assignment of policy notes

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How to Write a Policy Assignment

What is a policy assignment, policy critique.

• Policy Brief/Briefing Note

Reading and Analyzing Policy

Writing policy assignments, research and writing process.

Understanding, evaluating, and writing policy documents are important competencies to develop as undergraduate students in a wide range of fields, spanning from Health Care to Environmental Science to Education. Policy is informed by strong research and accurate evidence, often compiled and presented by government and non-governmental organizations. Public policies include formal legislation, official plans, and regulations created by various levels of government. Each of these can act as guiding principles for governmental decision making and program delivery. Non-governmental and para-governmental organizations publish policy briefs, commission reports, and fact sheets to inform policy makers and recommend policy change.

Course instructors often ask students to analyze policy documents to better understand issues and policy alternatives, and students in many disciplines must write policy documents, including critiques and briefs or briefing notes. This guide offers steps to reading policy and keys for effective policy writing.

Types of Policy Assignments

In a policy critique, students are expected to read and critically analyze one or more policy documents that address a common issue. The goal of this assignment is to present an overall assessment of current or proposed policies and their efficacy or potential considering both scholarly theory and real-world, practical application with consideration of environmental, social, or economic contexts.

Proposed structure

• Issue: what is the policy in question?
• Background: where did it emerge? What problem does it try to address?
• Application: so far, based on evidence, how effective has it been?
• Limits: what are limits with the policy? How has it been adapted? What questions remain?
• Evaluation/potential: based on concepts and theories from course materials, what is the potential for this policy to address particular issue/problem?

Policy Brief (Briefing Note)

Policy briefs or briefing notes are documents written by governmental and non-governmental organizations to propose evidence-based policy solutions to a well-defined social, environmental, or economic issue. Briefs present findings from academic and grey literature to demonstrate the scope of an issue and to analyze its context and background. The brief is organized with clear headings and short sections, which are supported by figures or tables.

• Executive Summary: similar to an abstract, briefly explains the goal, findings, and recommendations. Although it is placed first in the document, it is written last.
• Issue Definition: identify and explain the key issue and its scope and significance.
• Policy Background: synthesize evidence to explain the context of the issue – its origins, key stakeholders, overlapping issues, and potential barriers – and any existing policy.
• Best Practices: describe relevant policies from other jurisdictions and introduce specific examples of policy and best practices that reinforce the argument your briefing note presents.
• Policy Options: synthesize your research to present a few policy options; for each option, describe the approach and present advantages, challenges, and potential barriers. Present one policy recommendation from these options.
• References: divide references into sections (e.g., academic sources, grey literature, policy documents etc.)

Each policy document is focused on a specific issue and establishes particular goals; when you read any policy document, you are working to understand and analyze the issue and how the policy addresses the issue. These messages are often presented in different ways. Policy briefs are, well, brief, but other policy documents or commissioned reports can be quite lengthy, so it is important to develop a reading strategy for each new document. Generally, it is best to follow this process: preview, plan, read and take notes, and assess within course context.

Because policy documents vary significantly in form and purpose, it is essential to preview the document prior to reading it: identify its author, its purpose, and its form. Take time to read the executive summary, which presents a short explanation of the issue and purpose of the document. Understand its authorship and the interests of the individual or organizational author.

Make a plan

Identify your goal in reading the document: do you wish to better understand the issue, to identify policy alternatives, to appreciate broader context, or to determine efficacy of policy? How will this document inform your understanding of the issue you are studying? What sections will be most useful or relevant?

Read and take notes

Your preview and plan can direct your reading and notetaking. Read closely to understand the policy or issue, its context, and the evidence used to support it. Identify stakeholders and their interests, the goals of the policy and how those goals are measurable and actionable. You may find it helpful to refer to the table of contents or index (or to use the ‘find’ tool in your browser) to seek out sections that contain relevant keywords in documents spanning more than 100 pages.

Assess policy within course context

Refer to theories, frameworks, and indices that you have discussed in class to assess a policy. Consider whether it follows a particular conceptual framework or achieves particular numerical targets. Compare it to other policies in similar contexts and analyze its parts to assess its adaptability to different contexts. Evaluate its fit to the specific issue and its relevance for various stakeholder needs or values.

Reading an Official Plan

An official plan is often a lengthy document that covers many topics and issues within a set of overarching goals for an organization, like a university, hospital, or municipality. Your aim should be to understand the overarching goals of the plan and its broader context, which are likely laid out in the executive summary and introductory sections. Then you may need to seek out references to a particular topic, issue, or stakeholder; the index, table of contents, or “find” tool can be helpful for this.

Reading a Policy Brief

The goal of a policy brief is to inform and persuade policy makers, so your aim should be to understand the issue the brief identifies and to analyze the policy it proposes. The structure and design of the policy brief will guide your reading. Take time to understand the context of the issue and the policy: who are the stakeholders, what are the goals, what is the process, and what are the barriers? Analyze the policy within the disciplinary concepts you’re learning in class; how does the policy fit particular frameworks, theories, or indices you’ve discussed? What is unique about this policy? How can this policy be adapted to different contexts? What is its potential to address the issue?

Successful policy assignments are focused, well-researched, analytical, organized, and concise. Therefore, it is important to take time to define the issue, understand the context of the issue, and seek out policy alternatives prior to identifying a recommended course of action.

• Focused Issue
• Using Research
• Demonstrating Analysis
• Organized, Concise, and Clear Writing

Focused issue

It is essential that you present a focused and clear issue, and that issue must be at the scale of policy action. For example, policy briefs can address ER wait times or agricultural pesticide use, but issues such as access to health care or the sustainability of food production are too complex for you to address in a short policy assignment. Often, course material and core concepts provide useful direction for you to narrow your issue.

In policy assignments, an issue is clearly defined and contextualized with evidence from scholarly and grey literature. It is important for you to explain how scholars, governments, or NGOs have discussed the issue, and numerical data or figures can demonstrate the scale of an issue or its projected trajectory. Provide details about the issue in its context: be specific about place, time, and stakeholders, and acknowledge any overlapping economic, environmental, or social issues.

Example: Effective issue definition 1

Age-friendly municipalities foster solidarity among generations within communities and reach out to older people at risk of isolation by making them feel socially included and involved (WHO, 2007). It is well documented that these trends are happening across Canada, and evidence suggests that local governments have a key role in enabling older people to live longer. It is unclear to what degree Aurora’s municipal government is prepared to support its expanding ageing population. It is essential to continue to examine new approaches to housing and transportation infrastructure within Aurora in order to improve public policy matters in regards to their ageing population.

• Issue is grounded by focused concept and evidence; writer demonstrates value of municipal policy to address the issue
• Writer precisely identifies the issue to be discussed in brief and the goals of the report

Example: Ineffective issue definition 1

In addition to the infrastructure issue in Peterborough, there is also an issue regarding how spread out the community is. The city is too big for residents to be able to walk the entire city. Amenities are also very spread out; it is unlikely that pedestrians would be able to access the required amenities within walking distance from their house. Ultimately, the main issues surrounding the walkability in the City of Peterborough are the lack of infrastructure and maintenance, as well as the lack of available activities near to peoples’ residences.

• Not grounded in conceptual framework or theory; writer needs to explain why walkability is an issue that a municipality should address
• Lack of precision or evidence to support claims about the size of the city or accessibility to amenities

Using research

Policy is informed by evidence from scholarly literature, government data, and research by various stakeholder organizations. Effective policy assignments synthesize evidence from academic and grey literature to create an accurate account of the issue and policy options. Common forms of evidence in policy writing include numerical and financial data, figures such as graphs and maps, excerpts from existing policies, recommendations from NGOs, and conceptual frameworks.

In policy writing, your goal is to present research both accurately and accessibly, as decision-makers in government and business may not be familiar with terminology or concepts presented by scholars. Make efforts to paraphrase the evidence you use and be sure to include citations in the form requested by your professor (footnotes or author-date systems are common).

One of the key factors in Municipal Cultural Planning is increasing cross-sectoral strategies by building new partnerships “…between the municipality and its community and business partners” (Municipal Cultural Plan, toolkit, 2011, p.21) for long term sustainability. Therefore, municipal cultural planning “…does not look at policy sectorally” (Gollmitzer, 2008, p.18), but instead strengthens and integrates “…cultural resources across all facets of government planning and decision making” (Municipal Cultural Plan Toolkit, 2011, p.21). Building new networks are supported by leveraging the sense of place within a community. Adopting a place-based planning approach allows “…government, community organizations and citizens to explore, measure and asses the values, resources and assets of the community” (Huhtala, 2016, p.66), in order to leverage them for economic prosperity.

• Writer synthesizes academic and grey literature to demonstrate how concepts are applied in policy.
• Writer also demonstrates analysis of evidence and its relevance to the brief’s focused issue.
• Use of direct quotation can feature the language of a policy if the writer wishes to analyze discourse; however, this excerpt relies too heavily on direct quotation, and it would be stronger if this evidence was paraphrased.

Demonstrating analysis

The quality of your policy assignment is closely tied to your analysis of the issue and the policy options you present. It is important to evaluate policy options as you research and to critically analyze how those options address the issue within its particular context. Take time to examine specific factors and parties involved in an issue and consider how these factors may facilitate or challenge each policy option; furthermore, you should also assess the advantages and disadvantages of each policy option and its impacts on these factors or parties.

You may find it valuable to consider theories, concepts, or frameworks from your course to develop your argument and to establish coherence throughout your assignment. If you assess all policy options through the same critical lens or theory, then your message will be clear and consistent throughout your document.

Integrating senior housing into the fabric of the inner core communities could make housing developments viable and situate seniors in settings where they can access these services by foot or nearby transit (Fang, 2013).  This concept can allow seniors, who may be considering downsizing, to remain within their community where they can keep active, live within easy access to medical and community services, and stay close to their support network that they have spent their lives establishing. However, the growing demand for these developments could put major pressure on the municipality.  City officials would have to amend current zoning by-laws to allow commercial and residential uses to be a part of mixed-use development and appropriate provisions need to be provided to ensure compatibility and to minimize potential negative impacts. 

• Writer presents both advantages and challenges of policy option within common concept of healthy aging communities.
• Writer also includes potential impacts and barriers of policy option, which demonstrates their consideration of the issue and its context.

Organized, concise, and clear writing

Policy writing should be well-organized and easy to follow. Use headings and subheadings to create structure and to support your reader. It is common to number sections and subsections to further clarify the order of your ideas. In addition, good paragraph structure also supports organization and clarity, so we encourage you to use specific topic sentences to introduce the main idea of a paragraph.

Well-written policy assignments employ a formal writing style and use third-person voice (e.g., they) rather than first-person (e.g., I, we) or second-person (e.g., you) voice. Further, they avoid jargon, but use specific and clear language. When you revise your draft, take time to consider each sentence and remove repetitive or redundant phrases and words.

Finally, it is important to pay attention to the details. Label any figures or tables in your document; make reference to these figures or tables in the text of your work (e.g., see Figure 1). Also be sure to follow assignment instructions for referencing evidence in your text (e.g., footnotes or author-date system) and in your list of sources, which is often categorized by type of source (e.g., academic, government, NGOs).

There are many ways to approach a policy assignment, but it is important to take time to research and analyze issues and policy options thoroughly prior to writing. Consider the following steps to complete your policy assignment:

• Read assignment instructions closely
• Preliminary research: review course materials, brainstorm, conduct environmental scan or site visit, consider current issues relevant to course concepts
• Define issue: consider questions and frameworks
• Research issue and context
• Research and evaluate policy alternatives in other places
• Analyze policy alternatives and consider fit for current issue and context; select policy options to present
• Outline sections: what evidence goes where? How does evidence work together?
• Write sections (leave Executive Summary until last)
• Revise for organization, analysis, and use of evidence. See Strategies for Revision and Proofreading.
• Edit for clarity, concision, and grammar
• Complete final proof of document
• These examples are not to be reproduced in whole or part. Use of the ideas or words in this example is an act of plagiarism, which is subject to academic integrity policy at Trent University and other academic institutions.

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• Writing & Citing

Q. I'm writing a policy brief. Where can I find examples?

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Answered By: APUS Librarians Last Updated: Sep 15, 2022     Views: 31417

• Writing effective reports : Preparing policy briefs . This document has lots of examples of briefs and describes the format and contents.
• Policy Brief - The Writing Center at UNC. This link Includes specifics on formatting.
• Harvard Kennedy School. Policy Briefs .
• RAND Corporation. Research Briefs .
• OECD Policy Briefs
• Rasmussen Library FAQ: What is a briefing paper and how do I write one?
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A policy memo is a practical, professionally written document that can vary in length from one page to over twenty-five pages. It provides analysis and recommendations directed to a predetermined audience regarding a specific situation, topic, or issue. A well-written policy memo reflects attention to the policy problem. It is well organized and structured in a clear and concise style that assumes the reader possesses limited knowledge of, as well as little time to conduct research about, the topic of concern. There is no thesis statement or overall theoretical framework underpinning the document; the focus is on describing one or more specific policy recommendations and their supporting action items.

Bhasin, Tavishi and Charity Butcher. “Teaching Effective Policy Memo Writing and Infographics in a Policy Programme.” European Political Science 21 (2022): 1-17; Davis, Jennifer. Guide to Writing Effective Policy Memos. MIT OpenCourseWare, Water and Sanitation Infrastructure Planning in Developing Countries, Spring 2004; Judge, Andrew. "Designing and Implementing Policy Writing Assessments: A Practical Guide." Teaching Public Administration 39 (2021): 351-368; Pennock, Andrew. “The Case for Using Policy Writing in Undergraduate Political Science Courses.” PS: Political Science and Politics 44 (January 2011): 141-146.

How to Approach Writing a Policy Memo

Benefits of Writing a Policy Memo

Writing a policy memo is intended to support the following learning outcomes:

• Helps students learn how to write academically rigorous, persuasive papers about a specific “real-world” issue;
• Teaches how to choose and craft a document’s content based on the needs of a particular audience [rather than for a general readership];
• Prepares students to write an effective position paper in non-academic settings;
• Promotes researching, organizing, and writing a persuasive paper that emphasizes presenting evidence-based recommendations rather than simply reporting a study's findings;
• Teaches students to be client-oriented and to better anticipate the assumptions and concerns of their targeted readership;
• Encourages reflective thinking about the cause and consequential effect of a particular recommendation and to anticipate what questions stakeholder groups may have; and,
• Enables students to create original work that synthesizes policy-making research into a clearly written document advocating change and specific courses of action.

Do not approach writing a policy memo in the same way as you would an academic research paper . Yes, there are certain commonalities in how the content is presented [e.g., a well-written problem statement], but the overarching objective of a policy memo is not to discover or create new knowledge. It is focused on providing to a predetermined group of readers the rationale for choosing a particular policy alternative and/or specific courses of action leading to positive social and political change within society. In this sense, most policy memos possess a component of advocacy and advice intended to promote evidence-based dialog about an issue.

Essential Elements of an Effective Policy Memo Focus and Objectives The overall content of your memo should be strategically aimed at achieving the following goal: convincing your target audience about the accuracy of your analysis and, by extension, that your policy recommendations are valid. Avoid lengthy digressions and superfluous narration that can distract the reader from understanding the policy problem. Note that your target audience is defined in two ways: by the decision-makers who can advocate for or implement change and by individuals and groups most likely impacted by your policy recommendations should they be implemented. Professionally Written Always keep in mind that a policy memorandum is a tool for decision-making. Keep it professional and avoid hyperbole and clever or indeterminate language that could undermine the credibility of your document. The presentation and content of the memo should be polished, easy to understand, and free of jargon. Writing professionally does not imply that you can’t be passionate about your topic, but your policy recommendations should be evidence-based and grounded in solid reasoning and a succinct writing style. Evidence-based A policy memo is not an argumentative debate paper. The reader should expect your recommendations to be based upon evidence that the problem exists and understand the consequences [both good and bad] of adopting particular policy alternatives. To address this, policy memos should include a clear cost-benefit analysis that considers anticipated outcomes, the potential impact on stakeholder groups you have identified, clear and quantifiable performance goals, and how success will be measured. Accessibility A policy memo requires clear and simple language that avoids unnecessary jargon and concepts of an academic discipline. Do not skip around. Use one paragraph to develop one idea or argument and make that idea or argument explicit within the first one or two sentences. Your memo should have a straightforward, explicit organizational structure that provides well-explained arguments arranged within a logical sequence of reasoning [think in terms of an if/then logic model--if this policy recommendation, then this action; if this benefit, then this potential cost; if this group is allocated resources, then this group may be excluded]. Presentation Style The visual impact of your memo affects the reader’s ability to grasp your ideas quickly and easily. Include a table of contents and list of figures and charts, if necessary. Subdivide the text using clear and descriptive headings to guide the reader. Incorporate devices such as capitalization, bold text, and bulleted items, but be consistent, and don’t go crazy; the purpose is to facilitate access to specific sections of the paper for successive readings. If it is difficult to find information in your document, policy makers will not use it. Practical and Feasible Your memorandum should provide a set of actions based on what is actually happening in reality. Do not base your policy recommendations on future scenarios or hypothetical situations that could be interpreted as unlikely to occur or that do not appear possible because you have not adequately explained the circumstances supporting these scenarios. Here again, your cost-benefit analysis can be essential to validating the practicality and feasibility of your recommendations. Explicit Transparency Provide specific criteria to assess either the success or failure of the policies you are recommending. As much as possible, this criteria should be derived from your cost/benefit analysis or framed as a SWOT [Strengths-weaknesses, opportunities-threats]. Do not hide or under-report information that does not support your policy recommendations. Just as you would note the limitations of your study in a research paper, a policy memo should describe issues of weakness of your analysis. Explain why they may arise and why your recommendations are still valid despite these issues. Be open and straightforward because doing so strengthens your arguments and it will help the reader assess the overall impact of recommended policy changes.

NOTE: Technically, it would not be wrong for your policy memo to argue for maintaining the status quo. However, the general objective of a policy memo assignment is to critically examine opportunities for transformative change and to highlight the risks of on-going complacency. If you choose to argue for maintaining the current policy trajectory, in whole or in part, be concise in identifying and systematically refuting all relevant policy options. Again, it must be rooted in an evidence-based cost/benefit analysis. Whether maintaining current policies is short-term or long-term [and these need to be clearly defined], you must explain concisely why each possible outcome of maintaining the status quo would be preferable to any alternative policy options and recommended courses of action. If your argument for maintaining the status quo is short-term, explain what factors in the future could trigger a policy-related course correction.

Herman, Luciana. Policy Memos. John F. Kennedy School of Government. Harvard University; How to Write a Public Policy Memo. Student Learning Center. University of California, Berkeley; Policy Memo. Thompson Writing Program, Writing Studio. Duke University; Policy Memo Guidelines. Cornell Fellows Program. Cornell University; Memo: Audience and Purpose. The Writing Lab and The OWL. Purdue University; Policy Memo Requirements and Guidelines, 2012-2013 edition. Institute for Public Policy Studies. University of Denver; Thrall, A. Trevor. How to Write a Policy Memo. University of Michigan--Dearborn, 2006; Mastro, Oriana Skylar. "Teach What you Preach: A Comprehensive Guide to the Policy Memo as a Methods Teaching Tool." Journal of Political Science Education 17 (2021): 326-340; Writing Effective Memos. Electronic Hallway. Daniel J. Evans School of Public Affairs. University of Washington; Writing Effective Policy Memos. Water & Sanitation Infrastructure Planning syllabus. Spring 2004. Massachusetts Institute of Technology.

Structure and Writing Style

The contents of a policy memo can be organized in a variety of ways. Below is a general template adapted from the “Policy Memo Requirements and Guidelines, 2012-2013 edition” published by the Institute for Public Policy Studies at the University of Denver and from suggestions made in the book, A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem-Solving [Eugene Bardach. 4th edition. Thousand Oaks, CA: Sage, 2012] . Both sources provide useful approaches to writing a policy memo in the event your professor does not provide specific guidance. Overall, the tone of your writing should be formal but assertive. Note that the most important consideration in terms of writing style is professionalism, not creativity. I.  Cover Page Provide a complete and informative cover page that includes the document title, date, the full names and titles of the writer or writers [i.e., Joe Smith, Student, Department of Political Science, University of Southern California]. The title of the policy memo should be formally written and specific to the policy issue [e.g., “Charter Schools, Fair Housing, and Legal Standards: A Call for Equal Treatment”]. For longer memos, consider including a brief executive summary that highlights key findings and recommendations.

II.  Introduction and Problem Definition A policy memorandum should begin with a short summary introduction that defines the policy problem, provides important contextual background information, and explains what issues are being covered. This is followed by a short justification for writing the memo, why a decision needs to be made [answering the “So What?” question], and an outline of the recommendations you make or key themes the reader should keep in mind. Summarize your main points in a few sentences, then conclude with a description of how the remainder of the memo is organized.

III.  Methods This is usually where other research about the problem or issue of concern is summarized. Describe how you plan to identify and locate the information on which your policy memo is based. This may include peer-reviewed journals and books as well as possible professionals you interviewed, databases and websites you explored, or legislative histories or relevant case law that you used. Remember this is not intended to be a thorough literature review; only choose sources that persuasively support your position or that help lay a foundation for understanding why actions need to be taken.

IV.  Issue Analysis This section is where you explain in detail how you examined the issue and, by so doing, persuade the reader of the appropriateness of your analysis. This is followed by a description of how your analysis contributes to the current policy debate. It is important to demonstrate that the policy issue may be more complex than a basic pro versus con debate. Very few public policy debates can be reduced to this type of rhetorical dichotomy. Be sure your analysis is thorough and takes into account all factors that may influence possible strategies that could advance a recommended set of solutions.

V.  Proposed Solutions Write a brief review of the specific solutions you evaluated, noting the criteria by which you examined and compared different proposed policy alternatives. Identify the stakeholders impacted by the proposed solutions and describe in what ways they will benefit from your proposed solution. Focus on identifying solutions that have not been proposed or tested elsewhere. Offer a contrarian viewpoint that challenges the reader to take into account a new perspective on the research problem. Note that you can propose solutions that may be considered radical or unorthodox, but they must be realistic and politically feasible.

VI.  Strategic Recommendations Solutions are just opinions until you provide a path that delineates how to get from where you are to where you want to go. Describe what you believe are the best recommended courses of action [i.e., "action items"]. In writing this section, state the broad approach to be taken, with specific, practical steps or measures that should be implemented. Be sure to also state by whom and within what time frame these actions should be taken. Conclude by highlighting the consequences of maintaining the status quo [or if supporting the status quo, why change at this time would be detrimental]. Also, clearly explain why your strategic recommendations are best suited for addressing the current policy situation.

VI.  Limitations As in any academic paper, you must describe limitations to your analysis. In particular, ask yourself if each of your recommendations are realistic, feasible, and sustainable, and in particular, that they can be implemented within the current bureaucratic, economic, political, cultural, social, or other type of contextual climate in which they reside. If not, you should go back and clarify your recommendations and provide further evidence as to why the recommendation is most appropriate for addressing the issue. It does not necessarily undermine the overall recommendations of your study if the limitation cannot be overcome, but you must clearly acknowledge this. Place the limitation within the context of a critical issue that needs further study in concurrence with possible implementation [i.e., findings indicate service learning promotes civic engagement, but there is a lack of data on the types of service learning programs that exist among high schools in South Central Los Angeles].

VII.  Cost-Benefit Analysis This section may be optional but, in some cases, your professor may ask you to include an explicit summary analysis of the costs and benefits of each recommendation. If you are asked to include a separate cost-benefit analysis, be concise and brief. Since most policy memos do not have a formal conclusion, the cost-benefit analysis can act as your conclusion by summarizing the key differences among policy alternatives and recommended courses of action.

NOTE:   A feature found in many policy memos is the inclusion of text boxes or sidebars that are separate from the main body of text. A text box contains a useful checklist, case study, summary, example, quotation, definition, or expansion of an idea that is located close to the text it supports. A sidebar is a type of exclamation located beside or within the main content that brings further attention to a key point or is used to encourage the reader to pay particular attention to that section of the memo. A sidebar often contains a quotation or brief statement lifted from the main text. Both features are appropriate to use in your policy memo, but don't overdo it. Limit the use of a text box or sidebar to only the most essential text that expands or adds value to understanding content in a specific section of the policy memo, in particular, in the issue analysis section or when describing your strategic recommendations.

Bardach, Eugene. A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem-Solving . 4th edition. Thousand Oaks, CA: Sage, 2012; Herman, Luciana. Policy Memos. John F. Kennedy School of Government. Harvard University; How to Write a Public Policy Memo. Student Learning Center. University of California, Berkeley; Policy Memo Guidelines. Cornell Fellows Program. Cornell University; Memo: Audience and Purpose. The Writing Lab and The OWL. Purdue University; Pennock, Andrew. “The Case for Using Policy Writing in Undergraduate Political Science Courses.” PS: Political Science and Politics 44 (January 2011): 141-146; Policy Memo Requirements and Guidelines, 2012-2013 edition. Institute for Public Policy Studies. University of Denver; Text Boxes and Callouts. Australian Government Style Manual; Thrall, A. Trevor. How to Write a Policy Memo. University of Michigan--Dearborn, 2006; Sajedinejad, S., et al. From Research to Impact: A Toolkit for Developing Effective Policy Briefs . Toronto, Ontario: Policy Bench, Fraser Mustard Institute of Human Development, University of Toronto, 2021; What Are Policy Briefs. FAO Corporate Document Repository. United Nations; Writing Effective Memos. Electronic Hallway. Daniel J. Evans School of Public Affairs. University of Washington; Writing Effective Policy Memos. Water & Sanitation Infrastructure Planning syllabus. Spring 2004. Massachusetts Institute of Technology.

Proofreading the Memo

Problems to Avoid

The style and arrangement of an effectively written memo can differ because no two policies, nor their intended audience of readers, are exactly the same. Nevertheless, before you submit your policy memo, be sure you proofread the document so that you avoid these common problems. If you identify one or more of these problems, you should rewrite or re-organize the content accordingly.

1.  Acknowledge the Law of Unintended Consequences . No policy analysis is complete until you have identified for whom the policy actions are supposed to benefit and identify what groups may be impacted by the consequences of their implementation. Review your memo and make sure you have clearly delineated who could be helped and who could be potentially harmed or excluded from benefiting from your recommended policy actions. As noted by Wilcoxen, this is also important because describing who may or may not benefit can help you anticipate which stakeholder groups will support your policy recommendations and which groups will likely oppose it. Calculating potential "winners" and "losers" will help reveal how much it may cost to compensate those groups excluded from benefiting. By building this compensation into your policy recommendations, you are better able to show the reader how to reduce political obstacles.

2.  Anticipate the Reader's Questions . Examine your recommended courses of action and identify any open-ended, declarative, indeterminate, or ambiguous statements that could lead the reader to have to ask further questions. For example, you declare that the most important factor supporting school choice among parents is distance from home. Without clarification or additional information, this could lead the reader to ask numerous questions, such as, why or by what means do you know this, what distance is considered to be too far, what factors contribute to parent's decision about school choice and distance from schools, or what age group does this most apply to. Clarify these types of open-ended statements so that your policy recommendations can be more fully understood and accepted as valid.

3.  Be Concise . Being succinct in your writing does not relate to the overall length of the policy memo or the amount of words you use. It relates to your ability to provide a lot of information clearly and without superfluous detail. Strategies include r eviewing long paragraphs and breaking them up into parts, looking for long sentences and eliminating unnecessary qualifiers and modifiers, and deleting prepositional phrases in favor of adjectives or adverbs. The overarching goal is to be thorough and precise in how your ideas are presented and to avoid writing that uses too many words or excessively technical expressions.

4.  Focus on the Results . While it is important that your memo describe the methods by which you gathered and analyzed the data informing your policy recommendations, the content should focus on explaining the results of your analysis and the logic underpinning your recommendations. Remember your audience. The reader is presumably a decision-maker with limited knowledge of the issue and who has little time to contemplate the methods of analysis. The validity of your findings will be determined primarily by your reader's determination that your policy recommendations and supporting action items are realistic and rooted in sound reasoning. Review your memo and make sure the statement about how you gathered the data is brief and concise. If necessary, technical issues or raw data can be included in an appendix.

5.  Minimize Subjective Reasoning . Although the memo should be persuasive, avoid emphasizing your personal opinion about the topic. A policy memo should be written in a professional tone with recommendations based upon empirical reasoning while, at the same time, reflecting a level of passion about your topic. However, being passionate does not imply being opinionated. The memo should emphasize presenting all of the facts a reader would need to reach their own conclusions about the validity of your recommendations.

6.  Use of Non-textual Elements . It is common for policy memos to include data, statistics, and other types of information that require visualization. Review all tables, charts, figures, graphs, photographs, and other non-textual elements and make sure they are labeled correctly. Examine each in relation to the text, making sure they are described adequately and that they relate to the overall content of your memo. If these elements are located in appendices, make sure descriptive references to them within the text are correct [i.e., reference to Figure 2 is actually the table you want the reader to look at].

Bardach, Eugene and Eric M. Pataschnik. A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem-Solving . 5th edition. Thousand Oaks, CA: Sage, 2016; Herman, Luciana. Policy Memos. John F. Kennedy School of Government. Harvard University; How to Write a Public Policy Memo. Student Learning Center. University of California, Berkeley; Memo: Audience and Purpose. The Writing Lab and The OWL. Purdue University; Policy Memo Requirements and Guidelines, 2012-2013 edition. Institute for Public Policy Studies. University of Denver; Wilcoxen, Peter J. Tips on Writing a Policy Memo. PAI 723, Economics for Public Decisions Course Syllabus. Maxwell School of Citizenship and Public Affairs, Syracuse University.

Writing Tip

Difference Between a Policy Memo and a Policy Brief

A policy memo and a policy brief share much in common. They both describe the rationale for choosing particular policy alternatives or courses of action, they both contain persuasive language, and both documents are written for non-experts, such as, practitioners, politicians, non-governmental agency workers, lobbyists, and others who work on or regularly make decisions about the issue addressed in the document. Both documents are free of jargon or technical terminology and focus on communicating the practical implications of prior policy research to a specific audience based on available evidence.

Ironically, however, a policy memo is typically shorter in length than a policy “brief.” A policy memo usually ranges from one to twenty-five pages, while a policy brief can be anywhere from twenty to more than a hundred pages in length depending on the complexity of the topic. Therefore:

• A policy brief is commonly produced in response to a request from a decision-maker concerning an issue that requires more thorough information to address the underlying policy problem or they are produced by an advocacy group or organization for the purpose of influencing a specific policy, often in an urgent tone. Non-textual elements , such as, figures, charts, graphs, or diagrams, are often included.
• A policy memo is concisely written and presents information, ideas, and recommendations clearly so the reader can quickly scan the document for the most relevant points. Policy memos focus on brevity and often synthesize existing evidence in language that is direct, specific, and with minimal background information or historical context. Non-textual elements are only included if necessary.

Guide to Writing an Effective Policy Memo. Leadership for Educational Equity, New York; Policy Briefs. The Writing Center, University of North Carolina;  Policy Memo. Writing Studio, Duke University; Manny, Karoline. What is a Policy Brief/Memo? Grace Doherty Library, Centra College; Sajedinejad, S., et al. From Research to Impact: A Toolkit for Developing Effective Policy Briefs . Toronto, Ontario: Policy Bench. Fraser Mustard Institute of Human Development, University of Toronto, 2021.

Another Writing Tip

Citing Sources

Policy memos generally do not include extensive footnotes, endnotes, further readings, or a bibliography. However, if you use supporting information in a memo, cite the source in the text. For example, you may refer to a study that supported a specific assertion by referencing it in the following manner: "A study published in 2012 by the Eagleton Center for Public Interest Polling showed that public opinion towards China was....” However, some assignments may require a formal list of references. Before writing your memo, be sure you are clear about how your professor wants you to cite any sources referred to in your analysis.

Policy Memo. Thompson Writing Program, Writing Studio. Duke University.

Yet Another Writing Tip

Using Non-Textual Elements

Policy memos are not just text-based but frequently include numeric tables and charts or other non-textual elements, such as photographs, maps, and illustrations. However, it is important that you use non-textual elements judiciously and only in relation to supplementing and clarifying arguments made in the text so as not to distract the reader from the main points of your memo . As with any non-textual elements, describe what the reader is seeing and why the data is important to understanding the policy problem.

Still Yet Another Writing Tip

Including Appendices

The purpose of an appendix is to provide supplementary material that is not an essential part of the main text but which may be helpful in providing the reader with more complete information. If you have information that is vital to understanding an issue discussed in the memo, it can be included in one or more appendices. However, if you have a lot of information, don't write a five page memo and include twenty pages of appendices. Memos are intended to be  succinct and clearly expressed. If there is a lot of data, refer to the source and summarize it, or discuss with your professor how it should be included.

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Policy Briefs

What this handout is about.

This handout will offer tips for writing effective policy briefs. Be sure to check with your instructor about their specific expectations for your assignment.

What are policy briefs?

Imagine that you’re an elected official serving on a committee that sets the standards cars must meet to pass a state inspection. You know that this is a complex issue, and you’d like to learn more about existing policies, the effects of emissions on the environment and on public health, the economic consequences of different possible approaches, and more–you want to make an informed decision. But you don’t have time to research all of these issues! You need a policy brief.

A policy brief presents a concise summary of information that can help readers understand, and likely make decisions about, government policies. Policy briefs may give objective summaries of relevant research, suggest possible policy options, or go even further and argue for particular courses of action.

How do policy briefs differ from other kinds of writing assignments?

You may encounter policy brief assignments in many different academic disciplines, from public health and environmental science to education and social work. If you’re reading this handout because you’re having your first encounter with such an assignment, don’t worry–many of your existing skills and strategies, like using evidence , being concise , and organizing your information effectively , will help you succeed at this form of writing. However, policy briefs are distinctive in several ways.

In some of your college writing, you’ve addressed your peers, your professors, or other members of your academic field. Policy briefs are usually created for a more general reader or policy maker who has a stake in the issue that you’re discussing.

Tone and terminology

Many academic disciplines discourage using unnecessary jargon, but clear language is especially important in policy briefs. If you find yourself using jargon, try to replace it with more direct language that a non-specialist reader would be more likely to understand. When specialized terminology is necessary, explain it quickly and clearly to ensure that your reader doesn’t get confused.

Policy briefs are distinctive in their focus on communicating the practical implications of research to a specific audience. Suppose that you and your roommate both write research-based papers about global warming. Your roommate is writing a research paper for an environmental science course, and you are writing a policy brief for a course on public policy. You might both use the exact same sources in writing your papers. So, how might those papers differ?

Your roommate’s research paper is likely to present the findings of previous studies and synthesize them in order to present an argument about what we know. It might also discuss the methods and processes used in the research.

Your policy brief might synthesize the same scientific findings, but it will deploy them for a very specific purpose: to help readers decide what they should do. It will relate the findings to current policy debates, with an emphasis on applying the research outcomes rather than assessing the research procedures. A research paper might also suggest practical actions, but a policy brief is likely to emphasize them more strongly and develop them more fully.

To support these changes in audience, tone, and purpose, policy briefs have a distinctive format. You should consult your assignment prompt and/or your professor for instructions about the specific requirements of your assignment, but most policy briefs have several features in common. They tend to use lots of headings and have relatively short sections. This structure differs from many short papers in the humanities that may have a title but no further headings, and from reports in the sciences that may follow the “IMRAD” structure of introduction, methods, results, and discussion. Your brief might include graphs, charts, or other visual aids that make it easier to digest the most important information within sections.  Policy briefs often include some of these sections:

• Title: A good title quickly communicates the contents of the brief in a memorable way.
• Executive Summary: This section is often one to two paragraphs long; it includes an overview of the problem and the proposed policy action.
• Context or Scope of Problem: This section communicates the importance of the problem and aims to convince the reader of the necessity of policy action.
• Policy Alternatives: This section discusses the current policy approach and explains proposed options. It should be fair and accurate while convincing the reader why the policy action proposed in the brief is the most desirable.
• Policy Recommendations: This section contains the most detailed explanation of the concrete steps to be taken to address the policy issue.
• Appendices: If some readers might need further support in order to accept your argument but doing so in the brief itself might derail the conversation for other readers, you might include the extra information in an appendix.
• Consulted or Recommended Sources: These should be reliable sources that you have used throughout your brief to guide your policy discussion and recommendations.

Depending on your specific topic and assignment, you might combine sections or break them down into several more specific ones.

How do I identify a problem for my policy brief?

An effective policy brief must propose a solution to a well-defined problem that can be addressed at the level of policy. This may sound easy, but it can take a lot of work to think of a problem in a way that is open to policy action.

For example, “bad spending habits in young adults” might be a problem that you feel strongly about, but you can’t simply implement a policy to “make better financial decisions.” In order to make it the subject of a policy brief, you’ll need to look for research on the topic and narrow it down. Is the problem a lack of financial education, predatory lending practices, dishonest advertising, or something else? Narrowing to one of these (and perhaps further) would allow you to write a brief that can propose concrete policy action.

For another example, let’s say that you wanted to address children’s health. This is a big issue, and too broad to serve as the focus of a policy brief, but it could serve as a starting point for research. As you begin to research studies on children’s health, you might decide to zoom in on the more specific issue of childhood obesity. You’ll need to consult the research further to decide what factors contribute to it in order to propose policy changes. Is it lack of exercise, nutritional deficiencies, a combination of these, or something else? Choosing one or another of these issues, your brief would zoom in even further to specific proposals that might include exercise initiatives, nutritional guidelines, or school lunch programs.

The key is that you define the problem and its contributing factors as specifically as possible so that some sort of concrete policy action (at the local, state, or national level) is feasible.

Framing the issue

Once you’ve identified the problem for yourself, you need to decide how you will present it to your reader. Your own process of identifying the problem likely had some stops, starts, and dead-ends, but your goal in framing the issue for your reader is to provide the most direct path to understanding the problem and the proposed policy change. It can be helpful to think of some of the most pressing questions your audience will have and attempt to preemptively answer those questions. Here are some questions you might want to consider:

What is the problem?

Understanding what the problem is, in the clearest terms possible, will give your reader a reference point. Later, when you’re discussing complex information, your reader can refer back to the initial problem. This will help to ‘anchor’ them throughout the course of your argument. Every piece of information in the brief should be clearly and easily connected to the problem.

What is the scope of the problem?

Knowing the extent of the problem helps to frame the policy issue for your reader. Is the problem statewide, national, or international? How many people does this issue affect? Daily? Annually? This is a great place for any statistical information you may have gathered through your research.

Who are the stakeholders?

Who does this issue affect? Adult women? College-educated men? Children from bilingual homes? The primary group being affected is important, and knowing who this group is allows the reader to assign a face to the policy issue.

Policy issues can include a complex network of stakeholders. Double check whether you have inadvertently excluded any of them from your analysis. For example, a policy about children’s nutrition obviously involves the children, but it might also include food producers, distributors, parents, and nutritionists (and other experts). Some stakeholders might be reluctant to accept your policy change or even acknowledge the existence of the problem, which is why your brief must be convincing in its use of evidence and clear in its communication.

Effective policy-writing

This handout has emphasized that good policy briefs are clear, concise, and focused on applying credible research to policy problems. Let’s take a look at two versions of the introduction to a policy brief to see how someone might write and revise to achieve these qualities:

A “not-so-good” policy brief

Adolescents’ Dermatologic Health in Outlandia: A Call to Action

The Report on Adolescents’ Dermatologic Health in Outlandia (2010), issued by Secretary of Health Dr. Polly Galver, served as a platform to increase public awareness on the importance of dermatologic health for adolescents. Among the major themes of the report are that dermatologic health is essential to general health and well-being and that profound and consequential dermatologic health disparities exist in the state of Outlandia. Dr. Galver stated that what amounts to a silent epidemic of acne is affecting some population groups–restricting activities as schools, work, and home–and often significantly diminishing the quality of life. Dr. Galver issued the Report on Adolescents’ Dermatologic Health as a wake-up call to policymakers and health professionals on issues regarding the state’s dermatologic health. (“ Not so good policy brief ,” Reproduced with permission of the Johns Hopkins Bloomberg School of Public Health, Baltimore, MD.)

This paragraph introduces a relevant and credible source, but it fails to use that source to explain a problem and propose policy action. The reader is likely to be confused because the word “acne” does not appear until the middle of the paragraph, and the brief never states what action should be taken to address it. In addition to this lack of focus, the paragraph also includes unnecessary phrases like “among the major themes” that could be removed to make it more concise.

A better policy brief

Seeing Spots: Addressing the Silent Epidemic of Acne in Outlandia’s Youth

Acne is the most common chronic disease among adolescents in Outlandia (Outlandia Department of Health, 2010). Long considered a benign rite of passage, acne actually has far-reaching effects on the health and well being of adolescents, significantly affecting success in school, social relationships, and general quality of life. Yet large portions of the state’s population are unable to access treatment for acne. The Secretary of Health’s Report on Adolescents’ Dermatologic Health in Outlandia (2010) is a call to action for policymakers and health professionals to improve the health and wellbeing of Outlandia’s youth by increasing access to dermatologic care (“ A Better Policy Brief” , Reproduced with permission of the Johns Hopkins Bloomberg School of Public Health, Baltimore, MD.)

This paragraph is far more focused and concise than the first version. The opening sentence is straightforward; instead of focusing on the source, it makes a clear and memorable point that is supported by the source. Additionally, though the first version was titled “a call to action,” it did not actually say what that action might be. In this version, it is clear that the call is for increased access to dermatologic care.

Keep in mind that clarity, conciseness, and consistent focus are rarely easy to achieve in a first draft. Careful editing and revision are key parts of writing policy briefs.

Works consulted

We consulted these works while writing this handout. This is not a comprehensive list of resources on the handout’s topic, and we encourage you to do your own research to find additional publications. Please do not use this list as a model for the format of your own reference list, as it may not match the citation style you are using. For guidance on formatting citations, please see the UNC Libraries citation tutorial . We revise these tips periodically and welcome feedback.

Smith, Catherine F. 2016. Writing Public Policy , 4th ed. New York: Oxford University Press.

Young, Eoin, and Lisa Quinn. n.d. “The Policy Brief.” University of Delaware. Accessed June 24, 2019. https://cpb-us-e1.wpmucdn.com/blog.lrei.org/dist/c/104/wp-content/uploads/sites/346/2009/11/PolicyBrief-described.pdf .

You may reproduce it for non-commercial use if you use the entire handout and attribute the source: The Writing Center, University of North Carolina at Chapel Hill

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Assignment under Insurance Policies

By J Mandakini, NUALS

Editor’s Note: This paper attempts to explore the concept of assignment under Indian law especially Contract Act, Insurance Act and Transfer of Property Act. It seeks to appreciate why the assignment is made use of for securities of a facility sanctioned by ICICI Bank. Also, it explains how ICICI Bank faces certain problems in executing the same. 

INTRODUCTION

For any facility sanctioned by a lender, collateral is always deposited to secure the same. Such mere deposition will not suffice, the borrower has to explicitly permit the lender to recover from the borrower, such securities in case of his default.

This is done by the concept of assignment, dealt with adequately in Indian law. Assignment of obligations is always a tricky matter and needs to be dealt with carefully. The Bank should not fall short of any legally permitted lengths to ensure the same. This is why ambiguity in its security documents have to be rectified. 

This paper attempts to explore the concept of assignment in contract law. It seeks to appreciate why the assignment is made use of for securities of a facility sanctioned by ICICI Bank. The next section will deal with how ICICI Bank faces certain problems in executing the same. The following sections will talk about possible risks involved, as well as defenses and solutions to the same.

WHAT IS ASSIGNMENT?

Assignment refers to the transfer of certain or all (depending on the agreement) rights to another party. The party which transfers its rights is called an assignor, and the party to whom such rights are transferred is called an assignee. Assignment only takes place after the original contract has been made. As a general rule, assignment of rights and benefits under a contract may be done freely, but the assignment of liabilities and obligations may not be done without the consent of the original contracting party.

The liability on a contract cannot be transferred so as to discharge the person or estate of the original contractor unless the creditor agrees to accept the liability of another person instead of the first. [i]

Illustration

P agrees to sell his car to Q for Rs. 100. P assigns the right to receive the Rs. 100 to S. This may be done without the consent of Q. This is because Q is receiving his car, and it does not particularly matter to him, to whom the Rs. 100 is being handed as long as he is being absolved of his liability under the contract. However, notice may still be required to be given. Without such notice, Q would pay P, in spite of the fact that such right has been assigned to S. S would be a sufferer in such case.

In this case, that condition is being fulfilled since P has assigned his right to S. However, P may not assign S to be the seller. P cannot just transfer his duties under the contract to another. This is because Q has no guarantee as to the condition of S’s car. P entered into the contract with Q on the basis of the merits of P’s car, or any other personal qualifications of P. Such assignment may be done with the consent of all three parties – P, Q, S, and by doing this, P is absolved of his liabilities under the contract.

 1.1. Effect of Assignment

Immediately on the execution of an assignment of an insurance policy, the assignor forgoes all his rights, title and interest in the policy to the assignee. The premium or loan interest notices etc. in such cases will be sent to the assignee. [ii] However, the existence of obligations must not be assumed, when it comes to the assignment. It must be accompanied by evidence of the same. The party asserting such a personal obligation must prove the existence of an express assumption by clear and unequivocal proof. [iii]

 Assignment of a contract to a third party destroys the privity of contract between the initial contracting parties. New privity is created between the assignee and the original contracting party. In the illustration mentioned above, the original contracting parties were P and Q. After the assignment, the new contracting parties are Q and S.

 1.2. Revocation of Assignment

Assignment, once validly executed, can neither be revoked nor canceled at the option of the assignor. To do so, the insurance policy will have to be reassigned to the original assignor (the insured).

 1.3. Exceptions to Assignment

There are some instances where the contract cannot be assigned to another.

• Express provisions in the contract as to its non-assignability – Some contracts may include a specific clause prohibiting assignment. If that is so, then such a contract cannot be assigned. Assignability is the rule and the contrary is an exception. [iv]

Pensions, PFs, military benefits etc. Illustration

 1.4. enforcing a contract of assignment.

From the day on which notice is given to the insurer, the assignee becomes the beneficiary of the policy even though the assignment is not registered immediately. It does not wait until the giving of notice of the transfer to the insurer. [vi] However, no claims may lie against the insurer until and unless notice of such assignment is delivered to the insurer.

If notice of assignment is not provided to the obligor, he is discharged if he pays to the assignor. Assignee would have to recover from the assignor. However, if the obligor pays the assignor in spite of the notice provided to him, he would still be liable to the assignee.

The following two illustrations make the point amply clear:

Illustrations

1. Seller A assigns its right to payment from buyer X to bank B. Neither A nor B gives notice to X. When payment is due, X pays A. This payment is fully valid and X is discharged. It will be up to B to recover it from A

2. Seller A assigns to bank B its right to payment from buyer X. B immediately gives notice of the assignment to X. When payment is due, X still pays A. X is not discharged and B is entitled to oblige X to pay a second time.

An assignee doesn’t stand in better shoes than those of his assignor. Thus, if there is any breach of contract by the obligor to the assignee, the latter can recover from the former only the same amount as restricted by counter claims, set offs or liens of the assignor to the obligor.

The acknowledgment of notice of assignment is conclusive proof of, and evidence enough to entertain a suit against an assignor and the insurer respectively who haven’t honoured the contract of assignment.

1.5. Assignment under various laws in India

There is no separate law in India which deals with the concept of assignment. Instead, several laws have codified it under different laws. Some of them have been discussed as follows:

1.5.1. Under the Indian Contract Act

There is no express provision for the assignment of contracts under the Indian Contract Act. Section 37 of the Act provides for the duty of parties of a contract to honour such contract (unless the need for the same has been done away with). This is how the Act attempts to introduce the concept of assignment into Indian commercial law. It lays down a general responsibility on the “representatives” of any parties to a contract that may have expired before the completion of the contract. (Illustrations to Section 37 in the Act).

An exception to this may be found from the contract, e.g. contracts of a personal nature. Representatives of a deceased party to a contract cannot claim privity to that contract while refusing to honour such contract. Under this Section, “representatives” would also include within its ambit, transferees and assignees. [vii]

Section 41 of the Indian Contract Act applies to cases where a contract is performed by a third party and not the original parties to the contract. It applies to cases of assignment. [viii] A promisee accepting performance of the promise from a third person cannot afterwards enforce it against the promisor. [ix] He cannot attain double satisfaction of its claim, i.e., from the promisor as well as the third party which performed the contract. An essential condition for the invocation of this Section is that there must be actual performance of the contract and not of a substituted promise.

  1.5.2. Under the Insurance Act

The creation of assignment of life insurance policies is provided for, under Section 38 of the Insurance Act, 1938.

• When the insurer receives the endorsement or notice, the fact of assignment shall be recorded with all details (date of receipt of notice – also used to prioritise simultaneous claims, the name of assignee etc). Upon request, and for a fee of an amount not exceeding Re. 1, the insurer shall grant a written acknowledgment of the receipt of such assignment, thereby conclusively proving the fact of his receipt of the notice or endorsement. Now, the insurer shall recognize only the assignee as the legally valid party entitled to the insurance policy.

 1.5.3. Under the Transfer of Property Act

Indian law as to assignment of life policies before the Insurance Act, 1938 was governed by Sections 130, 131, 132 and 135 of the Transfer of Property Act 1882 under Chapter VIII of the Act – Of Transfers of Actionable Claims. Section 130 of the Transfer of Property Act states that nothing contained in that Section is to affect Section 38 of the Insurance Act.

 I) Section 130 of the Transfer of Property Act

An actionable claim may be transferred only by fulfilling the following steps:

• Signed by a transferor (or his authorized agent)

The transfer will be complete and effectual as soon as such an instrument is executed. No particular form or language has been prescribed for the transfer. It does not depend on giving notice to the debtor.

The proviso in the section protects a debtor (or other person), who, without knowledge of the transfer pays his creditor instead of the assignee. As long as such payment was without knowledge of the transfer, such payment will be a valid discharge against the transferee. When the transfer of any actionable claim is validly complete, all rights and remedies of transferor would vest now in the transferee. Existence of an instrument in writing is a sine qua non of a valid transfer of an actionable claim. [x]

 II) Section 131 of the Transfer Of Property Act

This Section requires the notice of transfer of actionable claim, as sent to the debtor, to be signed by the transferor (or by his authorized agent), and if he refuses to sign it, a signature by the transferee (or by his authorized agent). Such notice must state both the name and address of the transferee. This Section is intended to protect the transferee, to receive from the debtor. The transfer does not bind a debtor unless the transferor (or transferee, if transferor refuses) sends him an express notice, in accordance with the provisions of this Section.

III) Section 132 of the Transfer Of Property Act

This Section addresses the issue as to who should undertake the obligations under the transfer, i.e., who will discharge the liabilities of the transferor when the transfer has been made complete – would it be the transferor himself or the transferee, to whom the rest of the surviving contract, so to speak, has been transferred.

This Section stipulates, that the transferee himself would fulfill such obligations. However, where an actionable claim is transferred with the stipulation in the contract that transferor himself should discharge the liability, then such a provision in the contract will supersede Ss 130 and 132 of this Act. Where the insured hypothecates his life insurance policies and stipulates that he himself would pay the premiums, the transferee is not bound to pay the premiums. [xi]

FACILITIES SECURED BY INSURANCE POLICIES – HOW ASSIGNMENT COMES INTO THE PICTURE

Many banks require the borrower to take out or deposit an insurance policy as security when they request a personal loan or a business loan from that institution. The policy is used as a way of securing the loan, ensuring that the bank will have the facility repaid in the event of either the borrower’s death or his deviations from the terms of the facility agreement.

Along with the deposit of the insurance policy, the policyholder will also have to assign the benefits of the policy to the financial institution from which he proposes to avail a facility. The mere deposit, without writing, or passing of any document of title to such a claim, does not create any equitable charge. [xii]

ETHICS OF ASSIGNING LIFE INSURANCE POLICY TO LENDERS

The purpose of taking out a life insurance policy on oneself, is that in the event of an untimely death, near and dear ones of the deceased are not left high and dry, and that they would have something to fall back on during such traumatic times. Depositing and assigning the rights under such policy document to another, would mean that there is a high chance that benefits of life insurance would vest in such other, in the event of unfortunate death and the family members are prioritized only second. These are not desirable circumstances where the family would be forced to cope with the death of their loved one coupled with the financial crisis.

 Thus, there is a need to examine the ethics of:

• The bank accepting such assignment

The customer should be cautious before assigning his rights under life insurance policies. By “cautious”, it is only meant that he and his dependents and/or legal heirs should be aware of the repercussions of the act of assigning his life insurance policy. It is conceded that no law prohibits the assignment of life insurance policies.

In fact, Section 38 of the Insurance Act, 1938 , provides for such assignments. Judicial cases have held life insurance policies as property more than a social welfare measure. [xiii] Further, the bank has no personal relationship with any customer and thus has no moral obligation to not accept such assignments of life insurance.

However, the writer is of the opinion that, in dealing with the assignment of life insurance policies, utmost care and caution must be taken by the insured when assigning his life insurance policy to anyone else.

CURRENT STAND OF ICICI REGARDING FACILITIES SECURED BY INSURANCE POLICY, WITH SPECIFIC REFERENCE TO ASSIGNMENT OF OBLIGATIONS

This Section seeks to address and highlight the manner in which ICICI Bank drafts its security documents with regard to the assignment of obligations. The texts placed in quotes in the subsequent paragraphs are verbatim extracts from the security document as mentioned.

Composite Document for Corporate and Realty Funding

 “ 8 .   CHARGING CLAUSE

  The Mortgagor doth hereby:

iii) Assign and transfer unto the Mortgagee all the Bank Accounts and all rights, title, interest, benefits, claims and demands whatsoever of the Mortgagor in, to, under and in respect of the Bank Accounts and all monies including all cash flows and receivables and all proceeds arising from Projects and Other Projects_______________, insurance proceeds, which have been deposited / credited / lying in the Bank Accounts, all records, investments, assets, instruments and securities which represent all amounts in the Bank Accounts, both present and future (the “Account Assets”, which expression shall, as the context may permit or require, mean any or each of such Account Assets) to have and hold the same unto and to the use of the Mortgagee absolutely and subject to the powers and provisions herein contained and subject also to the proviso for redemption hereinafter mentioned;

(v) Assign and transfer unto the Mortgagee all right, title, interest, benefit, claims and demands whatsoever of the Mortgagors, in, to, under and/or in respect of the Project Documents (including insurance policies) including, without limitation, the right to compel performance thereunder, and to substitute, or to be substituted for, the Mortgagor thereunder, and to commence and conduct either in the name of the Mortgagor or in their own names or otherwise any proceedings against any persons in respect of any breach of, the Project Documents and, including without limitation, rights and benefits to all amounts owing to, or received by, the Mortgagor and all claims thereunder and all other claims of the Mortgagor under or in any proceedings against all or any such persons and together with the right to further assign any of the Project Documents, both present and future, to have and to hold all and singular the aforesaid assets, rights, properties, etc. unto and to the use of the Mortgagee absolutely and subject to the powers and provisions contained herein and subject also to the proviso for redemption hereinafter mentioned.”

 ICICI Bank’s Standard Terms and Conditions Governing Consumer Durable Loans

  “ insurance.

The Borrower further agrees that upon any monies becoming due under the policy, the same shall be paid by the Insurance Company to ICICI Bank without any reference / notice to the Borrower, but not exceeding the principal amount outstanding under the Insurance Policy. The Borrower specifically acknowledges that in all cases of claim, the Insurance Company will be solely liable for settlement of the claim, and he/she will not hold ICICI Bank responsible in any manner whether for compensation, recovery of compensation, processing of claims or for any reason whatsoever.

Reference has been made only to assignment of assets, rights, benefits, interests, properties etc. No specific reference has been made to the assignment of obligations of the assignor under such insurance contract.

THE ISSUE FACED BY ICICI BANK

Where ICICI Bank accepts insurance policy documents of customers as security for a loan, in the light of the fact that the documents are silent about the question of assignment of obligations, are they assigned to ICICI Bank? Where there is hypothecation of a life insurance policy, with a stipulation that the mortgagor (assignor) should pay the premiums, and that the mortgagee (assignee) is not bound to pay the same, Sections 130 and 132 do not apply to such cases. [xiv] With rectification of this issue, ICICI Bank can concretize its hold over the securities with no reservations about its legality.

RISKS INVOLVED

This section of the paper attempts to explore the many risks that ICICI Bank is exposed to, or other factors which worsen the situation, due to the omission of a clause detailing the assignment of obligations by ICICI Bank.

Practices of Other Companies

The practices of other companies could be a risk factor for ICICI Bank in the light of the fact that some of them expressly exclude assignment of obligations in their security documents.

There are some companies whose notice of assignment forms contain an exclusive clause dealing with the assignment of obligations. It states that while rights and benefits accruing out of the insurance policy are to be assigned to the bank, obligations which arise out of such policy documents will not be liable to be performed by the bank. Thus, they explicitly provide for the only assignment of rights and benefits and never the assignment of obligations.

Possible Obligation to Insurance Companies

By not clearing up this issue, ICICI Bank could be held to be obligated to the insurance company from whom the assignor took the policy, for example, with respect to insurance premiums which were required to be paid by the assignor. This is not a desirable scenario for ICICI Bank. In case of default by the assignor in the terms of the contract, the right of ICICI Bank over the security deposited (insurance policy in question) could be fraught in the legal dispute.

Possible litigation

Numerous suits may be instituted against ICICI Bank alleging a violation of the Indian Contract Act. Some examples include allegations of concealment of fact, fraud etc. These could be enough to render the existing contract of assignment voidable or even void.

Contra Proferentem

This doctrine applies in a situation when a provision in the contract can be interpreted in more than one way, thereby creating ambiguities. It attempts to provide a solution to interpreting vague terms by laying down, that a party which drafts and imposes an ambiguous term should not benefit from that ambiguity. Where there is any doubt or ambiguity in the words of an exclusion clause, the words are construed more forcibly against the party putting forth the document, and in favour of the other party. [xv]

The doctrine of contra proferentem attempts to protect the layman from the legally knowledgeable companies which draft standard forms of contracts, in which the former stands on a much weaker footing with regard to bargaining power with the latter. This doctrine has been used in interpreting insurance contracts in India. [xvi]

If litigation ensues as a result of this uncertainty, there are high chances that the Courts will tend to favour the assignor and not the drafter of the documents.

POSSIBLE DEFENSES AGAINST DISPUTES FOR THE SECURITY DOCUMENTS AS THEY ARE NOW

This section of the paper attempts to give defences which the Bank may raise in case of any disputes arising out of silence on the matter of assignability of obligations.

Interpretation of the Security Documents

UNIDROIT principles expressly provide a method for interpretation of contracts. [xvii] The method consists of utilizing the following factors:

This defence relates to the concept of estoppel embodied in Section 115 of the Indian Evidence Act, 1872. According to the Section, when one person has, by his declaration, act or omission, intentionally caused or permitted another person to believe a thing to be true and to act upon such belief, neither he nor his representative shall be allowed, in any suit or proceeding between himself and such person or his representatives, to deny the truth of that thing.

If a man either by words or by conduct has intimated that he consents to an act which has been done and that he will not offer any opposition to it, and he thereby induces others to do that which they otherwise might have abstained from, he cannot question legality of the act he had sanctioned to the prejudice of those who have so given faith to his words or to the fair inference to be drawn from his conduct. [xviii] Subsequent conduct may be relevant to show that the contract exists, or to show variation in the terms of the contract, or waiver, or estoppel. [xix]

Where the meaning of the instrument is ambiguous, a statement subsequently interpreting such instrument is admissible. [xx] In the present case, where the borrower has never raised any claims with regard to non assignability of obligations on him, and has consented to the present conditions and relations with ICICI Bank, he cannot he cannot be allowed to raise any claims with respect to the same.

Internationally, the doctrine of post contractual conduct is invoked for such disputes. It refers to the acts of parties to a contract after the commencement of the contract. It stipulates that where a party has behaved in a particular manner, so as to induce the other party to discharge its obligations, even if there has been a variation from the terms of the contract, the first party cannot cite such variation as a reason for its breach of the contract.

Where the parties to a contract are both under a common mistake as to the meaning or effect of it, and therefore embark on a course of dealing on the footing of that mistake, thereby replacing the original terms of the contract by a conventional basis on which they both conduct their affairs, then the original contract is replaced by the conventional basis. The parties are bound by the conventional basis. Either party can sue or be sued upon it just as if it had been expressly agreed between them. [xxi]

The importance of consensus ad idem has been concretized by various case laws in India. Further, if the stipulations and terms are uncertain and the parties are not ad idem there can be no specific performance, for there was no contract at all. [xxii]

In the present case, the minds of the assignor and assignee can be said to have not met while entering into the assignment. The assignee never had any intention of undertaking any obligations of the assignor. In Hartog v Colin & Shields, [xxiii] the defendants made an offer to the plaintiffs to sell hare skins, offering to a pay a price per pound instead of per piece.

AVOIDING THESE RISKS

To concretize ICICI Bank’s stand on the assignment of obligations in the matter of loans secured by insurance policies, the relevant security documents could be amended to include such a clause.

For instances where loans are secured by life insurance policies, a standard set by the American Banker’s Association (ABA) has been followed by many Indian commercial institutions as well. [xxvi] The ABA is a trade association in the USA representing banks ranging from the smallest community bank to the largest bank holding companies. ABA’s principal activities include lobbying, professional development for member institutions, maintenance of best practices and industry standards, consumer education, and distribution of products and services. [xxvii]

There are several ICICI security documents which have included clauses denying any assignment of obligations to it. An extract of the deed of hypothecation for vehicle loan has been reproduced below:

“ 3. In further pursuance of the Loan Terms and for the consideration aforesaid, the Hypothecator hereby further agrees, confirms, declares and undertakes with the Bank as follows:

(i)(a) The Hypothecator shall at its expenses keep the Assets in good and marketable condition and, if stipulated by the Bank under the Loan Terms, insure such of the Assets which are of insurable nature, in the joint names of the Hypothecator and the Bank against any loss or damage by theft, fire, lightning, earthquake, explosion, riot, strike, civil commotion, storm, tempest, flood, erection risk, war risk and such other risks as may be determined by the Bank and including wherever applicable, all marine, transit and other hazards incidental to the acquisition, transportation and delivery of the relevant Assets to the place of use or installation. The Hypothecator shall deliver to the Bank the relevant policies of insurance and maintain such insurance throughout the continuance of the security of these presents and deliver to the Bank the renewal receipts / endorsements / renewed policies therefore and till such insurance policies / renewal policies / endorsements are delivered to the Bank, the same shall be held by the Hypothecator in trust for the Bank. The Hypothecator shall duly and punctually pay all premia and shall not do or suffer to be done or omit to do or be done any act, which may invalidate or avoid such insurance. In default, the Bank may (but shall not be bound to) keep in good condition and render marketable the relevant Assets and take out / renew such insurance. Any premium paid by the Bank and any costs, charges and expenses incurred by the Bank shall forthwith on receipt of a notice of demand from the Bank be reimbursed by the Hypothecator and/or Borrower to the Bank together with interest thereon at the rate for further interest as specified under the Loan Terms, from the date of payment till reimbursement thereof and until such reimbursement, the same shall be a charge on the Assets…”

The inclusion of such a clause in all security documents of the Bank can avoid the problem of assignability of obligations in insurance policies used as security for any facility sanctioned by it.

An assignment of securities is of utmost importance to any lender to secure the facility, without which the lender will not be entitled to any interest in the securities so deposited.

In this paper, one has seen the need for assignment of securities of a facility. Risks involved in not having a separate clause dealing with non assignability of obligations have been discussed. Certain defences which ICICI Bank may raise in case of the dispute have also been enumerated along with solutions to the same.

Formatted by March 2nd, 2019.

BIBLIOGRAPHY

[i] J.H. Tod v. Lakhmidas , 16 Bom 441, 449

[ii] http://www.licindia.in/policy_conditions.htm#12, last visited 30 th June, 2014

[iii] Headwaters Construction Co. Ltd. v National City Mortgage Co. Ltd., 720 F. Supp. 2d 1182 (D. Idaho 2010)

[iv] Indian Contract Act and Specific Relief Act, Mulla, Vol. I, 13 th Edn., Reprint 2010, p 968

[v] Khardah Co. Ltd. v. Raymond & Co ., AIR 1962 SC 1810: (1963) 3 SCR 183

[vi] Principles of Insurance Law, M.N. Srinivasan, 8 th Edn., 2006, p. 857

[vii] Ram Baran v Ram Mohit , AIR 1967 SC 744: (1967) 1 SCR 293

[viii] Sri Sarada Mills Ltd. v Union of India, AIR 1973 SC 281

[ix] Lala Kapurchand Godha v Mir Nawah Himayatali Khan, [1963] 2 SCR 168

[x] Velayudhan v Pillaiyar, 9 Mad LT 102 (Mad)

[xi] Hindustan Ideal Insurance Co. Ltd. v Satteya, AIR 1961 AP 183

[xii] Mulraj Khatau v Vishwanath, 40 IA 24 – Respondent based his claim on a mere deposit of the policy and not under a written transfer and claimed that a charge had thus been created on the policy.

[xiii] Insure Policy Plus Services (India) Pvt. Ltd. v The Life Insurance Corporation of India, 2007(109)BOMLR559

[xiv] Transfer of Property Act, Sanjiva Row, 7 th Edn., 2011, Vol II, Universal Law Publishing Company, New Delhi

[xv] Ghaziabad Development Authority v Union of India, AIR 2000 SC 2003

[xvi] United India Insurance Co. Ltd. v M/s. Pushpalaya Printers, [2004] 3 SCR 631, General Assurance Society Ltd. v Chandumull Jain & Anr., [1966 (3) SCR 500]

[xvii] UNIDROIT Principles, Art 4.3

[xviii] B.L.Sreedhar & Ors. v K.M. Munireddy & Ors., 2002 (9) SCALE 183

[xix] James Miller & Partners Ltd. v Whitworth Street Estates (Manchester) Ltd., [1970] 1 All ER 796 (HL)

[xx] Godhra Electricity Co. Ltd. v State of Gujarat, AIR 1975 SC 32

[xxi] Amalgamated Investment & Property Co. Ltd. v Texas Commerce International Bank Ltd., [1981] 1 All ER 923

[xxii] Smt. Mayawanti v Smt. Kaushalya Devi, 1990 SCR (2) 350

[xxiii] [1939] 3 All ER 566

[xxiv] Terrell v Alexandria Auto Co., 12 La.App. 625

[xxv] http://www.uncitral.org/pdf/english/CISG25/Pamboukis.pdf, last visited on 30 th June, 2014

[xxvi] https://www.phoenixwm.phl.com/shared/eforms/getdoc.jsp?DocId=525.pdf, last visited on 30 th June, 2014

[xxvii] http://www.aba.com/About/Pages/default.aspx, last visited on 30 th June, 2014

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Organizing Your Social Sciences Research Paper: Writing a Policy Memo

• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Reading Research Effectively
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods

Using Non-Textual Elements

• Limitations of the Study
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• Types of Structured Group Activities
• Group Project Survival Skills
• Multiple Book Review Essay
• Reviewing Collected Essays
• Writing a Case Study
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Bibliography

A policy memo is a practical and professionally written document that can vary in length from one page to over one hundred pages. It provides analysis and/or recommendations directed to a predetermined audience regarding a specific situation or topic. A well-written policy memo reflects attention to the research problem. It is well organized and structured in a clear and concise style that assumes the reader possesses limited knowledge of, as well as little time to conduct research about, the issue of concern. There is no thesis statement or overall theoretical framework underpinning the document; the focus is on describing one or more specific policy recommendations and their supporting action items.

Davis, Jennifer. Guide to Writing Effective Policy Memos . MIT OpenCourseWare, Water and Sanitation Infrastructure Planning in Developing Countries, Spring 2004; Pennock, Andrew. “The Case for Using Policy Writing in Undergraduate Political Science Courses.” PS: Political Science and Politics 44 (January 2011): 141-146.

How to Approach Writing a Policy Memo

Policy memo writing assignments are intended to promote the following learning outcomes :

• Help students learn how to write academically rigorous, persuasive papers about a specific “real-world” issue;
• Learn how to choose and craft a document’s content based on the needs of a particular audience [rather than for a general readership];
• Prepare students about how to write effectively in non-academic settings;
• Teach students to be client-oriented and to better anticipate the assumptions and concerns of their targeted readership; and,
• Enable students to create original work that synthesizes their research into a succinctly written document advocating change or a specific course of action.

You should not approach writing a policy memo like you would an academic research paper. Yes, there are certain commonalities in how the content is presented [e.g., a well-written problem statement], but the overarching objective of a policy memo is not to discover or create new knowledge. It is focused on providing a pre-determined group of readers the rationale for choosing a particular policy alternative or specific course of action. In this sense, most policy memos possess a component of advocacy and policy advice intended to promote evidence-based dialog about an issue.

Given these intended learning outcomes, keep in mind the following: Focus and Objectives The overall content of your memo should be strategically aimed at achieving the following goal: convincing your target audience about the accuracy of your analysis and, by extension, that your policy recommendations are valid. Avoid lengthy digressions and superfluous narration that can distract the reader from understanding the policy problem. Professionally Written Always keep in mind that a policy memorandum is a tool for decision-making. Keep it professional and avoid hyperbole that could undermine the credibility of your document. The presentation and content of the memo should be polished, easy to understand, and free of jargon. Writing professionally does not imply that you can’t be passionate about your topic, but your policy recommendations should be grounded in solid reasoning and a succinct writing style. Evidence-based A policy memo is not an argumentative debate paper. The reader should expect your recommendations to be based upon evidence that the problem exists and of the consequences [both good and bad] of adopting particular policy alternatives. To address this, policy memos should include a clear cost-benefit analysis that considers anticipated outcomes, the potential impact on stakeholder groups you have identified, clear and quantifiable performance goals, and how success is to be measured. Accessibility A policy memo requires clear and simple language that avoids unnecessary jargon and concepts of an academic discipline. Do not skip around. Use one paragraph to develop one idea or argument and make that idea or argument explicit within the first one or two sentences. Your memo should have a straightforward, explicit organizational structure that provides well-explained arguments arranged within a logical sequence of reasoning [think in terms of an if/then logic model--if this policy recommendation, then this action; if this benefit, then this potential cost; if this group is allocated resources, then who may be excluded]. Presentation Style The visual impact of your memo affects the reader’s ability to grasp your ideas quickly and easily. Include a table of contents and list of figures and charts, if necessary. Subdivide the text using clear and descriptive headings to guide the reader. Incorporate devices such as capitalization, bold text, and bulleted items but be consistent, and don’t go crazy; the purpose is to facilitate access to specific sections of the paper for successive readings. If it is difficult to find information in your document, policy makers will not use it. Practical and Feasible Your memorandum should provide a set of actions based on what is actually happening in reality. The purpose is never to base your policy recommendations on future scenarios that are unlikely to occur or that do not appear realistic to your targeted readers. Here again, your cost-benefit analysis can be essential to validating the practicality and feasibility to your recommendations. Explicit Transparency Provide specific criteria to assess either the success or failure of the policies you are recommending. As much as possible, this criteria should be derived from your cost/benefit analysis. Do not hide or under-report information that does not support your policy recommendations. Just as you should note limitations in an original research study, a policy memo should describe the weaknesses of your analysis. Be straightforward about it because doing so strengthens your arguments and it will help the reader to assess the overall impact of recommended policy changes.

NOTE : Technically, your policy memo could argue for maintaining the status quo. However, the general objective of policy memos is to examine opportunities for transformative change and the risks of on-going complacency. If you choose to argue for maintaining the current policy trajectory, be concise in identifying and systematically refuting all relevant policy options. Summarize why the outcomes of maintaining the status quo are preferable to any alterative policy options.

Herman, Luciana. Policy Memos . John F. Kennedy School of Government. Harvard University; How to Write a Public Policy Memo . Student Learning Center. University of California, Berkeley; Policy Memo . Thompson Writing Program, Writing Studio. Duke University; Policy Memo Guidelines . Cornell Fellows Program. Cornell University; Memo: Audience and Purpose . The Writing Lab and The OWL. Purdue University; Policy Memo Requirements and Guidelines, 2012-2013 edition . Institute for Public Policy Studies. University of Denver; Thrall, A. Trevor. How to Write a Policy Memo . University of Michigan--Dearborn, 2006; Writing Effective Memos . Electronic Hallway. Daniel J. Evans School of Public Affairs. University of Washington; Writing Effective Policy Memos . Water & Sanitation Infrastructure Planning syllabus. Spring 2004. Massachusetts Institute of Technology.

Structure and Writing Style

The contents of a policy memo can be organized in a variety of ways. Below is a general template adapted from the “Policy Memo Requirements and Guidelines, 2012-2013 edition” published by the Institute for Public Policy Studies at the University of Denver and from suggestions made in the book, A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem-Solving [Eugene Bardach. 4th edition. Thousand Oaks, CA: Sage, 2012] . Both provide useful approaches to writing a policy memo should your professor not provide you with specific guidance. The tone of your writing should be formal but assertive. Note that the most important consideration in terms of writing style is professionalism, not creativity. I.  Cover Page Provide a complete and informative cover page that includes the document title, date, the full names and titles of the writer or writers [i.e., Joe Smith, Student, Department of Political Science, University of Southern California]. The title of the policy memo should be formally written and specific to the policy issue [e.g., “Charter Schools, Fair Housing, and Legal Standards: A Call for Equal Treatment”]. For longer memos, consider including a brief executive summary that highlights key findings and recommendations.

II.  Introduction and Problem Definition A policy memorandum should begin with a short summary introduction that defines the policy problem, provides important contextual background information, and explains what issues the memo covers. This is followed by a short justification for writing the memo, why a decision needs to be made [answering the “So What?” question], and an outline of the recommendations you make or key themes the reader should keep in mind. Summarize your main points in a few sentences, then conclude with a description of how the remainder of the memo is organized.

III.  Methods This is usually where other research about the problem or issue of concern is summarized. Describe how you plan to identify and locate the information on which your policy memo is based. This may include peer-reviewed journals and books as well as possible professionals you interviewed, databases and websites you explored, or legislative histories or relevant case law that you used. Remember this is not intended to be a thorough literature review; only choose sources that persuasively support your position or that helps lay a foundation for understanding why actions need to be taken.

IV.  Issue Analysis This section is where you explain in detail how you examined the issue and, by so doing, persuade the reader of the appropriateness of your analysis. This is followed by a description of how your analysis contributes to the current policy debate. It is important to demonstrate that the policy issue may be more complex than a basic pro versus con debate. Very few public policy debates can be reduced to this type of rhetorical dichotomy. Be sure your analysis is thorough and takes into account all factors that may influence possible strategies that could advance a recommended set of solutions.

V.  Proposed Solutions Write a brief review of the specific solutions you evaluated, noting the criteria by which you examined and compared different proposed policy alternatives. Identify the stakeholders impacted by the proposed solutions and describe in what ways the stakeholders benefit from your proposed solution. Focus on identifying solutions that have not been proposed or tested elsewhere. Offer a contrarian viewpoint that challenges the reader to take into account a new perspective on the research problem. Note that you can propose solutions that may be considered radical or unorthodox, but they must be realistic and politically feasible.

VI.  Strategic Recommendations Solutions are just opinions until you provide a path that delineates how to get from where you are to where you want to go. Describe what you believe are the best recommended courses of action ["action items"]. In writing this section, state the broad approach to be taken, with specific practical steps or measures that should be implemented. Be sure to also state by whom and within what time frame these actions should be taken. Conclude by highlighting the consequences of maintaining the status quo [or if supporting the status quo, why change at this time would be detrimental]. Also, clearly explain why your strategic recommendations are best suited for addressing the current policy situation.

VI.  Limitations As in any academic paper, you must describe limitations to your analysis. In particular, ask yourself if each of your recommendations are realistic, feasible, and sustainable, and in particular, that they can be implemented within the current bureaucratic, economic, political, cultural, or other type of contextual climate in which they reside. If not, you should go back and clarify your recommendations or provide further evidence as to why the recommendation is most appropriate for addressing the issue. If the limitation cannot be overcome, it does not necessarily undermine the overall recommendations of your study, but you must clearly acknowledge it. Place the limitation within the context of a critical issue that needs further study in concurrence with possible implementation [i.e., findings indicate service learning promotes civic engagement, but.there is a lack of data on the types of service learning programs that exist among high schools in Los Angeles].

VII.  Cost-Benefit Analysis This section may be optional but, in some cases, policy memos include an explicit summary analysis of the costs and benefits of each strategic recommendation. If you are asked to include a separate cost-benefit analysis, be concise and brief. Since most policy memos do not have a formal conclusion, the cost-benefit analysis can act as your conclusion by summarizing the key differences among policy alternatives and recommended courses of action.

Bardach, Eugene. A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem-Solving . 4th edition. Thousand Oaks, CA: Sage, 2012; Herman, Luciana. Policy Memos . John F. Kennedy School of Government. Harvard University; How to Write a Public Policy Memo . Student Learning Center. University of California, Berkeley;  Policy Memo Guidelines . Cornell Fellows Program. Cornell University; Memo: Audience and Purpose . The Writing Lab and The OWL. Purdue University; Pennock, Andrew. “The Case for Using Policy Writing in Undergraduate Political Science Courses.” PS: Political Science and Politics 44 (January 2011): 141-146; Policy Memo Requirements and Guidelines, 2012-2013 edition . Institute for Public Policy Studies. University of Denver; Thrall, A. Trevor. How to Write a Policy Memo . University of Michigan--Dearborn, 2006; “ What Are Policy Briefs? ” FAO Corporate Document Repository. United Nations; Writing Effective Memos . Electronic Hallway. Daniel J. Evans School of Public Affairs. University of Washington; Writing Effective Policy Memos . Water & Sanitation Infrastructure Planning syllabus. Spring 2004. Massachusetts Institute of Technology.

Proofreading the Memo

Problems to Avoid

The style and arrangement of an effectively written memo can differ because no two policies, nor their intended audience of readers, are exactly the same. Nevertheless, before you submit your policy memo, be sure you proofread the document in order to avoid these common problems. If you identify one or more of them, you should rewrite or re-organize the content accordingly.

1.  Acknowledge the law of unintended consequences -- no policy analysis is complete until you have identified for whom the policy is supposed to benefit as well as identify what groups may be impacted by the consequences of implementation. Review your memo and make sure you have clearly delineated who could be helped and who could be potentially harmed or excluded from benefiting from your recommended policy actions. As noted by Wilcoxen, this is also important because describing who may or may not benefit can help you anticipate which stakeholder groups will support your policy recommendations and which groups will likely oppose it. Calculating potential winners and losers will help reveal how much it may cost to compensate those groups excluded from benefiting. By building this compensation into your policy recommendations, you are better able to show the reader how to reduce political obstacles.

2.  Anticipate the reader's questions -- examine your recommended courses of action and identify any open-ended, declarative, or ambiguous statements that could lead the reader to have to ask further questions. For example, you declare that the most important factor supporting school choice among parents is distance from home. Without clarification or additional information, a reader may question why or by what means do you know this, or what distance is considered to be too far? Or, what factors contribute to parent's decision about school choice and distance from schools? What age group does this most apply to? Clarify these types of open-ended statements so that your policy can be more fully understood.

3.  Be concise -- being succinct in your writing does not relate to the overall length of the policy memo or the amount of words you use. It relates to an ability to provide a lot of information clearly and without superfluous detail. Strategies include r eviewing long paragraphs and breaking them up into parts, looking for long sentences and eliminating unnecessary qualifiers and modifiers, and deleting prepositional phrases in favor of adjectives or adverbs. The overarching goal is to be thorough and precise in how you present ideas and to avoid writing that uses too many words or excessively technical expressions.

4. Focus on the results -- while it's important that your memo describe the methods by which you gathered and analyzed the data informing your policy recommendations, the content should focus on explaining the results of your analysis and the logic underpinning your recommendations. Remember your audience. The reader is presumably a decision-maker with limited knowledge of the issue and with little time to contemplate the methods of analysis. The validity of your findings will be determined primarily by your reader's determination that your policy recommendations and supporting action items are realistic and rooted in sound reasoning. Review your memo and make sure the statement about how you gathered the data is brief and concise. If necessary, technical issues or raw data can be included as an appendix.

5.  Minimize subjective reasoning -- avoid emphasizing your personal opinion about the topic. A policy memo should be written in a professional tone with recommendations based upon empirical reasoning while, at the same time, reflecting a level of passion about your topic. However, being passionate does not imply being opinionated. The memo should emphasize presenting all of the facts a reader would need to reach his or her own conclusions about the validity of your recommendations.

6.  Use of non-textual elements -- review all tables, charts, figures, graphs, or other non-textual elements and make sure they are labeled correctly. Examine each in relation to the text and make sure they are described adequately and relate to the overall content of your memo. If these elements are located in appendices, make sure references to them within the text is correct [i.e., reference to Figure 2 is actually the table you want the reader to look at].

Bardach, Eugene and Eric M. Pataschnik. A Practical Guide for Policy Analysis: The Eightfold Path to More Effective Problem-Solving . 5th edition. Thousand Oaks, CA: Sage, 2016; Herman, Luciana. Policy Memos . John F. Kennedy School of Government. Harvard University; How to Write a Public Policy Memo . Student Learning Center. University of California, Berkeley; Memo: Audience and Purpose . The Writing Lab and The OWL. Purdue University;  Policy Memo Requirements and Guidelines, 2012-2013 edition . Institute for Public Policy Studies. University of Denver; Wilcoxen, Peter J. Tips on Writing a Policy Memo . PAI 723, Economics for Public Decisions Course Syllabus. Maxwell School of Citizenship and Public Affairs, Syracuse University.

Writing Tip

Referencing Sources

Policy memos generally do not include footnotes, endnotes, further readings, or a bibliography. However, if you use supporting information in a memo, cite the source in the text. For example, you may refer to a study that supported a specific assertion by referencing it in the following manner: "A study published in 2012 by the Eagleton Center for Public Interest Polling showed that public opinion towards China was....” However, some assignments may require a formal list of references. Before writing your memo, be sure you are clear about how your professor wants you to cite any sources referred to in your analysis.

Policy Memo . Thompson Writing Program, Writing Studio. Duke University .

Another Writing Tip

Policy memos are not just text-based but they may also include numeric tables and charts or non-textual elements, such as photographs, maps, and illustrations. However, it is very important that you use non-textual elements judiciously and only in relation to supplementing and clarifying arguments made in the text so as not to distract the reader from the main points of your memo . As with any non-textual elements, describe what the reader is seeing and why the data is important to understanding the research problem.

Yet Another Writing Tip

Including Appendices

The purpose of an appendix is to provide supplementary material that is not an essential part of the main text but which may be helpful in providing the reader with more complete information. If you have information that is vital to understanding an issue discussed in the memo, it can be included in one or more appendices. However, if you have a lot of information, don't write a five page memo and include twenty pages of appendices. Memos are intended to be  succinct and clearly expressed. If there is a lot of data, refer to the source and summarize it, or discuss with your professor how it could be included.

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Law Notes for Law students. study materials for BSL,LLB, LLM, and Various Diploma courses.

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How to write a policy brief

Policy briefs are a key tool to present research and recommendations to a non-specialized audience. They serve as a vehicle for providing evidence-based policy advice to help readers make informed decisions.

A strong policy brief distills research findings in plain language and draws clear links to policy initiatives. The best policy briefs are clear and concise stand-alone documents that focus on a single topic.

Take a look at policy briefs in IDRC’s digital library

Planning your policy brief

Purpose, audience, content, and structure are the vital elements of an influential policy brief.

A policy brief should inform readers of a particular issue, suggest possible policy options, and make recommendations. Be upfront about your purpose from the start, maintain a laser focus on your direction, and link every paragraph back to your purpose. Given the conciseness of most policy briefs, do not discuss tangential information. A convincing policy brief should communicate the urgency of the issue and focus on the benefits and advantages of following your policy advice.

• Write out your purpose before drafting a brief, refer to it often, and ensure that everything you write serves that purpose.
• The intention of policy briefs is to offer your readers advice on how to solve a specific problem, so stay focused on this target alone.

Policy briefs should be accessible and targeted to a specific audience. Before you begin writing, establish whom your prospective readers are, their interest in and level of knowledge of the subject, the information they will need to make a decision, and how open they are to your recommendations.

A policy brief should be clear, succinct, and focus on a single topic.

• Do not exceed 1,500 words or two pages in length. Define the purpose of your policy brief up front.
• Include only essential information. Avoid tangents or being overly descriptive about methodology.
• Clearly identify the salient points that support your goal.
• Draft a new purpose-driven policy brief instead of summarizing or cutting down an existing report.
• Use plain language .

The structure should lead the reader from problem to solution. Clearly structure your policy brief before you start writing and use section headings to guide your content. Be clear about your policy recommendations and how they are supported by evidence.

The structure should be audience-specific and reflect each audience’s interests. For example, a focus on evidence is relevant for researchers, but a government official may value brevity and clear analysis of policy impacts.

• Some typical section headings are summary, context, analysis/discussion, considerations, conclusion/recommendation.

Policy brief template

There is no one-size-fits-all approach to writing policy briefs because the topic and audience will shape each one. However, effective policy briefs tend to contain the same key elements and therefore have similar structures: an executive summary, an introduction, an overview of the research or problem, an examination of the findings, and a concluding section that explains the policy recommendations and implications of the research.

Review the elements of an effective structure (in detail below) before writing your policy brief.   Examples drawn from IDRC’s GrOW policy briefs are included throughout to help you gain a better understanding of layout and the content requirements of each section.

Executive summary

Every policy brief should open with a short summary. This overview should be engaging and help busy readers quickly understand your argument. Most summaries take the form of a short paragraph or two, but some authors prefer to structure theirs as a few bullet points. Regardless of which style you choose, an effective executive summary should condense the essence of the brief down to a few sentences.

• The executive summary should always appear on the cover of the brief or at the top of the first page so that it is the first thing a reader will see.
• It can be helpful to write the executive summary last because you will gain clarity on its content as you draft the other sections.

Increasing women’s support for democracy in Africa  includes both a written overview and a bulleted list of key results (an executive summary does not need to include both, but each is effective). The overview provides a brief summary of the research while the key results present the findings at a glance.

Introduction

The introduction should set up the rest of the document and clearly convey your argument. In one or two paragraphs, define why you are writing the brief and express the urgency and importance of the topic to your audience. A good introduction should contain all of the relevant information for your argument. Describe the key questions of your analysis and your conclusions. The goal is to leave your readers with a clear sense of what your research is about while enticing them to continue reading.

”What’s at Stake?”, the introduction for  Increasing women’s support for democracy in Africa , vividly presents the issues and relevance of the research in only a few short paragraphs. A succinct summary of the brief’s goals gives the reader a firm understanding of the shape of the rest of the paper.

Research overview

This is one of the most important sections of the brief because it explains the reasoning behind your policy recommendations. In effect, this section describes the problem that your policy recommendations intend to solve.

Provide a summary of the facts to describe the issues, contexts, and research methods. Focus on two main elements: the research  approach  and the research  results .

• Research approach : explain how the study was conducted, who conducted it, how the data was collected, and any other relevant background information.
• Research results : paint a general picture of the research findings before moving on to the specifics.  

Present the results in a way that lends them to your analysis and argument, but do not interpret them yet. By the end of this section, the reader should have a firm understanding of the research and be primed for your argument. The goal is to take them on a journey that ends with them seeing the facts from your perspective.

• Avoid jargon and overly technical language.
• Focus on highlighting the benefits and opportunities stemming from the research.

​The research overview (entitled “Research approach”) in  Reducing child marriage and increasing girls’ schooling in Bangladesh  provides an explanation of the research methodology without becoming mired in too much detail. The author favours simple language and a straightforward overview of the numbers instead of using jargon or complex statistics. The research results are discussed in the following section, an effective choice for research that requires a good deal of data analysis to contextualize the findings.

Discussion/analysis of research findings

This section should interpret the data in a way that is accessible and clearly connected to your policy advice. Express ideas using active language and strong assertions. The goal is to be convincing, but ensure that your analysis is balanced and defensible. Explain the findings and limitations of the research clearly and comprehensively. For example, if the original hypothesis was abandoned, explain why.

• Express research findings in terms of how they relate to concrete realities (instead of theoretical abstractions) so the reader will have a clear idea of the potential effects of policy initiatives.

The “Key findings” section of  How to grow women-owned businesses  provides a brief overview of the findings before breaking down the results. Each research finding is presented independently and with clear headings. Even if a reader only skims the document, the headings provide a general understanding of the research findings. The graphics in this section quickly convey information from the research findings and they help to visually break up the text on the page.

Conclusion or recommendation

This final section of the policy brief should detail the actions recommended by the research findings. Draw the link for your readers between the research findings and your recommendations. Use persuasive language to present your recommendations, but ensure that all arguments are rooted firmly and clearly in evidence produced by the research. You want your readers to be completely convinced that yours is the best advice.

Examine the  implications  and the  recommendations  produced by the research.  Implications  are the effects that the research could have in the future. They are a soft but persuasive approach to describe the potential consequences of particular policies. This is a good opportunity to provide an overview of policy alternatives by presenting your reader with the full range of policy options.

Follow up the implications with your  recommendations . Beyond being descriptive, your recommendations should act as a call to action by stating precise, relevant, credible, and feasible next steps. It may strengthen your argument to demonstrate why other policies are not as effective as your recommendations.

• Think of the conclusion as a mirror to your introduction: you are once again providing an overview of your argument, but this time you are underlining its strength rather than introducing it.

”Lessons for policy and practice”, the conclusion of  Unpaid care and women’s empowerment: Lessons from research and practice , presents a series of broad policy recommendations that are clearly linked back to the research. Each recommendation has its own section and heading to make them easy to identify and understand.

Designing your policy brief

A policy brief should be convincing and interesting to read. The design and presentation of your brief are important considerations and can help keep the reader engaged. Use compelling titles and headings, sidebars featuring interesting details, bulleted lists to summarize your points, and graphics such as charts and images.

Titles and headings

A title should act as a reference point for readers and entice them to read the brief. A good policy brief should also include sub-titles or headings to break up the text and draw the reader’s attention to the main topic of each section. Using verbs can make headings more dynamic, while phrasing them as questions can spark a reader’s curiosity. The best titles contain relevant information without being too long or cumbersome.

Sidebars add greater depth to the main discussion and hook a reader’s attention. An effective sidebar should be short, descriptive, engaging, and action-oriented. The goal is to add extra detail and depth to help the reader understand and engage with the topic. Sidebars also visually break up the brief and make the document easier to read. Sidebars, like all other content in the policy brief, should advance the main argument.

Lists are an effective and visually interesting way to simplify dense content. They are useful for highlighting important information because they draw the reader’s eye. Lists should be no longer than five to seven bullet points (if lists are too short they may seem pointless, if they are too long they may be daunting). Each bullet point should express complete thoughts (avoid using bullet points that are only one or two words in length).

Visuals are easily one of the best ways to make policy briefs more interesting for readers. Choose effective visuals for the type of information you would like to communicate. For example, pie charts and bar graphs are preferable to data tables to illustrate findings. Include captions for photos and other visuals that explain the content to the reader. Every visual should serve a purpose and help to illustrate your argument.

Revising your policy brief

Once the policy brief has been drafted, reflect once again on its purpose, audience, content, and structure. Will your brief help to achieve your goals? Test it by trying to explain it in a twenty-second elevator pitch and assessing what information stands out. Revise the brief to make it as user-friendly as possible by removing jargon and statistics that make it less approachable. Ask a colleague with no prior knowledge of the issue to read the brief and provide feedback. What points do they draw from it, and do they match your intentions?

Using your policy brief

A good policy brief can play double duty by standing on its own or as an effective accompaniment to a presentation. Tailor any accompanying visual presentation to your brief by focusing only on the key points and answering important questions. Your audience can refer to the document when needed, so avoid repeating all of the brief’s text in your presentation. When distributing your policy brief, it is often a good idea to develop a short question-and-answer package and a section for further reading.

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Policy Brief

What is a policy brief?

A policy brief is a succinctly written document about a particular issue. It consolidates research on the context, causes, stakeholders, and impact of a situation or problem. A policy brief is designed to help decision/policy makers by presenting policy options and recommendations. Not all policy briefs have the same objectives; some advocate for one policy option, while some recommend a number of options to choose from. Check your assignment to make sure you are approaching yours correctly.

Length and tone:

A policy brief is typically 4-6 pages. The tone is professional (rather than academic) with clear explanations that are free of jargon.

Target audience:

Readers are typically policy makers from fields such as education, environment, politics, public health, or social work. Those who read policy briefs are invested in the issue but may not have in-depth knowledge of the topic. They are interested in getting the writer's insights and recommendations that are based on current evidence.

Step 1: Get started

A. understand your assignment.

Determine exactly what the assignment is asking you to do. Read the assignment carefully to determine the purpose, audience, scope, format, and length. For help, see Understanding your assignment .

Policy briefs can take various forms. For ideas and inspiration see these examples of policy briefs produced by different organizations.

B.  Download the policy brief template

• Policy brief outline (PDF)
• Policy brief outline (DOC)
• You can now modify the sections to match the ones given in your assignment.

C. Familiarize yourself with the issue

• In some instances you will have been assigned a specific topic and problem, in other instances you may have to choose the topic and problem.
• In either case do some general reading about the topic and problem.

Using traditional journalistic questions (who, what, where, when, why) can help you focus on aspects that will be the focus of your policy brief.  

Step 2: Research your policy issue

A. design your research strategy.

List terms/concepts associated with your policy issue. Isolate the main concepts. These are the terms you will enter into the library catalogue and databases to identify relevant books, journal and newspaper articles, and various types of reports. For more information on creating a strategy, see Effective research strategies (PDF) and contact the  librarian for your subject .

B. Find and evaluate sources

The sources you choose must be relevant and current. You need to make sure you are using academically sound sources such as peer-reviewed books and journal articles, but also sources such as government information, policy institute (think tank) documents, and material that relays the voice of the groups or people impacted by the issue, such as those who are marginalized or mistreated in some way.

Not all sources are equally relevant or truthfully representative. See  Evaluating information sources  for help discerning what will add real value to your assignment.

C. Select and organize what you've found

Gather your information and keep careful track of your sources as you go along. For help with this, see  Conducting research and note taking (PDF) .

Step3: Begin to organize your brief

Use your policy brief outline (retrieved in Step 1B) to fill in the sections of your policy brief with rough ideas you generate. Point form is fine. The following questions can help guide this work. Even though the executive summary comes at the beginning, notice that it makes more sense to do it at the end.

A: Who do you have to convince?

(Knowing this will influence how your write about the issue and layout the evidence.)

• Who are the informed but non-specialist readers of your brief?
• How are the readers likely to talk about/view this issue?
• What overall message do you want to convey that will resonate with them?
• Write this down in two sentences to help you stay on track.

B: Problem statement

• What is the extent/scope of the problem?
• What evidence can you present that demonstrates its impact, urgency, or magnitude?
• What facts, graphs, photos, quotations, statistics, or maps could you include here to support your points?

C: Stakeholders

• Who are all the stakeholders and how does the issue affect them?
• Keep in mind that individuals, marginalized or small communities, and underrepresented voiced may have different perspectives from government staffers and corporate leaders. You will want to include these perspectives if they are relevant to the issue and your recommendations.

D: Policy options

• Are you going to present multiple options and recommend one or present just one option? 
• What arguments and evidence can you provide to make your case?
• Who will be impacted by the option(s) and how?

E: Recommendations

• Which specific actions or measures are required and who needs to undertake them in order to bring about change?
• Are you going to close the paper with a closing call to action? This might be placed in the conclusion element if you have one.

F: Sources consulted

• Have you included a list of credible references that support the points you make?
• Have these point covered a range of perspectives?

G: Executive summary

• Have you included the key aspects of the rationale and problem?
• Does your summary entice the readers to read further?

Step 4: Write the first draft

Time to get writing! A first draft is an attempt to get ideas down on paper. It's okay if your ideas aren't completely formed yet. Let go of the need for perfection and write quickly. You can revise later.

For additional help, see  Writing a first draft (PDF) .

Step 5: Revise and proofread

A: evaluate your first draft and conduct additional research as needed.

Determine if there are any gaps in your draft. Do you have enough evidence to support your arguments? If you don't, you should conduct further research.

B: Revise your draft

Print out your brief and work from a hard copy. Read it carefully and look for higher-order problems first, such as organization, structure, evidence, and analysis. For help, check out these  tips for revision .

C: Evaluate your second draft and rewrite as needed

Narrow your focus to paragraph-level issues such as sentence flow and transitions. For help with this, see Transition words .

D: Proofread the final version of your brief

Last step! Read carefully to catch small errors. Here are some Proofreading strategies . Also, take time to make sure your brief adheres to the conventions of the style guide you are using or your instructor's requirements. Think about titles, margins, and page numbers. Is a cover sheet required?

Your list of sources should contain key items you used to write your brief. Follow the citation style guide recommended in your assignment or by your instructor. For help, take a look at the citation and style guides on the Library's website. Using reference management software  can also help you manage your citations as you write. Use tools such as RefWorks and Write-N-Cite for building your bibliography.

Your Step-by-Step Guide to Writing a Winning Policy Brief

by Lydia Stowe, FiscalNote

Policy briefs help your stakeholders understand complex information related to policy in a simple way. Read our step-by-step guide on writing policy briefs.

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While creating policy briefs is a big part of the public and government affairs role, it’s not often talked about. According to our 2021 State of Public Affairs Industry Report , 40 percent of government relations professionals say briefing is a monthly task, with 35 percent on a weekly schedule and 11 percent daily. This means a major component of your workweek is spent crafting and developing messaging and metrics for other people.  

Government affairs professionals need to write effective policy briefs to keep legislatures and their teams informed on issues that matter to their organization. We’re here to demystify the art of writing a policy brief and make the process simpler and less time-consuming. 

What is a Policy Brief, Really?

A policy brief is a concise summary of an issue that includes the policy options to solve a problem and recommendations on the best option. Policy briefs are typically written for organization leaders, policymakers, and others who are responsible for creating and influencing policy. Policy briefs are about a timely, relevant issue or an evergreen issue to your organization.

Policy briefs are just that — brief — with a typical one containing around 700 words on a single page. The briefs are usually designed in an aesthetically pleasing way, sometimes with an image or graphic.

How to Structure a Policy Brief

A policy brief template can help structure your brief and make sure you fit all the relevant information onto one page. Here are the key elements to include in any policy brief.

• Executive summary
• Description of the problem
• Overview of research
• Current and proposed policies
• Policy recommendations
• Appendices and sources

Your policy brief title should be short and to the point, while also being catchy and attention-grabbing enough to ensure it is read. Keep the title relevant without adding too much information that makes it clunky. Your stakeholder may decide whether to read the brief based solely on the title, so make sure yours is accurate, descriptive, and engaging.

In addition to the title of your brief, you should also add subheaders to make the brief skimmable and break up the text. You don’t want your policy brief to be one long chunk of text, or it will be harder to read and grasp the main points you’re making. Just like your main title, your subheads should be short, catchy, and descriptive.

EXECUTIVE SUMMARY

An executive summary is a brief synopsis of the main points of the policy brief, including the conclusions and recommendations. This summary should draw potential readers in and make them intrigued enough to want to read the whole report.

Bear in mind that the executive summary should contain sufficient information to stand on its own if your policymaker or executive doesn’t have time to read the whole brief. That’s why the summary should be comprehensive enough to provide readers with an overview of the issue, options, and recommendations — all in a few sentences (typically 100-200 words).

The Ultimate Policy Brief Template

Ace your next policy brief with this fully customizable template, designed with expert input and industry insights.

DESCRIPTION OF THE PROBLEM

A policy brief should include a clear description of the issue or problem you want policymakers to address. Describe the causes of the problem, its effects, and why it matters. In addition to understanding what the problem is, a good policy brief sheds light on why it is important and needs to be addressed urgently.

Based on your audience, you may not want to describe the problem in the most basic way if what you are saying is commonly known to your audience. “Assess how much the audience already knows at the start,” recommends Bruce Mehlman of Mehlman Castagnetti Rosen & Thomas. “Don’t waste everyone’s time with known basics.”

OVERVIEW OF RESEARCH

This is the section of your policy brief where you get to explain the reasons behind your policy recommendations and show the research and data behind them. Explain what research has been conducted, how data was collected and by whom, and other background information that establishes the credibility of your research. This should be kept to one to two sentences.

Assess how much the audience already knows at the start. Don't waste everyone's time with known basics. Bruce Mehlman

CURRENT AND PROPOSED POLICIES

Describe the current policies in place to address this issue, and why they are insufficient and new policies are necessary. When creating a state policy brief, Joshua Habursky, head of government relations at the Premium Cigar Association, recommends drawing comparisons and contrasts with other states. “If your brief is to California policymakers, describe what they did in Nevada,” he says. “If California and New York are originating it, it’s going to come to the other 48 states in some way, shape, or form.”

Then, describe the proposed policies succinctly. After this section of the policy brief, there should be no doubt about current legislation around this topic or what is being proposed.

POLICY RECOMMENDATIONS

Finally, it’s time to make your policy recommendations. Use the research and data presented early in the policy brief to draw a connection to your policy recommendations and why they make sense. While your policy recommendations will undoubtedly use persuasive language, keep them rooted in facts.

The biggest mistake people make when writing a policy brief is making it too biased, Habursky says. “A policy brief should be very explanatory, not a persuasive piece,” he emphasized.

Keep your recommendations short and to the point. Creating “narrow and achievable asks with a short, concise agenda” can make all the difference, according to John Loyer, CEO of Loyer Consulting. Less is more when it comes to captivating your audience and making sure that they are following along.

APPENDICES & SOURCES

Since you want the main text to be succinct and easy to read quickly, adding appendices to your policy brief can be a great place to present more detailed data, research, and other information. Add relevant information that supports the policy brief in your appendices.

Last but not least, provide references to no more than five sources where your readers can get more information on the topic, including the web addresses to the publications.

7 Tips for Writing an Effective Policy Brief

Want to learn how to write a policy brief like a pro ? Follow these seven tips to ensure your policy briefs are polished and professional.

1. UNDERSTAND YOUR AUDIENCE

“Personalize your presentation for specific audiences,” Mehlman says. “Rural Republicans and urban Democrats bring different priorities, as do CEOs and heads of government relations.”

Before creating your policy brief, understand your audience. The more you know about the people who will be reading your brief, the more you can customize it for them.

“The first question to ask is, who is the audience?” Habursky says. He writes policy briefs for board members, external stakeholders, and Hill staff, and tailoring his message to fit the audience is critical. “You get the most bang for your buck if you draft the policy brief and have the mindset that it’s going to go to multiple audience types from the very beginning,” he says.

At the start, you may not know much about your audience, so take the time to get a feel for their attention span and preferences. “There is a degree of trial and error in the beginning,” Habursky says. “Then you’ll be able to tailor it based on their needs.”

2. DESCRIBE THE URGENCY OF THE ISSUE

When you describe the problem, include a few sentences discussing the urgency. Why is this something your reader should pay attention to, and why now? What are the potential ramifications of inaction on this issue? Policymakers have many issues to consider and address, so make it clear why now is the time to act on this particular issue, and why it can’t wait. Back up your claims with solid facts, not emotion-driven rhetoric.

3. PROVIDE SUFFICIENT BACKGROUND ON THE ISSUE

Don’t assume your audience will already have all the background information on this issue. Summarize any relevant background that will put the issue into context and ensure your reader quickly has a grasp of the history and full scope of the issue. You can also use your appendices and sources section to provide more background information so you don’t disrupt the flow of the main text.

4. INCLUDE STATISTICS TO SUPPORT YOUR ARGUMENT

Backing up your argument with statistics is a non-negotiable for a policy briefing. Choose stats that pack a punch, and consider presenting them in a visual way that stands out. Don’t bog down your brief with too many numbers, though. Select the statistics that most support your recommendations and have the greatest impact.

5. KEEP IT FOCUSED ON THE MAIN ISSUE

When you spend every day neck-deep in an issue, it can be hard to condense it into just one page. But the more succinct and focused your briefing, the better chance it has of being read. Hone in on your main issue and the key message you need to convey.

“When we first started, we felt like every policy paper we wrote had to cover everything we knew about the topic. They were really long and really dense,” says Karen Pearl, president and CEO of God’s Love We Deliver, a New York organization that provides meals to people who are too sick to shop or cook. “We have over time learned to quickly get to the point and to make the papers more digestible. Now they’re much shorter.” The organization comes up with three to four key message points for each brief. They also include a strong visual and a longer, more detailed report that includes citations and more extensive research on the topic.

We have over time learned to quickly get to the point and to make the papers more digestible. Karen Pearl , CEO God's Love We Deliver

6. AVOID JARGON THAT CAN CONFUSE THE AUDIENCE

Molly Polen, senior director of communications and public relations at the American Association for Clinical Chemistry, always strives for her organization’s briefs to tell readers how scientific information relates to healthcare. She crafts the message to be in easy-to-understand language, not jargon. “What we do is so simple,” she says. “It’s connecting all the pieces to say what the end result will be, how it will be meaningful.”

Keep your message simple and easy to understand, and consider how the terms you use will be received by someone outside your industry (think lawmakers, activists, journalists). Throwing around jargon and complicated acronyms can confuse your reader, muddle the message, and make it difficult to make a connection with your audience. If possible, ask someone outside your industry to give your brief a once-over and flag unfamiliar terms that may need explanation or simplification.

7. INCLUDE VISUALS SUCH AS CHARTS AND GRAPHS

Eye-catching, engaging visuals can illustrate your point and back up your data in an appealing way. Just make sure your visuals are well thought out and align with your message. “Ensure your visuals match your narrative and narrative matches your visuals,” Mehlman says. “Cognitive dissonance undermines persuasion.”

If you’re short on space and trying to keep the brief to one page, Habursky recommends just describing a chart or in a sentence or two of text, then linking to a webpage where the visual aids can be viewed.

Write and Present Better Policy Briefs with FiscalNote

With all the policy briefs and issues to manage in a given week, it’s important to stay organized and have the most up-to-date information at your fingertips. FiscalNote has all the tools you need to stay up to date on policy and better research issues that matter to your organization.

With FiscalNote, users can create policy reports with visualizations, regulatory data, and global legislation and visualization. Users can pick and choose different modules to include in the report, such as basic information, policy maps, data visualizations (charts and graphs showing bill and regulation data), legislative and regulatory tables, and more.

FiscalNote provides access to the most innovative tools in digital advocacy management as you create policy briefs that make a difference. Our comprehensive approach to managing advocacy and policy issues can help you promote action, manage risk, assess your impact, and drive results.

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How to write industry-specific policies and procedures

• Five tools to help you write your policies

Policy writing is one of those skills that everyone can sort of do. Anyone who has read enough policies has a general feel for what they look like, and what goes into them. However, policy writing does take some actual knowledge and skill to be able to provide guidance, solve ambiguities, and keep your employees safe and out of legal trouble.

Your policy manual spells out the visions and expectations of your organizational leadership. It provides a standard of behavior and performance for your employees, as well as identify opportunities for improvement. They also share accreditation, licensing, and legal standards that all appropriate personnel are expected to follow. And it can protect you from lawsuits from disgruntled employees, clients, patients, or the general public.

That means policy writing needs to be written with an eye to "what could happen" and not just "what we prefer."

In this article, we'll discuss the complexity and challenges of policy writing, some of your options for writing policies, as well as how to write and develop them. We'll also talk about how to write industry-specific policies and procedures, including healthcare, corporations, law enforcement, and city government. And we'll share a few tools to help with your own policy writing efforts.

As we said earlier, policy writing is more than just cobbling together a few best practices or preferences on the part of a particular department head. For example, don't ask people who don't regularly travel or do field work to write work-related travel policies. Your policy writing team should include subject matter experts (SMEs) for each policy topic; in this case, people who travel for work or spend most of their time outside the office.

When you and your policy creation team write policies, they should consider the ramifications to everyone in the organization, and not just rely on their own personal preferences and practices. To that end, effective policies must:

• Be industry specific. There are some policies that should only apply to your particular industry, such as healthcare or manufacturing. You can't just borrow another company's policies and hope for the best.
• Be organization specific. Every organization is different in its own way. Your policies and procedures should reflect your organization's individuality.
• Protect you legally. This is one of the main purposes of a policy and procedure manual, so make sure you consult with attorneys during the writing process.
• Adhere to accreditation standards, if you’re accredited. Accreditation agencies often provide their own policies, which you can (and should) incorporate into your own manual.

There are a few options available for writing policies and procedures for your organization .

You can hire an outside consultant to write everything. They probably have some of the most experience and knowledge, especially if they specialize in only one kind of organization or industry. For example, a consultant that specializes in policy writing for law enforcement agencies is going to have in-depth knowledge about your state and maybe even your organization. They'll charge a high price because they have specialized knowledge, but they'll be able to complete everything in a matter of weeks, not months.

You can also engage a combination of organizational leadership and legal counsel . They're the ones with the most in-depth knowledge of the organization's functions and the legal implications of the different policies and procedures you'll be creating. Just be sure to speak to the actual people who work in the different areas. They're the SMEs and the people who actually perform the procedures you're going to write about. 

Finally, if your organization has any kind of accreditation or licensing body, there's a very good chance they will have their own policies and procedures , at least ones that pertain to the particular functions for accreditation compliance. For example, the Accreditation Association for Ambulatory Healthcare has set standards that healthcare facilities must follow regarding patient care, education, and technology in order to earn that all-important AAAHC accreditation.

How to write policies

There are a few steps to writing your organization's policies . While what you write will vary from industry to industry, organization to organization, the steps are still the same in almost all cases.

• Prioritize a policy list. You likely won't be able to create every policy at once, so you need to prioritize which policies are the most important. Create an order and timeline when they each need to be completed.
• Conduct thorough research. Look at your existing policies to see how things are currently done. And look for any new compliance or regulatory issues that will need new policies or require revisions. Look for changes in the laws, governmental regulations, and accreditation standards. And interview employees who deal with the policies on a regular basis.
• Create an initial draft. Policy writing means going through several revisions, soliciting feedback and getting questions from stakeholders. Simplify the language and avoid any technical jargon. Don't use a lot of industry-specific terms or anything that could confuse new employees or different employee groups.
• Send the draft out for review. Ask for feedback from your subject matter experts, especially if they didn't create the initial draft. Be sure to also talk to legal counsel to ensure you're in legal compliance. And use policy management software that offers audit trail features and version control.
• Get final leadership approval. Go to the highest level of leadership that makes sense for each policy. For example, you don't need the CEO to sign off on new policies for cleaning up spills, but you do for workplace harassment or management of proprietary information.

How to develop procedures

Developing new procedures requires almost all the same steps as writing new policies. You need to prioritize which procedures should come first, conduct the research for any accreditation compliance issues, write the initial draft, send it out for review, and so on.

The big difference is it's important to add another step after the initial draft: Validate the procedures.

This is where you make sure the new procedures are easy to understand by seeing them in action. Ask the employees you interviewed for step #2, conduct thorough research, and ask them to review (and even test) the new procedures for you. This way, you can see if you missed something, or if there's a simpler way to explain or complete the steps.

The problem a lot of organizations have with their policies and procedures is that they're often written in a vacuum. Each department feels they should be responsible for certain policies, and they expect every other department to follow their dictum.

Writing the best policies and procedures comes from an intra-departmental effort that involves getting the right people from different departments on the same team. It means getting them the right tools and creating the right processes. And it means getting final approval (and buy-in) from executive leadership.

Different industries will all have different policies and procedures. Even the way they write them will be slightly different, although there are a few principles that are the same, such as those we discussed above. 

Based on our own work with these industries, here are a few items that each industry – healthcare, corporations, law enforcement, and city government – should follow.

Writing policies and procedures in healthcare

• Identify experts who can help with the details.
• Review regulatory and accreditation standards for all departments and accrediting agencies.
• List out ALL procedure steps; don't assume there are any "understood" steps.
• Use easy-to-understand language.

Writing policies and procedures best practices for corporations

• Identify the most important policies using the 80/20 principle: Which 20% of policies will give you 80% of the results?
• Find reliable source material, such as borrowing from sample policies in your industry or through your accrediting agency.
• Create a normalized structure for each new policy.
• Make sure to track reviews and approvals by committee members as well as executives.

Writing effective policies and procedures in law enforcement

• List all policies that address national or state rules, regulations, and laws. Focus on expectations and acceptable behavior.
• Make sure you are creating legally defensible policies and procedures. 
• Find the balance between moral and legal obligations.
• Establish training standards for the appropriate policies and procedures.

Writing consistent policies across the entire city government

• Create policies that are simple and easy to understand.
• Include leaders and admins from other departments
• Establish accountability for policies and consequences for violation.
• Creative policies and procedures with public trust in mind. Your policies will be scrutinized by the public more than any other industry in this article.

Regardless of industry, there are 10 policies your organization needs to have in writing. Learn what they are today.

Tools to help you write policies

Just like every other part of policy management, there are tools to help you with areas of policy planning, policy writing, training, and even tracking approvals and signatures . Here are a few of our recommendations.

• Coggle: Mind-mapping software that lets visual thinkers do a brain dump of information. If you don't think in lists, but think in clusters as different ideas pop into your head, Coggle lets you chart out your ideas, interconnecting them as need be. It also lets several people collaborate, comment, and chat within a document at once. You can add text, links, images, and more with simple drag-and-drop tools.
• Evernote: The quintessential note taking tool that lets you save notes and share them on different devices and operating systems, even sharing notebooks between several users. You could save articles and samples of policies to your notebook, share it with committee members, and all have access to the same information.
• Grammarly: The ultimate grammar and spelling checker. You can use their website, a browser plugin, or a plugin for Microsoft Word. You can check grammar, punctuation, and spelling of all your policies and procedures to ensure you don't make a costly mistake . 
• Nimbus Screenshot: If you need to take screenshots of your computer to demonstrate step-by-step instructions of certain procedures, Nimbus Screenshot is a free browser plugin that lets you capture screen images and record video images from your browser window.
• PowerDMS: Of course we're going to mention our own product in our own article! Because PowerDMS can help you with every facet of policy writing. You can use everything from the PowerDMS workflows to collaborating with colleagues and getting buy-in from leadership, to its easy integration with Microsoft Office 365 and Google Drive, to uploading training content and policies from third-parties, such as accreditation agencies and consultants.

Want to learn more?

If you're going to start writing policies and procedures for your own organization, you want to make sure you’re as specific to your industry and organization as possible. Consider the different options for writing policies, including accreditation agencies, leadership and legal counsel, or hiring a consultant.

If you decide to write your own policies and procedures, we've got some additional guidance for you on our website, including which tools can help you with your efforts.

And if you'd just like to see our software in action and to see how it can help with policy writing, you can schedule your demo here .

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How to Write a Policy Brief

Last Updated: February 2, 2024 Fact Checked

This article was co-authored by wikiHow staff writer, Jennifer Mueller, JD . Jennifer Mueller is a wikiHow Content Creator. She specializes in reviewing, fact-checking, and evaluating wikiHow's content to ensure thoroughness and accuracy. Jennifer holds a JD from Indiana University Maurer School of Law in 2006. This article has been fact-checked, ensuring the accuracy of any cited facts and confirming the authority of its sources. This article has been viewed 166,472 times.

A policy brief is a short document that either advocates for a particular position or objectively describes a policy issue and the options available. You may have to write a policy brief for a class assignment, or while working for a corporation or nonprofit organization. A policy brief is typically fewer than 1,000 words and uses facts and figures to present the issue to readers who want a basic understanding. [1] X Trustworthy Source Food and Agricultural Organization of the United Nations Specialized agency of the United Nations responsible for leading international efforts to end world hunger and improve nutrition Go to source

Framing Your Issue

• For example, if you're writing for a nonprofit organization, your audience may be supporters of your organization. On the other hand, your audience may be government officials who are potentially antagonistic to your message.
• If you're writing your policy brief for a class assignment, ask your instructor to identify the audience for the policy brief, if this information isn't included in the information about the assignment.

• Because of their nature, policy briefs typically don't include a lot of background information. Your thesis statement should be related to a present issue or situation.
• For advocacy briefs, your thesis statement will present a way to resolve the issue the brief discusses. The thesis statement for an objective brief will present the issue itself and describe the motivation for differing approaches to addressing the issue.

• Use reliable sources, preferably objective academic studies or government data and statistics. These will make your policy brief more reliable.
• Make sure the data and information you find is directly related to your thesis. With only a few hundred words, you don't have a lot of space to go into detail about studies in the field.

• Don't worry about length at this stage either. Write what you think you need to include. It's easier to remove pieces than it is to add.

• Take a look at your reverse outline and move paragraphs around as necessary. Your narrative should flow logically from one paragraph to the next.
• Use transitions where necessary to make your brief a cohesive unit, rather than simply a collection of paragraphs or sections.

Tip: If you're having a hard time focusing your draft, talk to some whose opinion you respect. It doesn't matter if they know anything about your topic or not – you're just looking for a way to focus your writing on the point you want to make.

Building Your Structure

• For example, suppose you're writing a brief on voluntary euthanasia, and taking the position that it should be legal. For your summary statement, you might write: "People who are terminally ill want to die in a way that preserves their dignity and respects their autonomy. Voluntary euthanasia provides the opportunity for them to control their death."

• For example, suppose you're writing a brief on voluntary euthanasia that will be distributed to lawmakers who are against legalizing the practice. For your introduction, you might write: "All humans deserve to die with dignity. For people with terminal illnesses, this is only possible if assisted euthanasia becomes legal. Support for this is support for someone's autonomy in their final moments."

• For example, if you're writing a policy brief on voluntary euthanasia, you may have section headings such as "Respecting Autonomy," "Preserving Dignity," and "Controlling Costs."
• For a policy brief, section headings allow for multiple points of entry. Rather than reading from beginning to end, your reader can focus on things they're interested in first.

• For example, if you're writing a policy brief on voluntary euthanasia that will be distributed to government officials, you might encourage them to write or promote legislation to legalize voluntary euthanasia. On the other hand, if your readers were voters, you would want them to vote for representatives who supported legalizing voluntary euthanasia.

Tip: Word processing apps have templates you can use to streamline your policy brief. These templates will ensure your design is visually pleasing, clean, and uncluttered.

Writing Effectively

• Use phrases such as "a study found" or "statistics reveal" to introduce conclusions. Include your sources at the end of your brief. Your readers can look up the actual studies if they want to understand more about the methodology.

• Avoid technical terminology wherever possible. If it is unavoidable, provide a brief description or definition after the word or phrase.

• Any figures should relate explicitly to your thesis statement. Imagine that someone who'd read nothing but the title and subject headings could understand your brief from the figures alone.

• For example, if you're writing a policy brief about assisted euthanasia, you might mention that terminally ill patients leave behind massive medical bills that could be controlled if assisted euthanasia were an option.

• A policy brief is short by its nature, which means any errors will stand out. Spelling and grammatical errors will make your brief far less reliable.

Tip: There are apps you can download for free that will help you with proofreading. Grammarly will help you with proofreading active voice. The Hemingway app will also help you with active voice and allows you to customize your feedback based on a specific reading level.

Expert Q&A

You might also like.

• ↑ http://www.fao.org/docrep/014/i2195e/i2195e03.pdf
• ↑ http://www.icpolicyadvocacy.org/sites/icpa/files/downloads/icpa_policy_briefs_essential_guide.pdf
• ↑ https://writingcenter.unc.edu/tips-and-tools/reorganizing-drafts/
• ↑ https://www.idrc.ca/en/funding/resources-idrc-grantees/how-write-policy-brief
• ↑ https://www.idrc.ca/sites/default/files/idrcpolicybrieftoolkit.pdf
• ↑ https://writingcenter.unc.edu/tips-and-tools/policy-briefs/

About this article

To write a policy brief, start by writing a strong summary statement and explain in a concise introduction why the issue is important to your readers. Next, create section headings for your main sections using brief, active phrases. Then, fill the sections with content using clear language, solid research, and your proposed solutions. Finally, close the brief with a summary and a call to action to support the solutions you've proposed. For tips on adding images and other dynamic content, read on! Did this summary help you? Yes No

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Padres Notes: Historic Sweep, Pitcher Designated for Assignment, Yu Darvish Update

J.p. hoornstra | aug 15, 2024.

• San Diego Padres

The San Diego Padres made history on Wednesday by beating the Pittsburgh Pirates 8-2. The win marked their 19th win in their last 22 games, the best 22-game stretch in franchise history.

Here's all the news you might have missed Wednesday:

National Reporter Picks Surprise Padres Standout to Win Major Award

A national basbeall writer has identified an surprise All-Star from the San Diego Padres as a prime contender for a prestigious MLB award. Ken Rosenthal's endorsement of Jackson Merrill for Rookie of the Year could be a belwether, bringing further attention to the Padres' center fielder among future Rookie of the Year voters.

Padres Designate Veteran Right-Hander for Assignment

When the Padres activated Joe Musgrove from the 60-day IL prior to Monday's start against the Pittsburgh PIrates, someone had to leave the 40-man roster. Veteran right-hander Carl Edwards Jr. drew the short straw and was designated for assignment.

Yu Darvish Returns to the Mound for Batting Practice

Yu Darvish, sidelined since late May due to personal and health reasons, took a significant step forward by throwing live batting practice in San Diego. This session marks a necessary milestone toward returning to the Padres this season, but it remains unclear if the personal matter keeping him away from the field will allow him to come back before the 2025 season .

Joe Musgrove's Standout Return from IL

Returning from nearly two and a half months on the IL, Joe Musgrove pitched 4.1 scoreless innings against the Pirates, earning a standing ovation at Petco Park. His comeback not only boosted the team's morale but also suggests Musgrove can be a quality addition to the starting rotation down the stretch.

J.P. HOORNSTRA

J.P. Hoornstra writes and edits Major League Baseball content for Halos Today and Inside the Padres, and is the author of 'The 50 Greatest Dodger Games Of All Time.' He once recorded a keyboard solo on the same album as two of the original Doors.

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