Basics in Policy Analysis 170en

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Resources for policy making

Basics in Policy AnalysisHow Governments Should Design &

Implement Policies


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By

for the

FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONS, FAO


Basics in Policy AnalysisHow Governments Should Design & Implement Policies

Ugo Pica-CiamarraPro-Poor Livestock Policy Initiative (PPLPI), Animal Productionand Health Division http://www.fao.org/AG/againfo/projects/en/pplpi/home.html

About EASYPol

The EASYPol home page is available at: w w w .f a o .o r g / e a s y p o l

EASYPol is a multilingual repository of freely downloadable resources for policy making in agriculture,rural development and food security. The resources are the results of research and field work by policyexperts at FAO. The site is maintained by FAOs Policy Assistance Support Service, Policy andProgramme Development Support Division, FAO.

Related resources:See the Training Path Policy Learning Programme 2009 for other related resources. Download theProgramme Summary for background information and the Overview of the Programme Modules

and Sessions for a complete list of resources developed for the Policy Learning Programme 2009.FAO Policy Learning Website: http://www.fao.org/tc/tca/policy-learning/en/
http://www.fao.org/AG/againfo/projects/en/pplpi/home.htmlhttp://www.fao.org/AG/againfo/projects/en/pplpi/home.htmlhttp://www.fao.org/easypolhttp://www.fao.org/easypol/output/browse_by_training_path.asp?DEBUG=&page=&lang=&id_topic=&display=&search=&type=&abstr_type=&ascdes=&ordenAnt=&fdesde=&fhasta=&language=&type_search=&id_topic=&id=489&pub_id=489&id_cat=46http://www.fao.org/docs/up/easypol/816/Programme_Summary_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/presentation-easypol_224EN.pdfhttp://www.fao.org/docs/up/easypol/816/Programme_Summary_224EN.pdfhttp://www.fao.org/easypol/output/browse_by_training_path.asp?DEBUG=&page=&lang=&id_topic=&display=&search=&type=&abstr_type=&ascdes=&ordenAnt=&fdesde=&fhasta=&language=&type_search=&id_topic=&id=489&pub_id=489&id_cat=46http://www.fao.org/easypolhttp://www.fao.org/AG/againfo/projects/en/pplpi/home.htmlhttp://www.fao.org/AG/againfo/projects/en/pplpi/home.html


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Objectives

understand policy analysis

appreciate the relevance ofpolicy analysis

know the critical elementsto conduct sound policyanalysis (and design /implement sound policies)

After this presentation, you should:


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Outline

1. Policy analysis and policy process

2. Definition of policy analysis

3. Steps in policy analysis

Identification of policy objectives

Identification / selection of policy

instruments

Design policy implementation Policy monitoring & evaluation


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The policy process

Policy Spaces

External Pressures

STATE

Interest Group

Interest GroupTime


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Elements of policy process

2. Context

3. Actors

4. Content

5.Impact

s

1. Livelihood/Socio-economic

assessment

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2. Context

3. Actors

4. Content

5.Impact

s


assessment

Main Stages

Agenda setting

Decision making

Implementation

M&E

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2. Context

3. Actors

4. Content

5.Impact

s


assessment

Main Stages

Agenda setting

Decision making

Implementation

M&E

Policy Analysis

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Definition of policy analysis

Policy analysis:

is an applied social scienceproducing information for

addressing policy problems

analyses and evaluates publicpolicy options ... for choice by

policy makers (Paul, 1989 et al.).

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Policy analysis versus other sciences

Policy analysis is not:

Academic researchEconomicsSociologyStatistics

... ... ...

Political science

Interest groupsCollective actionsAdvocacy coalitions... ... ...

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... ... ...

Political science


Policy analysis makes ampleuse of academic research

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... ... ...

Political science


Policy analysis makes ampleuse of academic research

Policy analysis takes intoconsideration differentinterests, positions, etc.

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Steps in policy analysis

1. Identification of policyobjectives

2. Identifying and selecting policyinstruments

3. Designing policyimplementation

4. Policy monitoring & evaluation

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1. Identification of policy objectives

Policy agendas present generic policygoals / undesirable status quo (policy

problem)

- poverty reduction

- increased productivity

- ... ... ...

Identify a causal chain explaining thestatus quo

- brainstorming- narratives

- scientific analysis

- problem tree... ... ...

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The source of the problemshould be selected as thepolicy objective

Policy agendas present generic policygoals / undesirable status quo (policy

problem)

- poverty reduction

- increased productivity

- ... ... ...

Identify a causal chain explaining thestatus quo

- brainstorming- narratives

- scientific analysis

- problem tree... ... ...

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Example:

Problem tree analysis of Foot & Mouth Disease Outbreak

Foot & Mouth Disease Outbreak

+ animal mortality - productivity

... ... ... - household income - exports

... ... ...

direct contacts

between animals

contaminated

animal feed

artificial

insemination

... .... ....

policy

problem

effects

causes

Policy objective

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2. Identifying and selectingpolicy instruments



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2. Identifying policy instruments

Identification of alternative policyinstruments serving the policy

objective(s)experiences from other countries

public/expert opinion polls

professional / academic journals

ad hoc research findings... ... ..

Avian flu: culling

Avian flu: vaccination

Credit: FAO

No defined rules toidentify policyinstruments!!! Avian flu: culling

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2. Identifying policy instruments

Hints for identifying policyinstruments:

existing instruments included

no do everything instrument

role of the State well identified

small numbers to facilitate

selection

Exporting live animals

Exporting processed goods

Credit: FAO

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2. Ranking policy instruments

Hints for selecting bestpolicy instrument

merit

cost

equityreliability

simplicity

consistency

flexibility

communicability

... ... ...

EXTRAPOLATE: Ex-Ante Tool for Ranking Policy Alternatives

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1. Identification of policy

objectives




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3. Policy Implementation

Policy reform failures [...] lack ofconsideration of how the policyreform is organized (Crosby,1996)

Policy implementation bringstogether multiple agencies andgroups that are intended to workin concert (Brinkerhoff, 1996)

credit: AfpKenya, drought affected areas 01 / 2006

source: WHO

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3. Policy implementation tasks

1. Policy legitimisation

2. Resources

3. Institutional design

4. Monitoring & evaluation

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3. Policy implementation tasks

Stakeholder analysis &political mapping to create a

policy constituency

1. Policy legitimisation

2. Resources

3. Institutional design

4. Monitoring &evaluation

Securing start-up &medium / long term funds

Accountability & incentives /penalties to policyimplementers to carry out

new tasks

Keep policy implementationon track & assess policyresults & impacts

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1. Identification of policy

objectives



4. Policy monitoring &evaluation

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Monitoring: ... collection ofdata providing indications of[...] progress in the use ofinputs and achievement of

outputs

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Evaluation: ... assessment ofan ongoing [...] policy, itsdesign, implementation and

effects and impacts

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Indicator Definition

Inputs Resources allocated

Outputs

Immediate results

brought about byinputs

EffectsDirect and medium

term effects

Impacts Long-term impacts

Monitoring

EvaluationT

ime

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Methodologies:

performance indicators

logical-framework approach

interviews

international benchmarking

cost-benefit analysispilot policy projects

Hints:

evaluators implementers

participatory M&E

new rules & regulations

rewards / penalties

credit: AC

credit: FAO

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Summary

1. identification of policyobjectives

2. identification / selection ofpolicy instruments

3. designing policyimplementation

4. monitoring & evaluation

Policy analysis is a science providinginformation to address policy problems

Policy analysis is a science providinginformation to address policy problems

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Conclusions

2. Context

3. Actors

4. Content

5.

Impact

s


assessment

Main Stages

Agenda setting

Decision making

Implementation

M&E

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Further readings

Brinkerhoff D.W., Crosby B.K. (2002).Managing Policy Reform. Concepts and Toolsfor Decision-Makers in Developing andTransition Countries. Kumarian Press,Bloomfield.

Weimer D.L., Vining A.R. 1991. PolicyAnalysis: Concepts and Practice. PrenticeHall, London.

Binswanger H., Deininger K. 1997. ExplainingAgricultural and Agrarian Policies inDeveloping Countries.Journal of EconomicLiterature, Vol. XXXV, pp. 1958-2005.

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Basics in Policy Analysis 170en