Basic Methods of Policy Analysis and Planing

1 Basic Methods of PolicyAnalysis and PlanningThird EditionCARL State UniversityDAVID Institute of TechnologyJENNIFER Institute of TechnologyRoutledgeTaylor & Francis GroupLONDON AND NEW YORKROUTLEDGEC redits and acknowledgments borrowed from other sources and reproduced, with permission, in thistextbook appear on the appropriate page within of Congress Cataloging-in-Publication DataPatton, Carl Methods of Policy Analysis and planning / Carl V. Patton, David S. Sawicki, Jennifer J. Clark. 3rd bibliographical references and : 978-0-13-749509-2 (alk. paper)ISBN-10: 0-13-749509-9 (alk. paper)1. Policy sciences--Research. 2. Public administration. 3. Political planning. 4. City planning. I. Sawicki, David S. II. dc232011048471 First published y Pearson Education, blished 2016 by Routledge2 Park Square, Milton Park, Abingdon, Oxon OX14 4RN711 Third Avenue, New York, NY 10017, USAR outledge is an imprint of the Taylor & Francis Group, an informa businessAll rights reserved.

2 No part of this book may be reprinted or reproduced or utilised in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retri eval system, without permission in writing from the : Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to 201 2, 2009, 2006, 2003 Taylo r& Franci s. A ll right s reserved . ISBN: 9780137495092 (pbk)2013, 1993, 1986 biiiList of Figures ixList of Tables xiPreface xvPART 1 Methods 1 CHAPTER 1 The Need for Simple Methods of PolicyAnalysis and Planning Quick, Basic Policy Analysis Learning the Methods of Policy Analysis andPlanning Practical principles for Beginning PolicyAnalysts Chapter Summary Organization of the Book Glossary Exercises 19 CHAPTER 2 The Policy Analysis Process Types of Policy Analysis The Role of the Analyst Ethical Considerations Values in Ethical Ethical principles and Guidelines for Professional The Analytic Process Basic Policy Analysis in Six Steps 43 Step 1: Verify, Define, and Detail the Problem44 Step 2: Establish Evaluation Criteria47 Step 3: Identify Alternative Policies49 Step 4: Evaluate Alternative Policies50 Step 5.

3 Display and Distinguish among Alternative Policies51 Step 6: Monitor and Evaluate the Chapter Summary Glossary Exercise 58 CHAPTER 3 Crosscutting Methods Identifying and Gathering Data Sources of Literature Library Search Getting Federal Government Legal Management Interviewing for Policy Information The Investigative Structure and Choosing the Making Conducting the Using Your Time Quick Surveys Types of Survey Questionnaire Sample Evaluating Data and Information Estimating Data Document Determining Truth from Basic Data Analysis Descriptive Data Graphic Mapping and Spatial Descriptive Association or Measures of Communicating the Analysis Getting It on Using Graphics to Organizing the In-Person Chapter Summary Glossary Exercises 133 CHAPTER 4 Verifying, Defining.

4 And Detailing theProblem Identifying and Defining Problems Developing the Problem Statement Back-of-the-Envelope Calculations Quick Decision Analysis Creation of Valid Operational Definitions Political Analysis The Issue Paper versus First-CutAnalysis Chapter Summary Glossary Exercises 168 CHAPTER 5 Establishing Evaluation Criteria The Process of Establishing EvaluationCriteria Several Important Economic Concepts The Free-Market Marginal Equity and Commonly Employed EvaluationCriteria Technical Economic and Financial Political Administrative Chapter Summary Glossary Exercises 207 CHAPTER 6 Identifying Alternatives Sources of Alternatives Searching for Alternatives Researched Analysis and No-Action (Status Quo) Quick Literature Comparison of Real-World Passive Collection and Development of Analogy, Metaphor.

5 And Comparison with an Creating Alternatives Feasible Modifying Existing Pitfalls to Avoid Chapter Summary Glossary Exercises 238 CHAPTER 7 Evaluating Alternative Policies Forecasting Methods Extrapolative Theoretical Forecasting Techniques Intuitive Forecasting Evaluation Methods Three Measures of Sensitivity Allocation Quick Decision Analysis Political Uncertainty Chapter Summary Glossary Exercises 297 CHAPTER 8 Displaying Alternatives and Distinguishingamong Them Problems in Selecting the Best Policy Conflict between Individual and CollectiveRationality The Problem of Multiple Criteria Several Methods of Dealing with MultipleCriteria Basic Comparison Matrix (Scorecard) Display Other Matrix Weights, Rating Systems, and Chapter Summary Glossary Exercises 337 CHAPTER 9 Monitoring and Evaluating ImplementedPolicies Types of Policy Failures The Policy Evaluation Continuum Types of Ex-Post Evaluation Before-and-After With-and-Without Actual-versus-Planned Experimental Quasi-Experimental Cost-Oriented Evaluation Which Method Should Be Used?

6 principles of Quick Evaluation Chapter Summary Glossary Exercises 368 PART 2 Cases 375 CHAPTER 10 Downtown Development Introduction The Assignment Background Information 377 CHAPTER 11 Defending against Accusations of Discriminatory Housing Practices Introduction The Assignment Background Information The Data and Data Problems Learning Objectives Exhibits 381 Exhibit Newspaper Article 381 Exhibit Examples of HousingDiscrimination 383 Exhibit Current Rental Rates by Race for All Peters-Owned Buildings(Tables ) 384 Exhibit Consumer Price Index (Table ) 385 ContentsvExhibit Estimates of Population andHouseholds by Race for Counties in the MSAand SMSA (Tables ) Source Material 387 CHAPTER 12 Municipal Garbage: Solid-Waste CollectionMethods Introduction The Assignment Exhibits 389 Exhibit Draft Report on DPW Solid-Waste Collection Experiments 389 Exhibit Summary Report.

7 Time/CostComparisons for Solid-Waste CollectionMethods 394 CHAPTER 13 University On Campus Parking Policies Introduction The Assignment Background Information Guidelines for Analysis Final Report Exhibits 403 Exhibit Table Parking Pricing andSupply at Selected Universities 403 Exhibit Figure Student CenterParking Deck Utilization 404 Exhibit Table State UniversityAnnual Parking and Transportation Budget(in thousands of dollars) 405 Exhibit Figure Annual CapitalExpenditures for Parking 406 Exhibit Table Travel Behavior byUniversity Affiliation 407 Exhibit Table Demographics byUniversity Affiliation 407 Exhibit Table Comments onParking and Transportation by UniversityAffiliation Source Material 408 CHAPTER 14 Emergency Aid for Home Heating Fuel:Developing an Allocation Formula Introduction The Assignment The Specific Tasks Exhibits 412 Exhibit Memo from CSA Director G.

8 G. Ortiz to All Governors 412 Attachment 1 Poverty Guidelines forWisconsin Households, 2011 414 Exhibit Internal Memorandum /WHEAP 414 Table Propane (LP) and Fuel OilSurvey, 2011 415 Table Total Number of DisconnectedHouseholds Estimated by County, 2011 416 Table Estimated Percentages of Typesof Fuel Used for Home Heating, by Countyand the State of Wisconsin, 2011 417 Table Heating Degree Days by County,State of Wisconsin, Averages for 1981 2010(Base Temperature 65 ) Source Material 418 CHAPTER 15A State Tax on Plastic Shopping Bags Introduction The Assignment Underlying Themes Learning Objectives Source Material 422viContentsCHAPTER 16 Public-Private Redevelopment Projects:The Case of Underground Atlanta Introduction The Assignment Case Background Issues and Actors Exhibits 426 Exhibit Newspaper Article 426 Exhibit Memo 430 Exhibit Formal Description ofProposed Project Source Material 436 Bibliography 437 Index 454 Contentsvii5 IJT QBHF JOUFOUJPOBMMZ MFGU Classical Rational Problem-SolvingProcess Typical Ethical Dilemma: The City ofOldport the Hazards of Population Projections Theories Framework for Ethical Analysis Responses to Value Conflicts Basic Policy Analysis Process Typical Policy Problem Article Article Quality Checklist Chart: Sun City NeighborhoodPopulations, 2010 Chart: Number of Households by Race,Holly Hill, 2010 : Number of Households by Income,Bayside, 2010 Diagram: Number of Households byIncome, Bayside, 2010 Diagram.

9 Rent versus HouseholdIncome, Fairmont, 2010 Diagram: Number of Householdsin Bayside, 1920 2010 x and y Axes Basic Decision Sapling We Abate Taxes to EncourageDowntown Developement? of Consequences Associated withFour Separate Tax Abatement Policy Outcomes AreChanged Decision Tree: To Revises or Not To Revises the Community Development Budget Benefits of Analysis Received per Unitof Investment in Analysis for Three SeparatePrograms 166 EXERCISE21 FIGURE1 Ambrosia County Finances of Identifying Alternatives Population Totals, 1900 2050 Population Changes,1900 2010 of Wisconsin, 1900 2010 Population Changes,1900 2010 of a Growing Suburb,1920 2010 of Population of a GrowingSuburb, 1920 2010 Tax Abatement for Development DecisionDiagram for Tax-Abatement Outcomes Sell or Not Sell Land to the HighestBidder of Suitability Rankings 323 LIST OF FIGURES5 IJT QBHF JOUFOUJPOBMMZ MFGU of Policy Actions s Law of Retail Gravitation Applied tothe Upland Mall Methods by Steps in the Policy AnalysisProcess Demographic and EconomicData from the Big Three.

10 Finding Data from theCensus, BEA, and BLS Databases, Websites,Resources, and Web Portals s Typology of Graphic Displaysm of Household Income Paid asRent in Sun City in 2010 Table Layout: Newcomers Wanted theConvenience of a Nearby City Exclusive vs. Not MutuallyExclusive Categories Exclusive and ExhaustiveCategories Analysis Online and SoftwareResources and Integrated Data Depositories Household Income, LoanApplications, and Approval Rates for Neighborhoodsin Sun City in 2010 Household Income of Applicant,Location of Property, and Approval Rates forNeighborhoods in Sun City in 2010 Test Performance in a PolicyAnalysis Class for Whether the Test TakerAttended the Review Session Exam Performance and ReviewSession Attendance of Graphics and Their Uses 127 EXERCISE15 TABLE1 All Adult Residents of Seaside 135 TABLE2 Adults Who Moved to Seaside Since 2000 135 TABLE3 Adults Who Moved to Seaside during or before2000 or Who Were Born There 136 EXERCISE16 TABLE1 AICP Exam Results Allocation Issue Table 162 EXERCISE10 TABLE1 Traffic Data and Revenues for the Private ParkingFirm (in thousands of dollars)