoregenerally–inthatpolicyanalysiswillneverreveala “good”or“bad”policyorpointthedecision-makertothe“right”choice.Rather,policy analysisrevealsthekeytradeoffsthatoftentimesrepresenttheinherentcomplexityof solvingapolicyproblem
Conventionaltradeoffsinpolicyanalysisincludeassumptionsthateffectivenessandcost arepositivelycorrelated(i.e.,amoreeffectivepolicywillcarryahighercost;Wheelen, 2011 andanegativecorrelationbetweenefficiencyandequity(i.e.,achievinggreater equitycorrespondstodecreasedefficiency;Okun,1975 .Inreality,theseconventions abouteffectiveness-and-costandequity-and-efficiencytradeoffsaredogmaticandnot groundedinempiricalevidence LeGrand,1990;Stone,2011 Undertakingpolicyanalysis torevealkeytrade-offsispreciselywhyananalystmustempiricallydeterminetheextent towhich,ifatall,atradeoffbetweeneffectivenessandcostemergesintheanalysis PerhapswiththisinmindWildavsky 1980 ,anearlypioneerofpolicyanalysis,observed thatpolicyanalysts“arestronglycommittedtothoughtexperiments”ofallkinds(p.16 .
Researchandempiricalevidenceplayacentralroleinsystematicallyevaluatingpolicy optionsagainstclearlydefinedcriteria.Everycellinanmxnpolicyanalysismatrixwill likelyhaveatleastonecitationorreferencetosupporttheestimateorprediction generatedbytheanalyst Theanalyst'staskinthisphaseistoproduceaparsimonious prediction–apolicyoption'sestimatedeffectivenessorlevelofequity,forinstance–knowingthateachfigureinamatrixcellmayrepresentmanyhoursofconsumingresearch, talkingwithexperts,andultimatelysettlingonaconclusionthatisempiricallysound
Returningtoourappliedwildsalmonexample,imagineananalystisimplementinganalysis fortheproblem“ToofewwildsalmonreachtheirspawninggroundinOregon”withcriteria including:
● Short-termeffectiveness,definedasthestatewideincreaseinwildsalmonfive yearsafterthepolicy'sfullimplementation
● Long-termeffectiveness,definedasthestatewideincreaseinwildsalmon25years afterthepolicy'sfullimplementation.
● Distributionalequity,definedasthenumberofadditionalmembersoftheUmatilla tribethatwouldhaveaccesstowildsalmon
● Intergenerationalequity,assessedonanordinalscaletomeasureapolicy'sbenefits andburdensrelativetopresentandfuturegenerations
● Cost,measuredasthetotalcostindollarsofthepolicytoOregonstategovernment overtenyears.
● Implementationfeasibility,assessedonanordinalscaletomeasurerelative complexityofthepolicyoption'simplementation
Thedecision-makerisOregon’sgovernor,andtheoptions6 theanalysthaschosento includeintheanalysisare:
● Aprogramtoimplementhabitatrestoration
● Abanonrecreationalandcommercialsalmonfishing
● Anendtohatchery-stockedsalmon
● Thestatusquo
6 Forsimplicity’ssakethesepolicyoptionsareborrowedfromHallandWhite 2008 andLackey 2017 Notethatdamremoval,awidelystudiedpolicyoptiontoaddressdecliningsalmon populations Harnishetal.,2014;Stanley&Doyle,2003 ,isnotincludedheresinceagovernorin theUnitedStateswouldbeunabletoimplementsuchapolicyoption;damremovalisapolicy optionforafederalclientsincesuchapolicyoptionwouldrequireextensivereview,approval,and implementationbythefederalgovernment
Armedwiththeseparameterstheanalystbeginstoestimatetheeffectivenessofeach option.Theanalystwoulddrawfromresearch,interviewswithexperts,andothersources tomakethesepredictionsfortheshort-termandlong-termeffectivenessofeachpolicy option Upongeneratingeffectivenessestimatesforeachoption,theanalystwouldturnto generatingestimatesfortheremainingcriteria
Inthecaseofdistributionalequity,theanalystwouldassesstheextenttowhicheach policyoptionintentionallyredistributedorallocatedapolicy'sbenefitstotheUmatillatribe. Theeliminationofhatchery-stockedsalmon,forinstance,hasbeentheorizedasa potentialmeanstofreeuphabitatandfoodsupplyforwildsalmon Lackey,2017 but hatcherysalmonarealsoacriticalsourceofsustenanceforIndigenouspeople Northwest IndianFisheriesCommission,2016 Hencetheanalystwouldneedtothinkcarefullyabout theequityimplicationsofapolicyoptiontoendhatchery-stockedsalmonsincethe interventioncouldgenerateamodestincreaseinwildsalmon(capturedinthe effectivenesscriterion)butleadtoanoverallnegativeimpactfortheUmatillapeopleifthe communitylosesasourceofsustenanceintheshortterm.Theanalystwouldcontinue theiranalysisbycarryingoutthistypeofthoroughevaluationofeachpolicyagainsteach criterion
Communicate Figure5 Communicate
Thefinalphaseofthepolicyanalysisprocessentailsaniterativeprocessofwritingthe resultsoftheanalysis,presentingresultstothedecision-makerclientandkey stakeholders,andlisteningopenlytootherstounderstandhowtheanalysiscanbe bolstered,adapted,orextendedinamannerthatultimatelymeetstheneedsofthe decision-maker Indraftingareport,theanalystwillrecallthatpolicyanalysisisnearly alwaysdeliveredtoadecision-makerwhohasasenseofurgencytosolvepolicyproblems
andlimitedtimetoreadlengthyreports Thisdynamicmeanspolicyanalysisreports shouldbeconciseandalwayserronthesideofbrevity,withtechnicalordetailed informationorganizedinappendicesforareaderinterestedinsuchbackground.
Policyanalysisshouldnotstopwiththedeliveryofareporttoaclient Rather,policy analysisshouldbecommunicated–withtheanalystopentolisteningandfeedback–so thattheinformationbeingdeliveredtoadecision-makerisasrelevantaspossibletothe contextofthepolicyproblemathand.BardachandPatashnik 2019 provideusefuladvice inthisdomainbysuggestingapolicyanalystshouldsharetheirfindingswithpotential criticsoftheirwork.Gettingthiskindofcritiquecanbolstertheanalysisandaffordthe analystanopportunitytoproactivelyanticipateandrespondtocriticismthatmaybelevied againsttheanalysis
Anotherimportantconsiderationinthiscommunicationphaseofpolicyanalysisissharing theanalysiswithstakeholdersaffectedbytheproblem.Unfortunately,thistypeof interaction–betweenpolicyanalystsandstakeholderswhohaveaninterestintheanalysis –isnotawidespreadpractice Walters,Aydelotte,&Miller2014 .Suchinteractionsand communicationarelikelycritical,however,forthedecision-makerwhoseeksaninclusive processandespeciallyincircumstanceswhereapolicyproblemisintentionallydefined withanequityfocus
Research,inthisphase,playsanobviousroleinthecompositionofthewrittenanalysis Theanalystuntilnowhaskeptextensivenotesandwrittenworktodocumentthe numerousplaceswhereresearchhasfactoredcentrallyinthepriorthreephasesofthe policyanalysisprocess Inthisfinalstagetheanalyst’sresponsibilityistocarefully documenttheresearchonwhichtheanalysisisbased,notjusttolendlegitimacytothe analysisbutalsotoprovidereaderswiththemeanstofurtherinvestigatethescholarly articlesandresearchreportsofinterestthatmayhaveinformedthepolicyanalysisat hand.
InthefinalapplicationoftheexampleofwildsalmoninOregon,theanalystwithadrafted policyanalysisreportwouldhavenumerousstakeholdersandaudiencestoengagefrom whichtheycouldlearnandrefinetheiranalysis Assumingtheanalystdoesnothavea backgroundinecologyorbiology,anintuitivegroupofstakeholdersforfeedbackwouldbe universityresearchersorscientistsfromthestate’sDepartmentofFishandWildlife The analystmaywanttoengageatradeassociationoradvocacygroups,suchasthe NorthwestSportfishingIndustryAssociationortheSaveOurWildSalmonCoalition, respectively.Finally,theanalystwouldwanttopresentfindingsoftheanalysisandlisten
carefullytotheperspectiveoftheUmatillapeopleinOregontounderstandtheextentto whichtheanalysisadequatelyreflectstheperspectiveandinterestsofthecommunity.
ConcludingThoughts
Thismanuscriptendswithalookatafewofthecommoncritiquesofpolicyanalysis.A briefresponsetoeachcritiqueisofferedwiththecaveatthateachofthesecritiquescould easilyentailamorenuanceddiscussionthanwhatspaceallowsforhere.
Critique#1 Policyanalysisexcludesthevoiceofthepublicanddisenfranchised communities.
Thiscritiquecanindeedbevalidforapolicyanalystwhodoesnotengageexternal stakeholdersordrawfromabroadrangeofresourcesfromdiversecommunitiesand researchers Policyanalystsriskdevelopinginsularanalysiswhentheydrawfromanarrow rangeofsources Moreover,theanalyst’schoicetoprivilegecertaintypesofresearchand evidenceoverothers(eg,industry-sponsoredresearch,orresearchgeneratedbya particularschoolofideologicalthinktanks)canlikewiseexcludethepublicor disenfranchisedcommunitiesthatareunrepresentedinsuchbodiesofwork.
Walters,Aydelotte,&Miller 2014 notethatacommoncritiqueofpolicyanalysisalong theselinesisthat“policyanalysisunderminesdemocraticinstitutionsbyreplacingpublic participationanddebatewithesotericexpertanalysis”(p 458 OurworkwithOcean Nexusscholarswillaspiretoavoidthispitfallbycastingawidenetincollectingresearch andevidencethatsupportsabroadrangeofperspectives.Carefullyandintentionally implementingequity–eitherasthelensthroughwhichaproblemisdefined,asa carefully-constructedcriterion,orboth–willalsodecreasetheoddsthatourpolicy analysisexcludestheperspectiveandvoiceofthosewhohavearightfulstakeinthe problembeinganalyzed
Critique#2 Policyanalysisistechnocraticandinaccessible.
Policyanalysis,especiallyhighlytechnicalanalysissuchascost-benefitanalyses,are specializedundertakingsthatmaynotbeaccessibletoabroadaudience Ananalystmay alsoriskdesigninghighlytechnicalanalysisforotheranalystsanddecision-makersatthe expenseofmoreaccessiblematerialcreatedforadecision-makerbutalsoavailabletoa broadaudience Yetevenfortheanalysisthatiscomplexandspecializedinitsanalytic approach,theanalystalwayshasanopportunityandobligationtopresenttheanalysisina nontechnicalmannertomaximizetheaccessibilityoftheirwork.
Thisisparticularlysalientwhenitcomestopresentinganddiscussingthekeytrade-offsto emergefromtheanalysis.Suchtradeoffsmaybetheproductofhighlytechnical specifications,buttheessenceofthetradeoffscanbecommunicatedinamannerthat resonateswithnontechnicalaudiences Head 2015 notesonepromisingapproachto overcomingtheperceptionofpolicyanalysis'sinaccessibilityis“knowledge-brokering” which“goesbeyondsimply‘telling’othersabout”policyanalysisandinsteadseeksto“add valueforendusersofknowledgethroughvarioustypesofdialogueandcoproductionof insightsinnewcontexts”(p.479 .Thecollaborativepolicyanalysiscarriedoutamong OceanNexusresearchersandthepolicyanalysisteamcanfostersuchcollaborationand co-productionwhenananalysissimultaneouslystrivesforbothmethodologicalrigorand accessibility
Critique#3 Policyanalysisignorestherealitythatpolicydecisionsareinherently political.
Choicesaboutpublicpolicyareindeedpoliticalandrarelyfollowarational,linear decision-makingprocess Stone,2013 .Policyanalysisdoesnotdenythisreality.Infact, acknowledgingthepoliticalenvironmentinwhichpublicpolicyiscreated,policyanalysis canbeavaluabletooltodeliverrelevantinformationtodecision-makersthatfacilitates compromisesandpotentiallydullsdivisivepoliticalrhetoric Weimer&Vining,2017
Apolicyanalystgenerallyapproachespolicyanalysiswithpragmatism,acknowledgingthat informationprovidedtoadecision-makerthroughpolicyanalysiswillinformapolicy decisionbutneverwhollydetermineadecisionintheabsenceofthedecision-maker's politicalconsiderations Policyanalysis“introducesideasintopolitics,”notesShulock 1999,p 240 Similarly,policyanalysiscanexistinthepoliticaldomaintoexplaina decision-maker'srationaleforpolicychoiceswithanacknowledgementthat“using evidencetosupportapoliticalpositionshouldnotbedismissedaspoliticizationofscience butratherasconducivetohigh‐qualitydemocraticdiscourse” Schlaufer,Stucki,&Sager, 2018,p.648 .Thispragmaticapproachtopolicyanalysisalignsdirectlywiththeaspiration ofOceanNexustobridgethegapbetweendecision-makers,policymakers,andthe peoplemostdependentontheoceans
Thesecritiquesofpolicyanalysisareworthnotingbecauseinlightoftheutilityandmerits discussedinthismanuscript,theintentofthismaterialisnottoconstruepolicyanalysisas thepanaceaforgoodgovernance.Rather,policyanalysiscanserveasacriticallink
betweenscholarlyresearchandthepoliticaldecision-makingprocessesthatcreatepublic policy.Evidence-basedpublicdecision-makingdependsonapolicyanalysisprocessin whichresearchandevidenceisinfusedateveryphaseoftheprocess.
Theunderlyingrationalebehindpolicyanalysisisabeliefthatsocietyisbetteroffifpolicy analysisimbuesevidence-basedinformationintoaninherentlypoliticalprocessof decision-making Thecarefulimplementationofthefourphasesoutlinedinthismanuscript donotguaranteehigh-qualitypolicyanalysisperse;rather,thefourphasesprovidea roadmapthat,iffollowed,canincreasethevalueofinformationdeliveredtopublic decision-makers.Theroadmapforhigh-qualitypolicyanalysisisiterativeanduncertain, yetsuchanendeavoriscriticallyneededtoconnectresearchandevidencetothepolicy processthroughwhichpublicpolicyproblemsaresolved
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