CU Health Policy Analysis Paper

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Published by Oxford University Press in association with The London School of Hygiene and Tropical Medicine Health Policy and Planning 2008;23:308–317
doi:10.1093/heapol/czn024
ß The Author 2008; all rights reserved.
‘Doing’ health policy analysis: methodological
and conceptual reflections and challenges
Gill Walt,1* Jeremy Shiffman,2 Helen Schneider,3 Susan F Murray,4 Ruairi Brugha5
and Lucy Gilson3,6,7
Accepted
22 June 2008
The case for undertaking policy analysis has been made by a number of scholars
and practitioners. However, there has been much less attention given to how to
do policy analysis, what research designs, theories or methods best inform policy
analysis. This paper begins by looking at the health policy environment, and
some of the challenges to researching this highly complex phenomenon. It
focuses on research in middle and low income countries, drawing on some of
the frameworks and theories, methodologies and designs that can be used in
health policy analysis, giving examples from recent studies. The implications of
case studies and of temporality in research design are explored. Attention is
drawn to the roles of the policy researcher and the importance of reflexivity and
researcher positionality in the research process. The final section explores ways
of advancing the field of health policy analysis with recommendations on theory,
methodology and researcher reflexivity.
Keywords
Policy analysis, methodology, process, health policy
KEY MESSAGES

Little guidance exists on how to do health policy analysis, concerning low and middle income countries. This paper
explores ways of developing this field.

To advance health policy analysis, researchers will need to use existing frameworks and theories of the public policy
process more extensively, make research design an explicit concern in their studies, and pay greater attention to how
their own power and positions influence the knowledge they generate.
Introduction
Health policy analysis is a multi-disciplinary approach to public
policy that aims to explain the interaction between institutions,
interests and ideas in the policy process. It is useful both
1
Health Policy Unit, London School of Hygiene and Tropical Medicine, UK.
Maxwell School of Citizenship and Public Affairs, Syracuse University,
Syracuse, NY, USA.
3
Centre for Health Policy, University of the Witwatersrand, Johannesburg,
South Africa.
4
King’s College London, UK.
5
Department of Epidemiology, Royal College of Surgeons in Ireland, Dublin,
Ireland.
6
Health Economics and Financing Programme, London School of Hygiene
and Tropical Medicine, UK.
7
School of Public Health and Family Medicine, University of Cape Town,
South Africa.
* Corresponding author. Health Policy Unit, London School of Hygiene and
Tropical Medicine, Keppel Street, London, WC1E 7HT, UK.
E-mail: gill.walt@lshtm.ac.uk
2
retrospectively and prospectively, to understand past policy
failures and successes and to plan for future policy implementation. The case for undertaking policy analysis has been made
by a number of scholars (Parsons 1995) and 15 years ago, in
this journal, Walt and Gilson (1994) argued it was central to
health reforms. However, there has been much less attention
given to how to do policy analysis, what research designs,
theories or methods best inform policy analysis. Reich and
Cooper (1996) designed and have updated a software tool to
help researchers and policy-makers analyse the political
dimensions of public policies. Others, such as Varvasovszky
and Brugha (2000), have designed guidelines for undertaking
stakeholder analysis, as a part of health policy analysis. Bossert
(1998) developed an approach to analyse choices for the
decentralization of health sectors. Sabatier (1999, 2007) has
explored different theoretical frameworks of the policy process
308
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‘DOING’ HEALTH POLICY ANALYSIS
(although not focusing on health). However, it is rare to find
any scholarly work that explicitly explores the methodological
challenges for researchers studying the health policy process.
This paper takes off from the conclusions drawn in the literature
review by Gilson and Raphaely (2008, this issue), which identifies
some of the gaps and weaknesses in the field of health policy
analysis in low and middle income countries. The review notes the
absence of explicit conceptual frameworks, little detail on
research design and methodology, and a preponderance of
single case studies on particular issues. It draws attention to the
limited use of relevant theory to underpin analysis and the paucity
of attempts to provide an explicit, explanatory focus. As the
authors say, the main question is often ‘what happened’, to the
neglect of ‘what explains what happened’. Researchers also rarely
reflect on how their own positions shape their research
interpretations and conclusions.
In this paper, we tackle some of these issues, looking at some
of the reasons for the above deficiencies identified in the Gilson
and Raphaely review, and make some suggestions for advancing the field.
First, to put the paper in context we begin by looking at the
health policy environment, and some of the challenges to
researching this highly complex phenomenon. Second, we argue
for more attention to theory and frameworks and we consider the
theoretical constructs often utilized in health policy studies. From
there we move to methodology and study design, exploring the
implications of case study research and temporality for health
policy analysis; and then discuss the roles of the policy researcher,
the importance of reflexivity and researcher positionality in the
research process. The final section explores ways of advancing the
field of health policy analysis.
The nature of the beast: the health
policy environment
It is important to contextualize the health policy environment
in order to understand the challenges to methodology and
theory. While drawing on ideas and concepts from general
policy analysis, most of which is derived from studies on high
income countries, this paper focuses on health policy, and on
low and middle income countries. Much of the theory from policy
analysis in high income countries has resonance for health and
developing countries, and can usefully inform research in those
areas. However, transferring such concepts needs to be undertaken with caution. It is generally fair to say that the health
sector has specific characteristics which affect the policy
environment (and that differentiate it from other social
sectors). The state may be both provider and purchaser of
services, but also is involved in regulation, research and
training among other functions. In service provision, it may
be in competition or partnership with a private sector that it is
also regulating. In undertaking its health care purchasing and
regulatory functions, the state is usually heavily reliant on—
and may lack—essential information that can only be provided
by the sectors it is over-seeing. Information asymmetry is often
a bigger problem than with the other social sectors. Health
issues are often high profile and demand public responses.
Health interests, ranging from professionals to the pharmaceutical industry, have traditionally been perceived to influence the
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309
policy process significantly. They are uniquely placed to do so
because of their knowledge, technology, access to political
processes and stake in life and death issues.
However, while these characteristics are generally typical, all
scholars point out that they have to be contextualized in both
place and time. Health policy environments in middle and high
income countries will therefore differ from those in low income
countries, where, for example, there are weaker regulations,
regulatory capacity and monitoring systems; lack of purchasing
power as a leverage to influence types and quality of services
delivered; more patronage in political systems, and more reliance
on external donor funds, among many other differences.
In spite of differences between high and low income countries,
however, it is increasingly recognized that policy processes are
changing everywhere. Initially policy analysis focused on the
state—on the public or government sector—on politicians,
bureaucrats and interest groups (Hogwood and Gunn 1984;
Grindle and Thomas 1991). Over the past 10 years scholars have
acknowledged a shift in the nature of policy and policy-making,
which points to the involvement of a much larger array of actors in
the policy process (Buse et al. 2005). The private sector, for
example, including for-profit and not-for-profit organizations,
large and small, has become an important player in health policy.
Partnerships between public and private sectors have also
changed the health policy environment. Furthermore, policy is
increasingly shaped and influenced by forces (such as global civil
society) outside state boundaries (Keck and Sikkink 1998). The
growing literature around issues of globalization which emphasize changing spatial, temporal and cognitive dimensions (Lee
et al. 2002) reflects the extent to which the world is perceived to
have altered. There is less geographical distance between regions,
exchanges have become faster, ideas and perceptions spread
rapidly through global communications and culture.
This means that the policy environment is increasingly
populated by complex cross-border, inter-organizational and
network relationships, with policies influenced by global decisions as well as by domestic actions. The technological revolution
has facilitated communications and relationships, both between
governments and their advisers as well as between many different
networks of actors outside of government. While government and
its hierarchical institutions remain important, all policy analysis
must also take into account a range of open-ended, more ad hoc
arrangements which increasingly affect decision-making. Hajer
and Wagenaar (2003, p. 8) talk about ‘new spaces of politics’
where there are ‘concrete challenges to the practices of policymaking and politics coming from below’. In their view, policy
analysis has to become more deliberative: less top-down, involving
expanded networks, and more interpretative, taking into account
people’s stories, their understandings, values and beliefs as
expressed through language and behaviour.
Challenges for ‘doing’ health policy
analysis
These changes in the policy environment make the analysis of
policy even more complex but there are conceptual and practical
problems that are specific to ‘doing’ health policy analysis.
The first challenge is that ‘policy’ can itself be defined
in many different ways, with consequent implications for
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its study. It can be useful to think of health policy as embracing
‘courses of action (and inaction) that affect the set of
institutions, organizations, services and funding arrangements
of the health system’ (Buse et al. 2005, p. 6). Such policy may
therefore be made within government, by non-government
actors, and by organizations external to the health system.
However, such processes of ‘making’ policy are not necessarily
overt or clearly bounded. The ways in which decisions ‘emerge’
rather than taking place at a single point in time, and which
are often unobservable to the researcher, can be particularly
difficult to unpack and explain (Exworthy 2007). On the
practical level, there are often many hurdles to accessing the
many different, geographically widespread, actors, individuals,
groups and networks involved in policy processes. Decisionmaking processes are often opaque, and obtaining relevant
documents and papers can be problematic. Or, in contrast, an
excess of information—where background documentation such
as large volumes of email exchanges become available—can be
burdensome and difficult to analyse. Participant observation
can be difficult in practice.
There is also often a tension between the long-term nature of
policy development and implementation and the short-term
nature both of funding for policy research and of policy-makers’
demands for quick answers and remedies. Box 1 provides an
example of some of these tensions. Hunter (2003) has called
this the ‘curse of the temporal challenge’. Much health policy
research is motivated (and attracts funding) by practical
concerns such as the evaluation of existing programmes, and
policy analysts are expected to deliver easily implementable
recommendations within relatively short time horizons. The
imperatives of quick policy ‘fixes’ may lead to reductionism.
There are also many other conceptual challenges to ‘doing’
policy analysis. For example, capturing and measuring levels of
resources, values, beliefs and power of diverse actors is difficult;
also, the notion of ‘power’—fundamental to policy analysis—is
a highly contested concept. Yet it is often used as if there were
little difficulty in agreeing what power is, where it lies, and
how it is exercised. It can also be difficult to ‘tell the story’,
without getting immersed in detail. Researchers have to find
ways of organizing their analysis so that it provides a lens that
represents but also explains a highly complex environment. As
Gilson and Raphaely (2007) have shown, most health policy
analysis is relatively intuitive, ad hoc, and the assumptions on
which it is based are seldom identified.
In this paper we argue that the field of health policy analysis
would be advanced if researchers approached it more systematically, developing clear and testable propositions about the issue
they are studying, within explicit frameworks. Scholars have
proposed a number of different theoretical frameworks to help
researchers organize and focus their efforts to analyse the policymaking process. In the next section we look at some of these.
Approaches to health policy analysis:
frameworks and theories
Frameworks
There are a number of widely used frameworks and theories of
the public policy process.1 We discuss some of the more
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enduring examples; those which have been utilized most in the
published public policy literature (Gilson and Raphaely 2007).
Frameworks organize inquiry by identifying elements and
relationships among elements that need to be considered for
theory generation (Ostrom 2007). They do not, of themselves,
explain or predict behaviour and outcomes (Schlager 2007). The
best known public policy framework is the stages heuristic
(Lasswell 1956; Brewer and deLeon 1983). It divides the public
policy process into four stages: agenda setting, formulation,
implementation, and evaluation. Agenda setting is the issue
sorting stage during which a small number of the many
problems societies face rise to the attention of decision-makers.
In the formulation stage, legislatures and other decisionmaking bodies design and enact policies. In the implementation
stage, governments carry out these policies, and in the
evaluation stage impact is assessed. Analysts have criticized
the stages heuristic for presuming a linearity to the public
policy process that does not exist in reality, for postulating neat
demarcations between stages that are blurred in practice, and
for offering no propositions on causality (Sabatier 2007).
Nevertheless, the heuristic offers a useful and simple way of
thinking about the entire public policy process, and helps
researchers situate their research within a wider framework.
Walt and Gilson (1994) developed a policy analysis framework specifically for health, although its relevance extends
beyond this sector. They noted that health policy research
focused largely on the content of policy, neglecting actors,
context and processes. Their policy triangle framework is
grounded in a political economy perspective, and considers how
all four of these elements interact to shape policy-making. The
framework has influenced health policy research in a diverse
array of countries, and has been used to analyse a large number
of health issues, including mental health, health sector reform,
tuberculosis, reproductive health and antenatal syphilis control
(Gilson and Raphaely 2007).
As the number of actors involved in policy processes has
expanded, so has interest in network frameworks. Seen
largely as a tool for describing systems of interactions and
interconnectedness between groups of actors, network analysis
is a contested area, and there are many definitions of what a
network is (Thatcher 1998). Most agree, however, that networks are clusters of actors linked together, who may be closely
connected or loosely structured but are still capable of engaging
in collective action. Policy networks are clusters of actors with
interests in a given policy sector, and the capacity to help
determine policy success or failure (Marsh 1998). There are
many different ways of classifying networks. Marsh and
Rhodes (1992) treat policy networks as a generic term, with
policy communities at one end of a continuum and issue
networks at the other. Policy communities are tight-knit
networks with few participants who share basic values and
share resources. There may be a strong inner or dominant core
of actors, surrounded by a number of other, more peripheral
members, all of whom make up a policy community. An issue
network, on the other hand, brings together many different
groups and individuals for a common purpose or cause, and
may have little continuity in values or participation. Network
analysis reflects the phenomenon of shared decision-making
and exchange of resources to achieve their goals.
‘DOING’ HEALTH POLICY ANALYSIS
311
Box 1 Applying health policy analysis in a fast moving policy environment
Brugha et al. (2002, 2004) have conducted a number of studies on global health initiatives such as the GAVI Alliance and the
Global Fund to Fight AIDS, Tuberculosis and Malaria. Designed to gather and report the views of national-level stakeholders
at very early stages in their implementation, the studies were sensitive. For the Global Fund, in particular, the research was
perceived as premature, enabling country stakeholders to articulate criticisms, which it feared would have a deleterious affect
on the need to raise significantly greater funds globally. The Global Fund Secretariat in Geneva requested that the scope of
the study be widened to report its perspective, which was beyond the capacity and resources available to the researchers. In
both studies, under pressure from funding agencies, the researchers reported findings within 9 months. The researchers
resisted pressure from the Global Fund Secretariat to report interim findings to the Fund in late 2003, in advance of
reporting back to country stakeholders.
The policy environment was very fluid, and the researchers found they were tracking a moving target—one where the
Global Fund itself was responding to difficulties, changing guidelines, and proving to be a ‘learning organization’. Despite
what the researchers viewed as rapid feedback of findings, given the need for rigour, the study funders and the Global Fund
responded that the findings only confirmed what they had already learned through their own channels; and that these
findings were being superseded by events. The study also found that the donor landscape had become even more complex by
the time of the second phase of data collection (2004), because of the negotiation or establishment of other new HIV/AIDS
financing instruments at the country level, such as the World Bank Multicountry AIDS Program and the US President’s
Emergency Plan for AIDS Relief (PEPFAR). New sources of funds were being negotiated sequentially or in parallel, which
was distracting countries from implementation.
The dynamic nature of the policy environment made data collection and analysis difficult, and created sensitivities
between the global initiatives, research funders and the researchers. One lesson was that maintaining a balance between
independence and engagement with the entity being studied is difficult but key; building trust is essential if findings are to
be taken on board.
There is a debate among scholars as to whether the concept of
networks is merely descriptive, or whether it has explanatory
value, whether it is largely a Western concept, developed
by looking at policy-making in the US and UK, and whether it
has legitimacy for developing countries (Thatcher 1998). For
some the network approach is not really a new analytical
perspective, but signals rather a change in the policy environment and the political system. There are only a few empirical
studies in health in developing countries which use network
analysis as a lens (Schneider 2006; Tantivess and Walt 2008).
Theories
Explicit attention to theory development could benefit public
policy practice by deepening our understanding of causality,
and by bringing coherence to a fragmented body of knowledge.
This does not imply a positivist approach to analysis, but a
more thoughtful conceptualization of the policy process, that
goes beyond ‘telling the story’.
Influential theories of the public policy process include
multiple-streams (Kingdon 1984), punctuated-equilibrium
(Baumgartner and Jones 1993) and top-down and bottom-up
implementation (Sabatier 1999). Theories are more specific
than frameworks, and postulate precise relationships among
variables that can be tested or evaluated empirically. Kingdon
(1984), whose multiple-streams theory is concerned with
agenda setting, argues that the public policy process has a
random character, with problems, policies and politics flowing
along in independent streams. The problems stream contains
the broad problems and conditions facing societies, some of
which become identified as issues that require public attention.
The policy stream refers to the set of policy alternatives that
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researchers and others propose to address national problems.
This stream contains ideas and technical proposals on how
problems may be solved. Political transitions, national mood
and social pressure are among the constituent elements of the
politics stream. At particular junctures the streams merge, and
in their confluence windows of opportunity emerge and
governments decide to act.
Several health policy scholars have adapted ideas from
Kingdon’s theory to explain how particular health issues have
emerged on policy agendas. Reich (1995) identified additional
elements that fed into the politics stream—organizational,
symbolic, economic, scientific and politician politics—all of
which favoured child over adult health through the 1990s,
explaining the higher position of the former on the international health agenda. Ogden et al. (2003) also drew on
Kingdon’s ideas in their research on tuberculosis. They
demonstrated that the emergence of the HIV/AIDS epidemic
contributed to the opening of global policy windows, facilitating
advocacy networks to promote DOTS (directly observed
treatment, short-course) as a treatment of choice for
tuberculosis.
Baumgartner and Jones’ (1993) punctuated equilibrium
theory postulates that the policy-making process is characterized by periods of stability with minimal or incremental policy
change, disrupted by bursts of rapid transformation. Central to
their theory are the concepts of the policy image and the policy
venue. The policy image is the way in which a given problem
and set of solutions are conceptualized. One image may
predominate over a long period of time, but may be challenged
at particular moments as new understandings of the problem
and alternatives come to the fore. The policy venue is the set
of actors or institutions that make decisions concerning
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a particular set of issues. These actors may hold monopoly
power but will eventually face competition as new actors
with alternative policy images gain prominence. When a
particular policy venue and image hold sway over an extended
period of time, the policy process will be stable and
incremental. When new actors and images emerge, rapid
bursts of change are possible. Thus, the policy process is
constituted both by stability and change, rather than one or the
other alone
Shiffman et al. (2002) examined the emergence of global
political attention for the control of tuberculosis, malaria and
polio, finding that patterns conformed to punctuated rather
than rational or incremental models of the policy process.
Baumgartner and Jones themselves apply the theory to a health
concern. They show that little changed in US tobacco policy
in the first half of the 20th century, as the subject generated
little coverage in the US media, government supported
the industry through agricultural subsidies, and the product
was seen positively as an important engine for economic
growth. Beginning in the 1960s, however, health officials
mobilized, health warnings came to dominate media coverage,
and the industry was unable to counter a rapid shift in the
policy image that focused on the adverse effects of tobacco on
health.
Multiple implementation theories have been dominated by
a discourse as to whether decision-making is top-down or
bottom-up, or a synthesis of the two (Sabatier 1999). For
example, Dye (2001) argues that even in a democracy like the
United States, public policy is made from the top down, not
from the bottom up. In his view, public policy reflects the
values, interests and preferences of the governing elite. Dye
separates policy development from implementation, admitting
that bureaucrats may affect policy in implementation, but
suggesting that all decisions are monitored to ensure they are
not altered significantly. Lipsky (1980), on the other hand,
describes implementation of policy as highly influenced by
‘street level bureaucrats’—front-line staff who can change
policies significantly—and others have developed this approach
(e.g. Hjern and Porter 1981). Much of the literature focuses on
the gap or deficit between policy objectives and actual
implementation (Hill and Hupe 2002). Saetren (2005) reviewed
all implementation literature published and concluded that
while most of the studies focused on health and education,
they were predominantly of high income, Western countries.
There are a few notable exceptions (Kaler and Watkins 2001;
Kamuzora and Gilson 2007).
Researchers have also applied a range of social science theory
from outside of policy studies to health policy analysis, drawing
these from disciplines such as sociology, anthropology and
organizational management (Gilson and Raphaely 2007).
Murray (2007), for instance, in the example given in Box 2
draws on sociological theory concerning consumption to
understand the impact of private medical service financing
mechanisms on maternity care in Chile. Others have used social
construction theories to explore why public policies sometimes
fail in their objectives. Ingram et al. (2007), for example, focus
on how public policy-makers may construct target populations
positively or negatively, leading to unfair distribution of
resources that perpetuate health inequalities.
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Designing health policy studies:
methodology
Few health policy analyses on low and middle income countries
explicitly discuss research design, and the field would benefit
from more reflection on the range of approaches that could be
used, and their relative benefits. Most investigations are case
studies, whether or not researchers identify them as such
(Gilson and Raphaely 2007). Policy decisions often have their
roots in longer term processes and the choice of time frames for
research is an important factor. Temporal issues thus also affect
research design. Addressing these factors is an important aspect
of research design.
Research design: case studies
Case studies are in-depth investigations of a single instance of a
phenomenon in its real-life context (Yin 1994). They are to be
distinguished from other research designs, such as controlled
comparisons, formal modelling, quantitative analyses and
randomized-controlled experiments. A substantial body of
work offers guidance on case study methodology (Yin 1994;
Brady and Collier 2004; George and Bennett 2004; McKeown
2004; Yin 2004).
Case study methodologists argue that asking just a few basic
questions about the case can improve the value of the study
considerably. First, what is it a case of (George and Bennett
2004)? Is it, say, an example of health policy implementation
failure, of effective transfer of a health policy from one country
to another, of health policy network influence on agenda
setting, of the influence of political factors on health policy
evaluation? Sometimes cases may be clearly identifiable by the
researcher at the start of the study, sometimes they may be
constructed or re-constructed during the course of the research
as the analysis reveals their defining characteristics (Ragin and
Becker 1992). The process of clarifying ‘the case’ enables the
researcher to specify a body of knowledge to which he or she
may make a contribution. Second, why is this case a useful one
to study (George and Bennett 2004)? Does it offer the
possibility of comparing the explanatory value of alternative
theories? Is it an unusual example of policy effectiveness,
potentially offering insight into factors that facilitate policy
impact? It is consideration of these issues that help the
researcher to select the tools and theories that might frame a
study, and to determine which methods will be used.
A study on the global availability of praziquantel, a drug for the
tropical disease schistosomiasis, offers clear answers to both
questions (Reich and Govindaraj 1998). The researchers document how the discovery of this effective drug did not automatically result in it reaching the poor in developing countries.
They identify this as a case of the gap between drug development
and drug availability for the poor—an issue of concern for many
tropical disease pharmaceuticals—and highlight the usefulness of
this case in revealing the influence of political and economic
factors on this gap. Their careful case selection and classification
enable them to suggest a set of policy prescriptions on
surmounting the drug development–availability gap, recommendations that apply well beyond the case itself.
Another means of facilitating generalization is increasing the
number of cases. Doing so is not always easy, since
‘DOING’ HEALTH POLICY ANALYSIS
313
Box 2 Applying theory from the sociology of consumption in a longer term retrospective policy analysis to maternity care in
Chile in the 1980s and 1990s (Murray and Elston 2005; Murray 2007)
This study was initiated after the Chilean Minister for Women’s Health Services expressed concerns over rising national rates
of caesarean section delivery (37% of births in the mid-1990s), and a preliminary analysis of health fund statistics revealed
that caesarean section rates were twice as high in women who had private health insurance plans than in women who were
receiving delivery care financed through the National Health Fund (59%:28.8% in 1994; Murray and Serani 1997).
In order to understand this problem, the study examined healthcare financing decisions in the 1980s through to experience
of care up to the present. The analysis was informed by theory from the sociology of consumption. Healthcare services for
pregnancy were conceptualized as a complex good that is produced and consumed in a production/consumption ‘cycle’ (Edgell et al.
1996). The cycle has four dimensions: mode of provision, the conditions of access, the manner of delivery and the experience of
consumption. Implicit to such an approach is an emphasis on social processes situated in time and place. Data to inform the
analysis included documentation relating to national policy change, trends data from health services and insurance funds,
and interviews with policy-makers and administrators. In-depth interviews with health practitioners and service users
investigated patients’ and practitioners’ perspectives on the structure, process, delivery and consumption of maternity care. A
postnatal questionnaire and medical notes review provided quantifiable detail on medical care practices and on women’s
perceptions of them. In an approach similar to that employed in framework analysis (Pope et al. 2000), a series of general
and then increasingly more specific questions were elaborated, enabling testing of alternative explanations of phenomena.
The findings traced how neoliberal financial reforms initiated at the beginning of the 1980s under a military dictatorship
which aimed to reduce fiscal support for health care had led to the roll out of private health insurance organizations and new
patterns of organization of medical care. These ultimately resulted in changes in service delivery and the experience of
consumption (including the programming of births so that obstetricians could manage fragmented work schedules, and users
could avoid payment of unsocial hours fees) which led to high rates of caesarean delivery. Using the consumption cycle
framework helped to understand the interface between macro, meso and micro levels over time, and the relationship
between the policy and its healthcare outcomes.
investigating even a single case is a time and resource intensive
process that requires careful consideration of historical and
contextual influences. Comparative case studies may introduce
the further challenges of working across multiple languages
and cultures. It can also be difficult to find sufficient funds for
undertaking such research. Yet there are several strong
examples in the health policy field.
Lee et al. (1998) used matched country comparisons to
investigate factors influencing the development of strong national
family planning programmes. They conducted four country
comparisons: Bangladesh/Pakistan, Tunisia/Algeria, Zimbabwe/
Zambia and Thailand/Philippines. Each pair was matched on
socio-economic characteristics, but differed on the strength of the
family planning programme. The comparisons enabled the
researchers to point to three factors that shaped the development
of effective programmes: the formation of coalitions among policy
elites, the spread of policy risk, and the country’s financial and
institutional stability. Walt et al. (1999) considered individual
cases of donor aid coordination in the aid-dependent countries of
Bangladesh, Cambodia, Mozambique, South Africa and Zambia to
develop generalizations concerning the origins and effectiveness
of aid coordination mechanisms. Shiffman (2007) explored
agenda-setting for maternal mortality reduction in five countries:
Guatemala, Honduras, India, Indonesia and Nigeria. He identified
nine factors that shaped the degree to which this issue emerged as
a political priority. He found that while international donors
played a role, even more critical were efforts by national
champions.
Collectively, these different examples highlight the value of
cross-country comparative study approaches, where comparisons
between similar (and different) country contexts can help
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disentangle generalizable from country context-specific effects
in policy adaptation, evolution and implementation. Comparisons
can be incorporated into study design, ad-hoc, as in the case of Lee
et al. (1998) above; researchers can select as case studies several
countries with a shared feature (Brugha et al. 2005), see Box 1; or
comparison can be made post-hoc, as in the case of Walt et al.
(1999). Clearly, multi-country studies are more time and resource
intensive.
Research design: temporal issues
The extent to which policy analyses are focused on contemporary
policy, or are retrospective and take a longer view of policy
development, will have implications for methods and for the
questions that are asked. Short horizon approaches are sometimes
appropriate and necessary for responsiveness in some fast moving
political circumstances; for example, work on the global health
funds that was conducted early in their implementation (see
Box 1). Concurrent or ‘prospective’ analysis of policy processes
may be utilized in order to support and manage policy change, and
this approach is explored in some detail in a companion paper
(Buse 2008, this issue). Stakeholder analyses that focus on
position, power, players and perception (Roberts et al. 2004) are
often central to this type of work.
Policy evaluation requires a longer timeframe than political
exigencies often allow. Sabatier suggests that ‘a decade or more’ is
the minimum duration of most policy cycles, from emergence of
the problem through sufficient experience with implementation
to render a ‘reasonably fair evaluation’ of impact (Sabatier 2007,
p. 3). A long span of study of the policy process may well be needed
314
HEALTH POLICY AND PLANNING
to identify unintended and unexpected consequences of policy.
For example, a study may be triggered by concern over a
controversial health care outcome, or an observed inequity of
delivery or access, and not by a particular ‘policy event’ itself.
Longer-term analysis or ‘backward working’ from a trigger
statistic or social phenomenon may be necessary to reconstruct
a policy implementation trajectory. This will entail mapping out
its social and historical context, and how the policy unfolded over
time in order to understand its eventual impact.
Such longer-term retrospective studies throw up particular
challenges for data collection and analysis, including recall bias.
In the case outlined in Box 2, the legislation introducing private
health insurance structure to Chile was passed in 1981, the
primary data collection interviews with practitioners and users
took place 14 to 16 years later and trends analysis continued for
some years after that. There is no simple way of knowing when
is the ‘best’ time to initiate such work. In this particular case
the impetus was a concern over rising caesarean section rates
within the Ministry of Health, which in turn had been
influenced by international debates. Multiple corroborative
sources of different kinds (qualitative and quantitative)
become particularly important, including different generational
perspectives from interviews.
Positionality and health policy analysis
One of the issues facing health policy analysts is how they are
viewed or ‘situated’ as researchers, their institutional base,
perceived legitimacy, and prior involvement in policy communities. This is critical to their ability to access the policy
environment and conduct meaningful research, especially in
policy analyses that require engaging with policy elites
(Shiffman 2007), and when investigating sensitive issues of
‘high politics’ (Box 1). Yet in contrast to other disciplines in the
social sciences (e.g. Lincoln 1995; Rose 1997), the policy
analysis literature seldom explicitly discusses researcher ‘positionality’ and its possible impact on the research process.
With respect to positionality, the classic distinction often
made is between ‘insiders’ and ‘outsiders’, where insiders may
be both participants and researchers (participant-observers) of
the policy process, or alternatively, country-based rather than
foreign researchers. Class, caste, gender, age, ethnicity and
profession may also be highly relevant to insider/outsider status
in some health policy research contexts. In seeking to unravel
complex policy dynamics, insiders may see things quite
differently to outsiders, with implications for the data collected
and the interpretation of research findings. As explained by
Merriam et al. (2001, p. 411), ‘. . . being an insider means easy
access, the ability to ask more meaningful questions and read
non-verbal cues, and most importantly, to be able to project a
more truthful, authentic understanding of the culture under
study. On the other hand, insiders have been accused of being
inherently biased . . . the outsider’s advantage lies in curiosity
with the unfamiliar, the ability to ask taboo questions, and
being seen as non-aligned with sub-groups.’ In the study cited
in Box 2, an ‘outsider’ interviewer was found to be particularly
useful for persuading the interviewees to give fuller explanations than they might otherwise have felt necessary.
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Policy research teams that combine both insiders and outsiders
and that engage all team members in active discussions of
findings during data collection and analysis may therefore yield
the richest and most comprehensive understanding of the policy
process (as proposed by Buse 2008, this issue). However,
implementation of such a model is not easy. While policy research
designs may recognize the value of this team approach, the reality
is that policy analysis is only emerging and has yet to establish its
legitimacy as a field within developing countries, ‘insider’ policy
researchers are hard to recruit and ‘outsider’ researchers may be
expensive and time-constrained.
Researcher positionality has implications not only for access to
data but also for knowledge construction. Research may be based
on externally imposed categories and constructs. Parkhurst
(2002), for example, argues that explanations of the decline in
HIV prevalence in Uganda were driven at first by the need to hold
up a success story on HIV in Africa, leading to an overly simplified
analysis of both the extent and the ingredients of this success by
UN and donor agencies. Short timeframe policy research initiated
in response to external political imperatives runs a real risk of
superficial and decontextualized analyses of the policy process
that reveal only part of the picture.
‘Position’ can influence the issues that researchers focus on and
therefore the research agendas created and the research questions asked. Scholars have noted that positionality is tied to
questions of power and resistance, and in the context of health
policy research the North/South dynamics need to be acknowledged. Tensions can occur between northern researchers who
have the funds, and southern researchers who have insider
knowledge and understanding. As Staeheli and Lawson (1995,
p. 332) point out, ‘. . . researchers cannot escape the power
relations even when they wish to do so. Western researchers are
in a position of power by virtue of being able to name the
categories, control information about the research agenda, define
interventions and come and go as research scientists.’
National policy researchers, for their part, tend to be invested in
their policy environments in some way, even if they operate from
an independent research base or are not involved in the specific
policy process under investigation. Researchers linked to particular policy environments will naturally be inclined to focus on
specific and contemporary features of the particular policy space,
rather than more universal themes that cut across policy or
country contexts. They may also be more concerned with developing policy relevant conclusions than new theoretical or methodological understanding. Over time, such researchers will
typically move in and out of various policy networks: sometimes
directly implicated in policy communities, other times more
loosely as part of issue networks or epistemic communities (Haas
1992) that provide public commentary on policy developments.
Increasingly, funders are mandating researchers to engage in
research translation, forcing them to become policy actors. Being
an interested actor may have both advantages and disadvantages
for generating new policy knowledge. Maintaining a degree of
legitimacy amongst a wide range of actors may be crucial to the
ability to conduct future research. In highly contested policy
spaces this may involve complicated balancing acts that limit the
ability to ask certain questions. The intense polarization that has
characterized HIV/AIDS in South Africa is one such example
(Fassin and Schneider 2003). Or where researchers take strong
‘DOING’ HEALTH POLICY ANALYSIS
activist stands, they may become ideologically positioned in ways
that may both open and close doors in the research process
(Narayan 2007).
Conclusions: advancing health policy
analysis
Schlager (1997, p. 14) observed that the field of policy studies is
characterized by ‘mountain islands of theoretical structure,
intermingled with and occasionally attached together by foothills of shared methods and concepts, and empirical work, all of
which is surrounded by oceans of descriptive work not attached
to any mountain of theory’ (cited in Sabatier 2007, p. 323). We
think this statement accurately characterizes the field of health
policy analysis as well. Through this discussion of theory,
methodology and positionality in health policy analysis, it is
clear that there are a number of ways research in this field
could be strengthened:
On theory
(1) More critical application of existing frameworks and
theories of the public policy process to guide and
inform health policy inquiry, while recognizing the need
and potential to contribute to theory development as a
goal of health policy analysis, with consequent benefits
for practice.
(2) Greater use of social science theories (for example,
of organizations or street level bureaucrats) that come
from outside of policy studies to inform health policy
analysis.
On positionality
(9) Greater reflexivity on the part of researchers, that involves
an analysis of their own institutional power, resources
and positions (in much the same way they would analyse
actors in the policy process) and their role in defining
research agendas and generating knowledge (rather
than assuming themselves to be ‘objective’ and
‘independent’).
(10) Greater attention to policy research team composition and
roles, including insiders and outsiders, which can relate to
nationality but also to multiple roles. Researcher positionality may need to be negotiated and also reflected upon,
considering how it may influence data collection and
interpretation.
(11) Long-term approaches to building policy analytic capacity.
This would include acknowledging and providing space
for different policy research agendas arising from different researcher positionalities, and building a critical mass
of policy analytic capacity to enable this.
In conclusion, we argue that if those who conduct, teach,
commission, fund or publish public health policy research take
on board some of these points, there will be a significant
improvement in research approaches to health policy analysis,
especially in relation to low and middle income country
settings. If applied, these recommendations will also provide
lessons on the evolution of policy implementation successes and
failures as well as tools to assist policy-makers in evaluating
and planning current and future policies.
Endnote
1
On methodology
(3) Making research design an explicit concern in all health
policy analyses, and identifying and justifying the type of
design in published articles.
(4) Drawing on the growing body of work on case study
research methods in order to enhance the quality of case
study inquiry in the field.
(5) Clearly identifying the type of ‘case’ and the unit of analysis,
and considering the need for multiple cases and
comparators.
(6) Making assumptions and propositions explicit, logical and
interrelated, and open to being tested empirically, so as to
explain general sets of phenomena.
(7) Making the case to funding agencies to support more
comparative work in health policy analysis in order to
expand the generalizability of results and develop greater
certainty concerning causality. This case will be strengthened by the willingness of researchers to collaborate
across institutions, countries and regions.
(8) Exploring other approaches to synthesis (e.g. through
large sample studies which employ quantitative and
qualitative methods) as well as retrospective studies
which draw on research from different disciplines in
one policy domain or set of countries.
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315
In addition to those discussed here, other frameworks and theories
widely used in public policy analysis include institutional rational
choice and advocacy coalitions among others. However, few
examples of these have been applied in the health policy literature
referring to low and middle income countries. For an overview of
frameworks and theories of the public policy process, see the
edited volume by Sabatier (2007).
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