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ࡱ> sur#` l{bjbj\.\. .>D>Dls 4! T(||||W w   $"h%f ![WW[[ !|| !:[6|| [ rI T |H bQ  Z!H! z%z% z% d ! !![[[[  Chapter 11 Policy Analysis Teboho Moja Abstract Policy processes are complex and include various stages that do not necessarily have to be followed in sequence. This chapter focuses on policy formulation processes and guide administrators and other readers through policy analysis stages that include basic techniques and research methodologies that can be applied to study policy formulation and implementation. Local resources provide data relevant for policy research within administrators work environment. Introduction Policy analysis refers to one or several stages in the policy process. The absence of a single clear definition of what policy refers to, adds to the complexity of what is often referred to as policy analysis. Green (1994) argues that the definition of policy "would have to capture the difference between basic and procedural policy, between prescriptive and permissive policies, and policies simply expressing the bare application of standard requirements in administration"(p. 2). Policy analysis research, within a democratic environment, is possibly the most participatory of all research in higher education. Without broad involvement of everyone concerned with an issue, at every level -the analysis is doomed to failure, or at best, have serious limitation. The participatory nature makes each analysis a negotiation with competing contributions, needs, and observations all playing a role in this dynamic process. The participatory nature of this process can be illustrated through a scenario where the director of a residence hall needs to develop new policy. For example, there might be need to develop policy to address the problem of increasing levels of incivility based on race, ethnicity, sexual orientation, and gender. A whole range of constituencies can be involved in the policy analysis process. Representatives of different groups affected directly or indirectly can be involved in discussions over the issues at hand or even present written submissions on how the issues can be addressed. In turn, those representatives can have discussions with their members and develop policy positions to be submitted for consideration. Administrators of residence halls could also present their input through reports and recommendations. Court documents analysis can provide data of cases dealing with hate speech and all inputs and information can be used to develop a policy document for discussion by the administrative council before final policy is adopted. There is need to make a distinction between policy analysis from a scholar's perspective and policy analysis for policy formulation purposes. The policy analysis process from a scholars' perspective, may be more focused on understanding the debates informing policy, the potential outcomes of policy, and the policy instruments chosen. A scholar doing policy analysis research could focus on analyzing trends in the debates and in documents on policy discussions to address the issue of race based admissions. The researcher could also do policy outcome analysis of case studies of institutions that have implemented similar policies to assess their successes, failures, or unanticipated outcomes. There could also be an analysis of policy instruments used such as funding mechanisms or incentives used to encourage implementation of policy. The outcome of such research would not be new policy but generation of knowledge, offering insights into what could possible work or an understanding of success and failure. The focus of this chapter is on the policy analysis process that involves taking action to address a problem or stimulate change. In a scenario where the faculty of a small liberal arts college is troubled by the seeming disconnection of its commuting and part-time students and declining enrolllments, a policy analysis scholar can study the trend whilst policy research for policy formulation can focus on the development of new policies to reverse the trend. The research outcome of the former will inform other scholars in the field and the faculty senate on these students and the ways the college can serve them. The latter will lead to the actual development of new policy on how to serve those students and other policy options such as recruiting local students to fill the gap. Higher education administrators are often involved in policy analysis for the sake of providing research findings that are of immediate use within their own work environment. The administrative units within which they operate serve as sources of information for policy analysis. The action required often includes setting the goals to be achieved. Such goals are influenced by the values and principles adopted by an organization, institution or government. For example, a commitment to ensure that there is equal access to opportunities provided by an institution, commitment to improving quality, or commitment to promoting efficiency within an institution would shape the type of action taken by an institution. In policy formulation the values underpinning new policies need to be prioritized because it is difficult to achieve all of them on an equal basis. Various reasons trigger a need to embark on a policy analysis process. The following are some of the reasons or conditions that could lead to the development of new policy. To examine the effectiveness of existing policy. For example, the effectiveness of policies in addressing diversity issues amongst students, staff, and faculty. To address a problem/event/crisis that requires the development of new policy. For example, an increase in violent crimes around the campus or a problem of low graduation rates amongst female students in a specific field of study. To create public policy for a new need that has arisen. For example, the use of the Internet in residences or on campus To address requirements to comply with guidelines put forward by funding agencies or government. For example, the need to report on the registration status of international students on campuses. The information needed to guide policy analysis may be acquired from various sources within institutions. Policy analysis may make use of existing data such as the evaluation records of existing programs or throughput rates of groups under investigation. Institutions are a good source of information needed in the policy analysis processes. Data that is readily available is in most cases quantitative in nature. For example, in addressing the problem of low graduation rates, there is likely to be data on the number of students entering the program under investigation, data on graduation figures, drop out figures, duration of study before graduation. In contrast to readily available quantitative data, qualitative data - fundamental to policy analysis, is often not readily available. In addressing the issue of graduation rates of female students in a science program, it is unlikely that there would be data on record pertaining to the experience of female students in the program or their perceptions of the program. Undertaking a range of studies and organizing policy debates in which representatives of various campus constituencies discuss solutions to problems could generate new data where such data is not readily available. In making a case for the likelihood that local resources are directly relevant, Hite (2001) includes using interviews as a key local resource or subjective human knowledge resource in policy processes. A wide range of people involved in a program under review could provide perspectives on information needed in the policy analysis processes. These could include students, faculty, staff, and alumni of the program. A department of chemistry could use data collected through interviews with alumni and students who have participated in the web based chemistry class offered over time in their research to develop department wide policy on web based chemistry lab modules. Additional data could be collected through interviews conducted with faculty and graduate assistants involved. Another important resource in policy making are records and reports of past experience within the institution or lessons from the experience of others in addressing similar issues. Past experiences provide data on records of successes, failures, and perhaps unintended outcomes in policy implementation. Policy discourses in the form of criticism or proposals in higher education that are not generally regarded as research, may also provide valuable information (Kaneko, 2001). A literature review of the area and issue under scrutiny can also serve as a valuable resource. Hite (2001) suggests that literature review in policy analysis serves the purpose of informing the design of new policy and that it is useful for the comparison with other settings similar to the one under investigation. Policy Processes The process of policy analysis includes the identification of a problem as well as the development of a solution to the problem. The problem must be identified in terms of policy, i. e. the need to state the problem as a policy problem, then determine the policy objectives, and finally make policy decisions. The provost could identify a policy problem from a study conducted by a sociology professor - curious about hierarchy and social support in the academy, particularly for untenured professors, who has published a report on lack administrative support within his institution. The provost can identify the problem as a policy problem, then ask the deputy provost to write a discussion document for consultation with the broader constituencies within the institution stating policy objectives that would address the problem. Finally, policy decisions can be made and new policies put in place to provide more support to faculty, particularly untenured faculty. The process of making policy is sometimes as complex as the problem it seeks to resolve. If the problem is clearly stated, it becomes easier to focus on the problem or a set of problems related to the issues being addressed. Later in the chapter I will return to the issue of defining a problem. The process followed in policy analysis is as critical as the actual outcome of that process. In some instances good policies have failed simply because the process was not inclusive. Those affected by the new policy ultimately rejected it or even intentionally sabotaged its implementation process. The role players in policy processes include a range of actors such as the decision-makers and those who are affected directly or indirectly by the decisions made. Consultation with a wide range of players is sometimes critical, depending on the impact of the policies to be adopted. The benefit of consultations is that it provides an opportunity for those affected by new policy, to be informed before the process is completed and for them to make a contribution to the process. Consultations also contribute to consensus building amongst those affected by policy and to its effective implementation at a later stage (Moja and Hayward, 2000). It is important to remember that consultations play a dual role of listening to the actors views as well as building consensus around strategies that should be adopted in addressing problems. Policy processes are often messy and unstructured (Evans, Sack and Shaw 1995). Successful policy analysis could be considered an art, with the researcher carefully orchestrating several kinds of events and data collections to engender as broad participation as possible as well as the widest range of possible solutions in the analysis. The sequence of stages and the number of stages depend on conditions existing within an institution. The length it takes to complete a process also varies widely, depending on the issue to be addressed and the resources available. The process could involve an analysis of existing policies, data collection, the conducting of studies, promoting debates, scenario building exercises, consultations with various constituencies, and other activities. In analyzing existing policies, there is need to determine the effectiveness of those policies and to understand what has and what has not worked and the reasons for that. For data collection the use of local resources has an advantage of immediate and direct relevance to the problem under investigation. If data is not readily available, it might be necessary to conduct a study to generate the data needed. Data could be generated through debates on an issue and that could serve the purpose of incorporating different perspectives on an issue under discussion. Scenario building exercises are helpful in projecting possible impact of policy under consideration. Policy processes are informed by policy research and require some understanding of both qualitative and quantitative research methods. There are advantages and limitations in the use of either qualitative or quantitative approaches to policy research. Both approaches could be used to collect different kinds of data. To be useful in making policy recommendations data collected using both approaches, need to be linked during the analysis stages. Lack of technical training and expertise, should not be perceived as an obstacle to acquiring and applying research data in policy analysis processes. Handbooks such as those by Stephen Hite (2001) provide guidance to educational policy makers in accessing relevant data and evaluating research results, specifically for policy formulation. There are also courses that teach research methods, specifically for policy formulation purposes in specific disciplines. Policy Stages Policy stages are sometimes referred to as policy cycles or steps. In this chapter, reference is made to stages, as the use of cycles or steps creates the impression that the process is orderly. The use of steps or cycle creates the expectation that one step neatly follows the other to complete the cycle. Policy processes are not linear, even though there are identifiable stages that will be discussed in the next section. Evans et. al. (1995), in studying educational policy formulation processes in a number of countries in Africa, concluded that the process is "complex, less clearly ordered, and seldom reflects a simple application of technical rationality in decision making" (p. 2). The literature on policy analysis is often presented in handbooks or how-to books (Bardach 1995, Fogler and LeBlanc, Stockdye and Zeckhauser 1978)) with stages ranging from about four to eight, that sometimes include sub-steps (Weimar and Vining 1992). The California Department of Finance has developed a matrix of the steps for policy analysis, making use of seventeen sources that identify a total of ten steps, which are used in different combinations, by different authors. Presenting policy stages "help to make sense of the challenge, even though it does not provide fully applicable guidelines for policymakers working in real world settings" (Evans, et al, 1995, p. 4). In this chapter, I have clustered the stages into the following categories: Policy research; Policy options; Policy recommendation and adoption; and Policy implementation, assessment, and adjustment. The number of stages and the emphasis on some of the stages is often influenced by the nature of the problem, the resources available, the political environment, or the analysts background. Policy Research Policy research is a critical stage in policy analysis processes. Policy research is conducted to inform the policy process and to specify what kind of data is needed at the different stages. A review of research literature is critical and needs to be donein the early stages of defining the problem to be addressed or in formulating research questions. It is important to remember thatstate the research questions in policy analysis processes are more practical in nature and are aimed at providing practical answers. The questions differ from the theoretical questions aimed at generating knowledge for knowledge sake, i.e., seeking the truth and contributing to knowledge production processes. Successful policy analysis processes rely on the availability of educational research. However, there is recognition that there is shortage of high quality educational research (Hite 2001). Part of the problem is that higher education research in particular, is perceived of as not being scholarly, because it is more theme-driven than discipline-driven. It has, however, the advantage of providing information that has been generated by researchers and highly sophisticated practitioners (Teichler 2000). Policy research aims at drawing conclusions or generating data that has policy implications. Research methods are used to develop research, but the nature of issues under investigation and the scale of the project, often determine the process to be followed. If extensive research methods are used in policy formulation processes, they should include a research question, literature review, data collection, qualitative and quantitative analysis, policy formulation and evaluation. The results need to be presented in such a way that they meets the needs of the decision makers for policy adoption purposes. A challenge in policy research is the need to raise the quality of policy research and to increase the impact of that research on new policies. Defining a Problem. There is need for a systematic study of the problem in order to make recommendations for policy. It is important to understand the reasons why policy is needed in a specified area and what purpose it will ultimately serve. Good policy choices depend on an understanding of the existing conditions within an institution. An assessment of the situation is likely to clarify the problem and assist in formulating the research questions. The processes of clarifying the problem or formulating research questions, needs to include other role players, to ensure that other perspectives of the problem are taken into consideration. An example might be the need to diversify the student population at a higher education institution. Using the example above, it would be important to start by analyzing existing policies and programs on diversity, to assess how effective or ineffective they are. The process would entail an analysis of institutional records to collect data that indicates directly the effectiveness of the relevant policy. Quantitative data could indicate the representation of different groups within an institution. Information that may not be readily available, through institutional records, might be the data that refers to feelings that there are discriminatory practices that work against achieving diversity on campus. In this instance, climate surveys, although expensive and time consuming could be a useful aspect of problem definition. Information Sources. Various sources could be used in the literature review process and for collecting data that is necessary for policy analysis. Higher education as a field of study has the advantage of having a mixture of practitioners, researchers from various disciplines as well as higher education researchers contributing to the understanding of the field (Hite, 2001). Some of the sources identified include the following. Higher education commission reports for reform. Higher education regional symposia reports. Research produced at institutions of higher education. Research produced by small or large higher education research units. Government policy documents. These can be added to existing local information to provide a broader context or to provide suggested solutions to specific issues. Policy Options Data analysis should lead to the drawing of conclusions that would be recommended as policy options. Policy options are choices made from a set of alternative actions to address a specific issue. Policy options can be presented as the outcomes or results of policy research. The outcomes need to be presented as a synthesized research report for it to be useful for policy formulation purposes. There is need to put emphasis on applicability of the results, taking into consideration institutional applications and sensitivity to existing constraints particularly resource constraints. Different solutions can be explored as options and the anticipated outcomes of each option can be weighed. This would entail a combination or comparison of options, to assist in making policy choices. Factors to take into consideration when comparing the options are costs, i. e. the affordability of implementing the proposed policy/solutions or the acceptability of those policies by those being affected. Other criteria for weighing options, is to consider the efficiency and effectiveness of the options outlined, in order to address the problem identified. The process could include a scenario building exercise to predict outcomes. In scenario building, quantitative and qualitative data analysis may be used to understand possible outcomes within a specific institutional environment. The advantage of predicting an outcome, is that it provides analysts with a base for assessing the effectiveness and efficiency of the policy options that address the problem identified in the previous stage. There might be need at this point to revisit the problem identified and to redefine it. The original definition could be extended to include unanticipated outcomes predicted through scenario building as well as anticipated outcomes. Through this process, the advantages of the option chosen can be compared with the cost involved in implementing it. The acceptability of the preferred option may also be assessed, as well as the potential impact of the new policies. It is important for policy analysts to spell out the advantages and disadvantages of the different options proposed and should even indicate their preferred options. Policy Recommendations and Adoption Policy recommendations and adoption are part of the policy analysis process and could include further consultations. Policy recommendations are proposed solutions to the problem and policy adoption requires decision-making. Those charged with the task of addressing an identified issue, could present policy recommendations in a report that could then serve as a discussion document. Such reports often reflect collectively shared values, areas of consensus, and sometimes include areas where there are differences that have not been resolved. In most cases, issues that are difficult to resolve are highly sensitive in nature and require political decisions. The report could then be widely circulated for consultations, responses and general feedback. It is at this stage that those actors who had not been directly involved in the process, can be informed about the issues under discussion and make their input in the process of formulating new policy. Depending on the nature of the problem, there might be need to reach consensus through consultations, debates and perhaps even focus groups. This stage also contributes in ensuring that there is support for new polices before their implementation. Adoption of policy entails the production of a policy document that has taken into consideration the feedback received. It is up to the decision-makers to use their discretion, as to what should be included in the final document, and what should be left out, in order to reflect their own stance on the issues. Policy Implementation, Assessment, and Adjustments Policy implementation is another stage in the policy formulation process. Implementation is part of the process, as there is need to monitor the implementation process for success or failure, so that adjustments may be made to the new policies. Policy formulation processes are in themselves challenging and each stage seems to be more difficult than the preceding stage. It is often at the implementation stage that good policies fail. There are different opinions as to why good policies sometimes fail at this point. Some suggest a combination of factors, such as lack of implementation capacity, lack of resources and external factors that have an impact on institutional policies (Cloete, N et. al. 2002) Policy implementation requires the development of an implementation strategy and a plan to carry out action, spelled out in the policy. The action plan might outline target objectives and in some instances, completion dates. The development of an implementation plan, makes monitoring of the policy implementation process as well as the assessment of the impact of policy, much easier. During the implementation stage, various players and actors involved in translating policy into action, continue to influence policy. The influence could be either positive or negative, particularly if there is no consensus on the strategy or action to be taken to address an identified issue. The monitoring of implementation processes is critical for assessing impact of the new policies, as well as for making the necessary adjustments to achieve the set objectives. Assessment and monitoring of policy implementation would provide feedback on what the following steps should be. There might be need to make adjustments to adopted policies or even to start the process all over again by developing new policies. Making adjustments by means of democratic processes is sometimes confusing to certain actors, because the activity might be perceived as proposing new policies while excluding the input of the other actors. Conclusion In concluding I would like to mention two challenges in policy analysis. One of the challenges is that of democratizing the processes through broad participation by actors who would be affected by new policies and for actors who are likely to be the implementers of the new policies. The other challenge is that the policy stages are not clearly demarcated and therefore overlap with each other. There could be overall policy adopted and in implementing it, a strategy or action plan could be perceived as new policy and could be contested by those affected. In highly democratized situations decision-makers are often frustrated by the actor's demand for continued participation, that they feel that democratic processes constrain their activities and delay implementation processes. Further Reading For more information on higher education research contributions from various research studies and classification of research and researchers read "The Researcher's Perspective" by Ulrich Teichler in Teichler, Ulrich and Sadlak, Jan (eds. ) (2000): Higher Education Research - It's Relationship to Policy and Practice. International Association of Universities, Paris, France. Further reading of Steven J. Hite (2001),Reviewing Quantitative Research to Inform Educational Policy Processes, UNESCO -International Institute for Educational Planning. Paris (2001) will guide the reader in the efficient and effective use of research in policy processes. The book also guides administrators through the process of locating educational research documents and how to synthesize research analysis results for policy purposes. References Bardach, Eugene (1995): Policy Analysis: A Handbook for Practice. Library of Congress, Department of Finance Training Library. California Department of Finance (1997): Policy Stages Matrix.  HYPERLINK http://www.dof.ca.gov/fisa/bag/matrix.pdf http://www. dof. ca. gov/fisa/bag/matrix. pdf (March 15, 2002. Cloete, N. et al (2002)(eds.):Transformation in Higher Education Global Pressures and Local Realities in South Africa.Juta and Company, Cape Town, South Africa. Evans, D. R. , Sack R. , Shaw, C. P. (1995): Formulating Education Policy: Lessons and Experiences from sub-Saharan Africa. Association for the Development of African Education. Fogler, Scott H. and LeBlanc, Steven E. Strategies for Creative Problem Solving Six Steps to Problem Solving: Internet Address -HYPERLINK "http://danenet.wicip.org/jets/jet-9442-p.html" http://danenet. wicip. org/jets/jet-9442-p. html Green, Thomas, F. (1994): Policy Questions: A Conceptual Study. Education Policy Analysis Archives. Vol. 2, no. 7. Hite, Steven J. (2001): Reviewing Quantitative Research to Inform Educational Policy Processes. UNESCO -International Institute for Educational Planning. Paris Kaneko, Motohisa (2001): Higher Education Research, Policy, Practice: Contexts. Conflicts and the New Horizon. In Teichler, Ulrich and Sadlak, Jan (eds. ) (2000): Higher Education Research - Its Relationship to Policy and Practice. International Association of Universities, Paris, France. Moja, Teboho and Hayward Fred M. (2000): Higher Education policy Development in Contemporary South Africa. Higher Education Policy, 13,335-359. Teichler, Ulrich and Sadlak, Jan (eds. ) (2000): Higher Education Research - Its Relationship to Policy and Practice. International Association of Universities, Paris, France. Stokdye, Edith and Zeckhauser, Richard A Primer for Policy Analysis W. W. Norton & Company, Inc. , New York, 1978 - CSUS Library; DOF Training Library Weimar, David L. And Vining Adrian R. (1992): Policy Analysis: Concepts and Practice. Second Edition (Englewood Cliffs. NJ: Prentice Hall).  8  56**===DDLLL{OaRvRUUc^^~ddll%s&s>sfssstt tMtNtu v v)v@4 Title$a$5aJ4J@4 Subtitle5aJ0U@0 Hyperlink>*B*PO"P Blockquotehhdd]h^haJh<+2<  Endnote TextCJaJ>B>  Footnote TextCJaJ@&Q@ Footnote ReferenceH*JC@bJ Body Text Indenthd`h8P@r8 Body Text 25\NR@N Body Text Indent 2d`ls  -.78    Qe""'r,.+2558;;;;;;<<<?AD{GaJLELrLLL MMMO(RbVVE[~\\|_a0bddegggkkk%k&kkk`lalmmmm nnn&o'oooppqq:r;rrrdsesfsgshsisjsksns0000000000000000000000 0 0 0 000000000000000 0 0 0 000000000 0 0 0 0 00000000000000000(0(0000(0000000000000000000000000000000000l{>I~dszl{?ABCDEl{@klMlX >X 4?X t?X ?X +] ,,] l,] ,] ,] C C C TC C++7ggHiHiOijj/k/kymooppp)r)r0rrre>AAhhhh&k-k,l/l5lHlJlMlllmmnnoo?pGpqq;rBrNrXrrrns " ##%%) )3366777798D8q:8;CCDDaJuJPQ Q Q1S9SZZbcfcRgeghhhhiViti{iikkmmmmmmooo op:p\pbppp_qqqqq7rrr,sMsns333333333333333333333333333333333333333333 ksns nsJ& 1, f5< v  hh^h`OJQJo( hh^h`OJQJo( hh^h`OJQJo(hh^h`o(.f5<J&1,v3[ns@  lsP@Unknownuwc Frances StageGz Times New Roman5Symbol3& z ArialS PalatinoBook Antiqua"qhNjF g:2b::2b:!24d2s2s2HX)?[2 Chapter 12Michelle Thompsonuwc    Oh+'0  < H T `lt| Chapter 12Michelle ThompsonNormaluwc3Microsoft Office Word@Ik@M{3@>O@Q:2b՜.+,D՜.+,8 hp|   :2s  Chapter 12 Titled 8@ _PID_HLINKSA G].http://danenet.wicip.org/jets/jet-9442-p.html*http://www.dof.ca.gov/fisa/bag/matrix.pdf  !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFHIJKLMNPQRSTUVWXYZ[\]^_`acdefghiklmnopqtRoot Entry F+QvData G1TableO%WordDocument.SummaryInformation(bDocumentSummaryInformation8jCompObjq  FMicrosoft Office Word Document MSWordDocWord.Document.89q
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ࡱ> sur#` l{bjbj\.\. .>D>Dls 4! T(||||W w   $"h%f ![WW[[ !|| !:[6|| [ rI T |H bQ  Z!H! z%z% z% d ! !![[[[  Chapter 11 Policy Analysis Teboho Moja Abstract Policy processes are complex and include various stages that do not necessarily have to be followed in sequence. This chapter focuses on policy formulation processes and guide administrators and other readers through policy analysis stages that include basic techniques and research methodologies that can be applied to study policy formulation and implementation. Local resources provide data relevant for policy research within administrators work environment. Introduction Policy analysis refers to one or several stages in the policy process. The absence of a single clear definition of what policy refers to, adds to the complexity of what is often referred to as policy analysis. Green (1994) argues that the definition of policy "would have to capture the difference between basic and procedural policy, between prescriptive and permissive policies, and policies simply expressing the bare application of standard requirements in administration"(p. 2). Policy analysis research, within a democratic environment, is possibly the most participatory of all research in higher education. Without broad involvement of everyone concerned with an issue, at every level -the analysis is doomed to failure, or at best, have serious limitation. The participatory nature makes each analysis a negotiation with competing contributions, needs, and observations all playing a role in this dynamic process. The participatory nature of this process can be illustrated through a scenario where the director of a residence hall needs to develop new policy. For example, there might be need to develop policy to address the problem of increasing levels of incivility based on race, ethnicity, sexual orientation, and gender. A whole range of constituencies can be involved in the policy analysis process. Representatives of different groups affected directly or indirectly can be involved in discussions over the issues at hand or even present written submissions on how the issues can be addressed. In turn, those representatives can have discussions with their members and develop policy positions to be submitted for consideration. Administrators of residence halls could also present their input through reports and recommendations. Court documents analysis can provide data of cases dealing with hate speech and all inputs and information can be used to develop a policy document for discussion by the administrative council before final policy is adopted. There is need to make a distinction between policy analysis from a scholar's perspective and policy analysis for policy formulation purposes. The policy analysis process from a scholars' perspective, may be more focused on understanding the debates informing policy, the potential outcomes of policy, and the policy instruments chosen. A scholar doing policy analysis research could focus on analyzing trends in the debates and in documents on policy discussions to address the issue of race based admissions. The researcher could also do policy outcome analysis of case studies of institutions that have implemented similar policies to assess their successes, failures, or unanticipated outcomes. There could also be an analysis of policy instruments used such as funding mechanisms or incentives used to encourage implementation of policy. The outcome of such research would not be new policy but generation of knowledge, offering insights into what could possible work or an understanding of success and failure. The focus of this chapter is on the policy analysis process that involves taking action to address a problem or stimulate change. In a scenario where the faculty of a small liberal arts college is troubled by the seeming disconnection of its commuting and part-time students and declining enrolllments, a policy analysis scholar can study the trend whilst policy research for policy formulation can focus on the development of new policies to reverse the trend. The research outcome of the former will inform other scholars in the field and the faculty senate on these students and the ways the college can serve them. The latter will lead to the actual development of new policy on how to serve those students and other policy options such as recruiting local students to fill the gap. Higher education administrators are often involved in policy analysis for the sake of providing research findings that are of immediate use within their own work environment. The administrative units within which they operate serve as sources of information for policy analysis. The action required often includes setting the goals to be achieved. Such goals are influenced by the values and principles adopted by an organization, institution or government. For example, a commitment to ensure that there is equal access to opportunities provided by an institution, commitment to improving quality, or commitment to promoting efficiency within an institution would shape the type of action taken by an institution. In policy formulation the values underpinning new policies need to be prioritized because it is difficult to achieve all of them on an equal basis. Various reasons trigger a need to embark on a policy analysis process. The following are some of the reasons or conditions that could lead to the development of new policy. To examine the effectiveness of existing policy. For example, the effectiveness of policies in addressing diversity issues amongst students, staff, and faculty. To address a problem/event/crisis that requires the development of new policy. For example, an increase in violent crimes around the campus or a problem of low graduation rates amongst female students in a specific field of study. To create public policy for a new need that has arisen. For example, the use of the Internet in residences or on campus To address requirements to comply with guidelines put forward by funding agencies or government. For example, the need to report on the registration status of international students on campuses. The information needed to guide policy analysis may be acquired from various sources within institutions. Policy analysis may make use of existing data such as the evaluation records of existing programs or throughput rates of groups under investigation. Institutions are a good source of information needed in the policy analysis processes. Data that is readily available is in most cases quantitative in nature. For example, in addressing the problem of low graduation rates, there is likely to be data on the number of students entering the program under investigation, data on graduation figures, drop out figures, duration of study before graduation. In contrast to readily available quantitative data, qualitative data - fundamental to policy analysis, is often not readily available. In addressing the issue of graduation rates of female students in a science program, it is unlikely that there would be data on record pertaining to the experience of female students in the program or their perceptions of the program. Undertaking a range of studies and organizing policy debates in which representatives of various campus constituencies discuss solutions to problems could generate new data where such data is not readily available. In making a case for the likelihood that local resources are directly relevant, Hite (2001) includes using interviews as a key local resource or subjective human knowledge resource in policy processes. A wide range of people involved in a program under review could provide perspectives on information needed in the policy analysis processes. These could include students, faculty, staff, and alumni of the program. A department of chemistry could use data collected through interviews with alumni and students who have participated in the web based chemistry class offered over time in their research to develop department wide policy on web based chemistry lab modules. Additional data could be collected through interviews conducted with faculty and graduate assistants involved. Another important resource in policy making are records and reports of past experience within the institution or lessons from the experience of others in addressing similar issues. Past experiences provide data on records of successes, failures, and perhaps unintended outcomes in policy implementation. Policy discourses in the form of criticism or proposals in higher education that are not generally regarded as research, may also provide valuable information (Kaneko, 2001). A literature review of the area and issue under scrutiny can also serve as a valuable resource. Hite (2001) suggests that literature review in policy analysis serves the purpose of informing the design of new policy and that it is useful for the comparison with other settings similar to the one under investigation. Policy Processes The process of policy analysis includes the identification of a problem as well as the development of a solution to the problem. The problem must be identified in terms of policy, i. e. the need to state the problem as a policy problem, then determine the policy objectives, and finally make policy decisions. The provost could identify a policy problem from a study conducted by a sociology professor - curious about hierarchy and social support in the academy, particularly for untenured professors, who has published a report on lack administrative support within his institution. The provost can identify the problem as a policy problem, then ask the deputy provost to write a discussion document for consultation with the broader constituencies within the institution stating policy objectives that would address the problem. Finally, policy decisions can be made and new policies put in place to provide more support to faculty, particularly untenured faculty. The process of making policy is sometimes as complex as the problem it seeks to resolve. If the problem is clearly stated, it becomes easier to focus on the problem or a set of problems related to the issues being addressed. Later in the chapter I will return to the issue of defining a problem. The process followed in policy analysis is as critical as the actual outcome of that process. In some instances good policies have failed simply because the process was not inclusive. Those affected by the new policy ultimately rejected it or even intentionally sabotaged its implementation process. The role players in policy processes include a range of actors such as the decision-makers and those who are affected directly or indirectly by the decisions made. Consultation with a wide range of players is sometimes critical, depending on the impact of the policies to be adopted. The benefit of consultations is that it provides an opportunity for those affected by new policy, to be informed before the process is completed and for them to make a contribution to the process. Consultations also contribute to consensus building amongst those affected by policy and to its effective implementation at a later stage (Moja and Hayward, 2000). It is important to remember that consultations play a dual role of listening to the actors views as well as building consensus around strategies that should be adopted in addressing problems. Policy processes are often messy and unstructured (Evans, Sack and Shaw 1995). Successful policy analysis could be considered an art, with the researcher carefully orchestrating several kinds of events and data collections to engender as broad participation as possible as well as the widest range of possible solutions in the analysis. The sequence of stages and the number of stages depend on conditions existing within an institution. The length it takes to complete a process also varies widely, depending on the issue to be addressed and the resources available. The process could involve an analysis of existing policies, data collection, the conducting of studies, promoting debates, scenario building exercises, consultations with various constituencies, and other activities. In analyzing existing policies, there is need to determine the effectiveness of those policies and to understand what has and what has not worked and the reasons for that. For data collection the use of local resources has an advantage of immediate and direct relevance to the problem under investigation. If data is not readily available, it might be necessary to conduct a study to generate the data needed. Data could be generated through debates on an issue and that could serve the purpose of incorporating different perspectives on an issue under discussion. Scenario building exercises are helpful in projecting possible impact of policy under consideration. Policy processes are informed by policy research and require some understanding of both qualitative and quantitative research methods. There are advantages and limitations in the use of either qualitative or quantitative approaches to policy research. Both approaches could be used to collect different kinds of data. To be useful in making policy recommendations data collected using both approaches, need to be linked during the analysis stages. Lack of technical training and expertise, should not be perceived as an obstacle to acquiring and applying research data in policy analysis processes. Handbooks such as those by Stephen Hite (2001) provide guidance to educational policy makers in accessing relevant data and evaluating research results, specifically for policy formulation. There are also courses that teach research methods, specifically for policy formulation purposes in specific disciplines. Policy Stages Policy stages are sometimes referred to as policy cycles or steps. In this chapter, reference is made to stages, as the use of cycles or steps creates the impression that the process is orderly. The use of steps or cycle creates the expectation that one step neatly follows the other to complete the cycle. Policy processes are not linear, even though there are identifiable stages that will be discussed in the next section. Evans et. al. (1995), in studying educational policy formulation processes in a number of countries in Africa, concluded that the process is "complex, less clearly ordered, and seldom reflects a simple application of technical rationality in decision making" (p. 2). The literature on policy analysis is often presented in handbooks or how-to books (Bardach 1995, Fogler and LeBlanc, Stockdye and Zeckhauser 1978)) with stages ranging from about four to eight, that sometimes include sub-steps (Weimar and Vining 1992). The California Department of Finance has developed a matrix of the steps for policy analysis, making use of seventeen sources that identify a total of ten steps, which are used in different combinations, by different authors. Presenting policy stages "help to make sense of the challenge, even though it does not provide fully applicable guidelines for policymakers working in real world settings" (Evans, et al, 1995, p. 4). In this chapter, I have clustered the stages into the following categories: Policy research; Policy options; Policy recommendation and adoption; and Policy implementation, assessment, and adjustment. The number of stages and the emphasis on some of the stages is often influenced by the nature of the problem, the resources available, the political environment, or the analysts background. Policy Research Policy research is a critical stage in policy analysis processes. Policy research is conducted to inform the policy process and to specify what kind of data is needed at the different stages. A review of research literature is critical and needs to be donein the early stages of defining the problem to be addressed or in formulating research questions. It is important to remember thatstate the research questions in policy analysis processes are more practical in nature and are aimed at providing practical answers. The questions differ from the theoretical questions aimed at generating knowledge for knowledge sake, i.e., seeking the truth and contributing to knowledge production processes. Successful policy analysis processes rely on the availability of educational research. However, there is recognition that there is shortage of high quality educational research (Hite 2001). Part of the problem is that higher education research in particular, is perceived of as not being scholarly, because it is more theme-driven than discipline-driven. It has, however, the advantage of providing information that has been generated by researchers and highly sophisticated practitioners (Teichler 2000). Policy research aims at drawing conclusions or generating data that has policy implications. Research methods are used to develop research, but the nature of issues under investigation and the scale of the project, often determine the process to be followed. If extensive research methods are used in policy formulation processes, they should include a research question, literature review, data collection, qualitative and quantitative analysis, policy formulation and evaluation. The results need to be presented in such a way that they meets the needs of the decision makers for policy adoption purposes. A challenge in policy research is the need to raise the quality of policy research and to increase the impact of that research on new policies. Defining a Problem. There is need for a systematic study of the problem in order to make recommendations for policy. It is important to understand the reasons why policy is needed in a specified area and what purpose it will ultimately serve. Good policy choices depend on an understanding of the existing conditions within an institution. An assessment of the situation is likely to clarify the problem and assist in formulating the research questions. The processes of clarifying the problem or formulating research questions, needs to include other role players, to ensure that other perspectives of the problem are taken into consideration. An example might be the need to diversify the student population at a higher education institution. Using the example above, it would be important to start by analyzing existing policies and programs on diversity, to assess how effective or ineffective they are. The process would entail an analysis of institutional records to collect data that indicates directly the effectiveness of the relevant policy. Quantitative data could indicate the representation of different groups within an institution. Information that may not be readily available, through institutional records, might be the data that refers to feelings that there are discriminatory practices that work against achieving diversity on campus. In this instance, climate surveys, although expensive and time consuming could be a useful aspect of problem definition. Information Sources. Various sources could be used in the literature review process and for collecting data that is necessary for policy analysis. Higher education as a field of study has the advantage of having a mixture of practitioners, researchers from various disciplines as well as higher education researchers contributing to the understanding of the field (Hite, 2001). Some of the sources identified include the following. Higher education commission reports for reform. Higher education regional symposia reports. Research produced at institutions of higher education. Research produced by small or large higher education research units. Government policy documents. These can be added to existing local information to provide a broader context or to provide suggested solutions to specific issues. Policy Options Data analysis should lead to the drawing of conclusions that would be recommended as policy options. Policy options are choices made from a set of alternative actions to address a specific issue. Policy options can be presented as the outcomes or results of policy research. The outcomes need to be presented as a synthesized research report for it to be useful for policy formulation purposes. There is need to put emphasis on applicability of the results, taking into consideration institutional applications and sensitivity to existing constraints particularly resource constraints. Different solutions can be explored as options and the anticipated outcomes of each option can be weighed. This would entail a combination or comparison of options, to assist in making policy choices. Factors to take into consideration when comparing the options are costs, i. e. the affordability of implementing the proposed policy/solutions or the acceptability of those policies by those being affected. Other criteria for weighing options, is to consider the efficiency and effectiveness of the options outlined, in order to address the problem identified. The process could include a scenario building exercise to predict outcomes. In scenario building, quantitative and qualitative data analysis may be used to understand possible outcomes within a specific institutional environment. The advantage of predicting an outcome, is that it provides analysts with a base for assessing the effectiveness and efficiency of the policy options that address the problem identified in the previous stage. There might be need at this point to revisit the problem identified and to redefine it. The original definition could be extended to include unanticipated outcomes predicted through scenario building as well as anticipated outcomes. Through this process, the advantages of the option chosen can be compared with the cost involved in implementing it. The acceptability of the preferred option may also be assessed, as well as the potential impact of the new policies. It is important for policy analysts to spell out the advantages and disadvantages of the different options proposed and should even indicate their preferred options. Policy Recommendations and Adoption Policy recommendations and adoption are part of the policy analysis process and could include further consultations. Policy recommendations are proposed solutions to the problem and policy adoption requires decision-making. Those charged with the task of addressing an identified issue, could present policy recommendations in a report that could then serve as a discussion document. Such reports often reflect collectively shared values, areas of consensus, and sometimes include areas where there are differences that have not been resolved. In most cases, issues that are difficult to resolve are highly sensitive in nature and require political decisions. The report could then be widely circulated for consultations, responses and general feedback. It is at this stage that those actors who had not been directly involved in the process, can be informed about the issues under discussion and make their input in the process of formulating new policy. Depending on the nature of the problem, there might be need to reach consensus through consultations, debates and perhaps even focus groups. This stage also contributes in ensuring that there is support for new polices before their implementation. Adoption of policy entails the production of a policy document that has taken into consideration the feedback received. It is up to the decision-makers to use their discretion, as to what should be included in the final document, and what should be left out, in order to reflect their own stance on the issues. Policy Implementation, Assessment, and Adjustments Policy implementation is another stage in the policy formulation process. Implementation is part of the process, as there is need to monitor the implementation process for success or failure, so that adjustments may be made to the new policies. Policy formulation processes are in themselves challenging and each stage seems to be more difficult than the preceding stage. It is often at the implementation stage that good policies fail. There are different opinions as to why good policies sometimes fail at this point. Some suggest a combination of factors, such as lack of implementation capacity, lack of resources and external factors that have an impact on institutional policies (Cloete, N et. al. 2002) Policy implementation requires the development of an implementation strategy and a plan to carry out action, spelled out in the policy. The action plan might outline target objectives and in some instances, completion dates. The development of an implementation plan, makes monitoring of the policy implementation process as well as the assessment of the impact of policy, much easier. During the implementation stage, various players and actors involved in translating policy into action, continue to influence policy. The influence could be either positive or negative, particularly if there is no consensus on the strategy or action to be taken to address an identified issue. The monitoring of implementation processes is critical for assessing impact of the new policies, as well as for making the necessary adjustments to achieve the set objectives. Assessment and monitoring of policy implementation would provide feedback on what the following steps should be. There might be need to make adjustments to adopted policies or even to start the process all over again by developing new policies. Making adjustments by means of democratic processes is sometimes confusing to certain actors, because the activity might be perceived as proposing new policies while excluding the input of the other actors. Conclusion In concluding I would like to mention two challenges in policy analysis. One of the challenges is that of democratizing the processes through broad participation by actors who would be affected by new policies and for actors who are likely to be the implementers of the new policies. The other challenge is that the policy stages are not clearly demarcated and therefore overlap with each other. There could be overall policy adopted and in implementing it, a strategy or action plan could be perceived as new policy and could be contested by those affected. In highly democratized situations decision-makers are often frustrated by the actor's demand for continued participation, that they feel that democratic processes constrain their activities and delay implementation processes. Further Reading For more information on higher education research contributions from various research studies and classification of research and researchers read "The Researcher's Perspective" by Ulrich Teichler in Teichler, Ulrich and Sadlak, Jan (eds. ) (2000): Higher Education Research - It's Relationship to Policy and Practice. International Association of Universities, Paris, France. Further reading of Steven J. Hite (2001),Reviewing Quantitative Research to Inform Educational Policy Processes, UNESCO -International Institute for Educational Planning. Paris (2001) will guide the reader in the efficient and effective use of research in policy processes. The book also guides administrators through the process of locating educational research documents and how to synthesize research analysis results for policy purposes. References Bardach, Eugene (1995): Policy Analysis: A Handbook for Practice. Library of Congress, Department of Finance Training Library. California Department of Finance (1997): Policy Stages Matrix.  HYPERLINK http://www.dof.ca.gov/fisa/bag/matrix.pdf http://www. dof. ca. gov/fisa/bag/matrix. pdf (March 15, 2002. Cloete, N. et al (2002)(eds.):Transformation in Higher Education Global Pressures and Local Realities in South Africa.Juta and Company, Cape Town, South Africa. Evans, D. R. , Sack R. , Shaw, C. P. (1995): Formulating Education Policy: Lessons and Experiences from sub-Saharan Africa. Association for the Development of African Education. Fogler, Scott H. and LeBlanc, Steven E. Strategies for Creative Problem Solving Six Steps to Problem Solving: Internet Address -HYPERLINK "http://danenet.wicip.org/jets/jet-9442-p.html" http://danenet. wicip. org/jets/jet-9442-p. html Green, Thomas, F. (1994): Policy Questions: A Conceptual Study. Education Policy Analysis Archives. Vol. 2, no. 7. Hite, Steven J. (2001): Reviewing Quantitative Research to Inform Educational Policy Processes. UNESCO -International Institute for Educational Planning. Paris Kaneko, Motohisa (2001): Higher Education Research, Policy, Practice: Contexts. Conflicts and the New Horizon. In Teichler, Ulrich and Sadlak, Jan (eds. ) (2000): Higher Education Research - Its Relationship to Policy and Practice. International Association of Universities, Paris, France. Moja, Teboho and Hayward Fred M. (2000): Higher Education policy Development in Contemporary South Africa. Higher Education Policy, 13,335-359. Teichler, Ulrich and Sadlak, Jan (eds. ) (2000): Higher Education Research - Its Relationship to Policy and Practice. International Association of Universities, Paris, France. Stokdye, Edith and Zeckhauser, Richard A Primer for Policy Analysis W. W. Norton & Company, Inc. , New York, 1978 - CSUS Library; DOF Training Library Weimar, David L. And Vining Adrian R. (1992): Policy Analysis: Concepts and Practice. Second Edition (Englewood Cliffs. NJ: Prentice Hall).  8  56**===DDLLL{OaRvRUUc^^~ddll%s&s>sfssstt tMtNtu v v)v@4 Title$a$5aJ4J@4 Subtitle5aJ0U@0 Hyperlink>*B*PO"P Blockquotehhdd]h^haJh<+2<  Endnote TextCJaJ>B>  Footnote TextCJaJ@&Q@ Footnote ReferenceH*JC@bJ Body Text Indenthd`h8P@r8 Body Text 25\NR@N Body Text Indent 2d`ls  -.78    Qe""'r,.+2558;;;;;;<<<?AD{GaJLELrLLL MMMO(RbVVE[~\\|_a0bddegggkkk%k&kkk`lalmmmm nnn&o'oooppqq:r;rrrdsesfsgshsisjsksns0000000000000000000000 0 0 0 000000000000000 0 0 0 000000000 0 0 0 0 00000000000000000(0(0000(0000000000000000000000000000000000l{>I~dszl{?ABCDEl{@klMlX >X 4?X t?X ?X +] ,,] l,] ,] ,] C C C TC C++7ggHiHiOijj/k/kymooppp)r)r0rrre>AAhhhh&k-k,l/l5lHlJlMlllmmnnoo?pGpqq;rBrNrXrrrns " ##%%) )3366777798D8q:8;CCDDaJuJPQ Q Q1S9SZZbcfcRgeghhhhiViti{iikkmmmmmmooo op:p\pbppp_qqqqq7rrr,sMsns333333333333333333333333333333333333333333 ksns nsJ& 1, f5< v  hh^h`OJQJo( hh^h`OJQJo( hh^h`OJQJo(hh^h`o(.f5<J&1,v3[ns@  lsP@Unknownuwc Frances StageGz Times New Roman5Symbol3& z ArialS PalatinoBook Antiqua"qhNjF g:2b::2b:!24d2s2s2HX)?[2 Chapter 12Michelle Thompsonuwc    Oh+'0  < H T `lt| Chapter 12Michelle ThompsonNormaluwc3Microsoft Office Word@Ik@M{3@>O@Q:2b՜.+,D՜.+,8 hp|   :2s  Chapter 12 Titled 8@ _PID_HLINKSA G].http://danenet.wicip.org/jets/jet-9442-p.html*http://www.dof.ca.gov/fisa/bag/matrix.pdf  !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFHIJKLMNPQRSTUVWXYZ[\]^_`acdefghiklmnopqtRoot Entry F+QvData G1TableO%WordDocument.SummaryInformation(bDocumentSummaryInformation8jCompObjq  FMicrosoft Office Word Document MSWordDocWord.Document.89q
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