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 Externalities

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

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 programs.

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

About the Author

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.

Reviews

"Contemporary Policy Analysis
should be especially useful to faculty seeking a practice-oriented
approach to policy analysis that integrates analytical, strategic, and
management concerns."--David A. Rochefort, Northeastern University

"There is no current text that provides detailed treatment of
analytic tools without requiring a background in microeconomics. I am
enthusiastic about the book's broad perspective, which addresses
criteria and impacts other than economic efficiency. The writing is
clear and concise, and I like the learning activities at the end of each
chapter."--Megan Mullin, Temple University

"The author has done a fantastic job achieving the goals outlined
in the preface. I am very much looking forward to adopting this book for
my policy analysis course."--Dana Lee Baker, Washington State University

"Following on his excellent earlier work in People Skills for Policy Analysts,
Mintrom continues to provide state-of-the-art knowledge of immediate
use to professional policy analysts working in government and the
non-governmental sector, and to those who aspire to such positions.
Informed by the latest insights of policy research, Contemporary Policy Analysis
provides detailed, hands-on instruction to analysts about key aspects
of professional policy work, from how to manage policy research projects
to how to present policy advice. Unlike other works--which stop
there--this book goes further in clearly setting out the context for
policy work in a survey of the activities of modern governments and an
outline of the underpinnings of analysis in notions of market and
government failures."--Michael Howlett, Simon Fraser University