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NATIONAL DEFENCE COLLEGE
POLICY ANALYSIS AND FORMULATION
PROCESS AT THE NATIONAL DEFENCE
COLLEGE
BY
COMMODORE A KPOU
DSS psc(+) fdc(+) BSc PGD2 MBA MSc TRCN
COORD ADUN
22 SEPTEMBER 2021
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Nature of policy.
The values of policy.
Output of policy-good governance, security and
dev’t.
Policy and policy making process.
KSAs of policy making are learnable
Mandate of the College
INTRODUCTION
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The presentation will cover the following:
SCOPE
1. Conceptual Definition of Key Terms.
2. Characteristics of Policy.
3. Impact of Policy.
4. Theoretical Models of the Policy Process.
5. Policy Exercise in the College.
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CONCEPTUAL DEFINITIONS
1. Policy. Deliberate set of normative
principles to guide decisions and reach rational
outcomes. A set of statement of intent or action that
defines the goals, courses, procedures and protocols
for the conduct of business of an individual, group,
institution or nation.
2. Public Policy. Comprehensive set of goals,
objectives and courses of action and intentions made
by government and its agencies for the conduct of
government business in the interest of the nation.
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CONCEPTUAL DEFINITIONS (CONT)
3. Strategy. On the other hand,
Strategy is a comprehensive plan of action
formulated or designed to achieve a particular
goal. It is obvious that strategy is a path to
achieving the goals of policy.
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CONCEPTUAL DEFINITIONS (CONT)
4. Policy Analysis. Techniques used to examine
and evaluate the congruence between the goals and
(possible) outcomes of policy. There are 2 types:
a. Analysis of existing policy – analytical
and descriptive.
b. Analysis of evolving policy –
prescriptive.
Conducted with a variety of decision making tools
such as Operations Research, Network Analysis,
Planning and Programme Budget System, Cost
Benefit Analysis and Management-by-Objective.
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CONCEPTUAL DEFINITIONS (CONT)
5. Policy Formulation. The development of
the proposed courses of action for dealing with
the policy problem.
6. Policy Implementation. The process of
interaction between the setting of goals and
actions geared towards achieving them.
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TYPES OF POLICY
1. Scale of Influence – Macro/Micro.
2. Subject Area – Education, Health,
Security, Defence.
3. Policy Space – Federal, State, Local.
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NATURE OF POLICY
1. Regulatory. Policies aimed at prohibiting
actions that are harmful to society, maintaining order
and facilitating change. National Workplace Policy on
HIV-AIDS.
2. Distributive. Policies used to allocate or
distribute value in the form of benefits and services to
the public. Economic Recovery and Growth Policy.
3. Re-distributive. Policies used to promote
equity, equality and social justice YOU-WIN, N-
POWER.
4. Constituent. Policies used to establish or re-
organise public institutions. Nigerians in Diaspora
Commission.
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The Government.
Interest Groups.
Civil Society Organisations.
The Media.
The Academia and Policy Advocates/Activists.
The General Public.
POLICY ACTORS
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Goal Setting. Serve as instrument to convey the
goals of government, processes of action and
expected outcomes in the subject matter.
Promote Understanding. Serve as instrument
for promoting and fostering understanding of the
broad aspirations in the subject matter.
Resource Provision. Serve as a means of
informing oversight authorities such as the
Legislature and to facilitate appropriation and
fiscal authorisation.
Communication. Serves as strategic
communications to relevant audiences.
IMPACT OF POLICY
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Used to determine which solution best matches the
identified problems. The elements are:
Identify the Problem.
Establish Decision Criteria.
Weigh Decision Criteria.
Generate Alternatives.
Evaluate Alternatives.
Select the Best Alternative
RATIONAL COMPREHENSIVE MODEL
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A popular model of policy making developed by
Harold Lasswell in the 1950s is the Stages Model. It
promotes policy making as a circle of recursive
stages that ultimately lead to a public policy. The
entire policy circle consist of 5 stages namely:
Agenda Setting
Policy Formulation
Policy Decision Making
Policy Implementation
Policy Feedback
.
STAGES MODELS OF POLICY MAKING
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1. Agenda Setting. Agenda setting identifies
and defines the issues that require policy
intervention/review. It includes environmental
scanning, problem definition and policy analysis.
2. Policy Formulation. Formulation defines
the justification, structure, overall goals and
specific objectives, as well as procedures.
3. Policy Decision Making. Policy decision-
making is the process of buy-in, authorisation,
adoption of the policy by the Executive, Legislature,
interest groups, institutions, stakeholders and the
general public.
STAGES IN THE POLICY CIRCLE
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4. Policy Implementation. The process of
interaction between the setting of goals and actions
geared towards achieving them.
5. Policy Feedback. This stage monitors,
measures, examines and evaluates the performance
of the policy. It records unforeseen occurrences and
deviations from predicted outcomes. Hence, new
policy agenda and targets may be set.
STAGES IN THE POLICY CIRCLE
(CONT)
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SCOPE OF POLICY EXERCISE
1. Term 1 - Policy Analysis as a Group.
2. Term 2 - Policy Analysis as an Individual.
3. Term 3 - Policy Analysis and Formulation as an
Individual.
4. Term 3 - Policy Implementation as part of Exercise
GRAND NATIONALE.
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1. Introduction . Provide background of the policy area and
rationale for env’t scan and analysis.
2. Environmental Scan. Generate relevant data on events and key
issues in both the internal and external environment of the subject matter.
These may include data on political, economic, social,
technical/technological, administrative, human resource background amongst
others, Establish an historical/contemporary profile/trend that contribute to
policy successes/failures. Determine/project future trends if necessary.
3. Statement of Policy Problem. From the environmental scan
above, identify the main problem that caused policy failures/ineffectiveness/
inefficiencies and hence make a clear statement of the policy problem. This
section places a very important marker on the entire policy process.
4. Policy Objectives. Set general and specific objectives that
are expected to overcome the identified policy problem(s) and promote
progressive developments in the subject area.
OUTLINE OF POLICY ANALYSIS FOR
EXISTING POLICY
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5. Criteria for Analysis.The criteria are derived from aspirations to deliver
goals of policy intervention. They are to include parameters such as:
a. Effectiveness of policy outcome(s).
b. Efficiency of policy process.
c. Value delivery such as equity, equality, gender
mainstreaming, youth affirmation, inclusiveness
d. Political factors and correctness of the policy.
e. Economic benefits and viability of the policy.
f. Social acceptance of the policy by stakeholders/audiences.
g. Technical feasibility of the policy.
h. Administrative feasibility of the policy.
i. Environmental sustainability of the policy.
j. Any Other Criterion.
OUTLINE OF POLICY ANALYSIS FOR
EXISTING POLICY (CONT)
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6. Policy Options and Alternatives. Identify and
describe policy options with substantive outline provisions that
could solve the identified policy problems. The current policy
may be included as a base case except it is clearly infeasible.
However, “Reviewing the Current Policy” should not be a
policy option as that is indeed begging the question. It is typical
to provide a strength/weakness analysis of the options.
7. Comparison of Policy Options. Use established criteria
to compare policy options or alternatives to assess most suitable
one for further development and implementation. This may be
presented on a Policy Analysis Matrix or Options Paper Matrix.
8. Preferred Policy Option. From the results of
Paragraph 7 above, select preferred policy option.
OUTLINE OF POLICY ANALYSIS FOR
EXISTING POLICY (CONT)
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1. Introduction. The first thing is to provide a background leading
to the need for policy intervention in the subject area.
2. Environmental Scan. Generate relevant data on events and key
issues in both internal and external environment of the subject matter. These
may include data on political, economic, social, technical/technological,
administrative, human resource background amongst others, Establish an
historical/contemporary profile/trend that create the imperative for a policy in
the subject area. Determine/project future trends if necessary.
3. Statement of Policy Problem. From the environmental scan
above, identify the critical path to policy success/effectiveness/efficiencies
and hence make a clear statement of the policy problem. This section places a
very important marker on the entire policy process.
4. Policy Objectives. Set general and specific
objectives that are expected to meet the core policy issues and promote
progressive developments in the subject area.
OUTLINE OF POLICY ANALYSIS FOR NEW
POLICY
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5. Criteria for Analysis. The criteria are derived from
aspirations to deliver goals of policy. They include:
a. Effectiveness of policy outcome(s).
b. Efficiency of policy process.
c. Value delivery such as equity, equality, gender
mainstreaming, youth affirmation, inclusiveness
d. Political factors and correctness of the policy.
e. Economic benefits and viability of the policy.
f. Social acceptance by stakeholders/audiences.
g. Technical feasibility of the policy.
h. Administrative feasibility of the policy.
i. Environmental sustainability of the policy.
j. Any Other Criterion.
These can be classified as essential and desirable requirements.
OUTLINE OF POLICY ANALYSIS FOR NEW
POLICY (CONT)
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6. Policy Options or Alternatives. Identify and
describe policy options that consist of substantive outline
provisions that could solve the identified policy problems if
implemented. It is typical to provide a strength/weakness
analysis of the options.
7. Comparison of Policy Options. Using the established
criteria for analysis, compare policy options or alternatives to
assess most suitable one for further development and
implementation. This may be presented on a Policy Analysis
Matrix or Options Paper Matrix.
8. Preferred Policy Option. From the results of
Paragraph 7 above, select preferred proposed policy option.
OUTLINE OF POLICY ANALYSIS FOR NEW
POLICY (CONT)
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1. Policy Designation. The long and short titles of the Policy should be
indicated. The designation is to include the subject matter, policy number, concerned
MDA and indication that the policy is new or being reviewed/amended.
2. Brief Background. A brief background is to provide the context for policy
formulation. This could entail the highlights from the environmental scan conducted
during policy analysis of the subject area leading to statement(s) of policy problem(s).
Hence indicate the rationale for policy intervention. The rationale could be statutory
requirements for review; changed/changing environment; emerging challenges;
inadequacies/incapacities of existing policies; new vision; or new regulations.
3. Policy Goals. Goals include major policy goals and specific objectives.
4. Basic Philosophy and Principles. The basic philosophies, principles
and values undergirding or underpinning the motives and objects of the policy are to
be articulated.
OUTLINE OF POLICY FORMULATION
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5. Scope of the Policy. The scope of the policy is to indicate the range of
issues and/or applications of the document.
6. Procedures The procedure section is to provide details about the policy.
These are to include the following:
a. Substantive and detailed provisions of the policy document which
should accord with each of the policy objectives and scope items.
b. The general guidance and methods for achieving policy provisions.
c. The structures and organs of action.
7. Rational Outcomes. Rational outcomes of policy can be defined by
universal, local, or special PMIs derived from front-end criteria for policy analysis.
8. Performance Measurement and Evaluation. The structures and
methodologies for measuring and evaluating the performance of the policy is to be
articulated. The PME system is to include, among other things, the following:
OUTLINE OF POLICY FORMULATION
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a. The departments, sections or structures assigned to conduct PME
b. Instruments of Data Collection. Indicate the instruments of
data collection such as – inspections, surveys, feedback report etc.
c. Methods of PME could be MBO, behavioural rating scales, feedback
analysis, psychological appraisal, and cost benefit analysis.
c. The periodicity for PME is also to be indicated.
9. Policy Review.The conditions and/or periodicity for policy reviews.
10. Authorization. Authority for policy promulgation and activation (if necessary).
11. Relevant Dates. All relevant/significant dates and conditions.
12. Supplementary Sections
a. Definition of Term. Provide definition/clarification of uncommon terms
and terminologies as well as those with special meanings in the policy document
b. Reference. Should define existing laws/ policies/regulations, both local
and international, that drive/support the policy.
OUTLINE OF POLICY FORMULATION
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TUTORIAL ON TYPICAL POLICY FORMULATION
Ser Item Remarks
(a) (b) (c)
1. Appropriate Title UNIVERSITY POLICY ON STUDENTS’ SCHOLARSHIPS AND FINANCIAL
AID
2. Introduction Motto of ADUN is Excellence in Education
Implication is to engage the brightest and the best amongst us.
A principal object is to provide education to all without let.
Socio-econ env’t undermines access and continuance of education
3. Statement of the
Policy Problem(s)
Educational prospects of a significant number of promising young
persons are unfortunately cut short due to economic incapacities of
their parents.
4. Main Policy
Objectives
Provides ways and means of promoting excellence in education and
access to education for the financially distressed .
Specific
Objectives
Promote excellence in education.
Promote educational inclusiveness and accessibility
Promote socio-economic equity.
Provide financial help to young Nigerians seeking qualitative educ.
Celebrate achievements of young, dynamic & upwardly mobile
Nigerians
Promotes Corporate Social Responsibility (CSR) of the University
5. Underpinning
principles
Policy draws inspiration and justification from: the implied vision of
ADUN to provide service differentiation; and the contemporary global
aspirations to provide “Education for All”.
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TUTORIAL ON TYPICAL POLICY FORMULATION
Ser Item Remarks
(a) (b) (c)
6. Policy Outline Classify expected beneficiaries – Fresh, old, local area, military and
special cases.
Conditions for granting scholarship and financial aid – Merit,
Performance, CSR and Fee Waivers.
Terms and conditions for sustaining the scholarship and financial aid.
Financing the scholarship and financial aid
Limitations of awards
Administration of awardees
7 Authority
8 Effective
Dates
9 Definition of
Terms
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The basic problematique of policy implementation is
To correctly interpret what is to be done
Which entity is to act on it and how.
Timelines to achieve the desired impact.
Rational outcomes or measurable indicators of
the policy objectives
Processes of measuring performance.
In other words, the provisions of policy need to be
transformed into planned and measurable actions using
a Policy Implementation Plan (PIP) or Policy
Implementation matrix (PIM).
OUTLINE OF POLICY IMPLEMENTATION
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ELEMENTS OF POLICY IMPLEMENTATION PLAN/MATRIX
1. Unique IDENTIFIER. To ensure that no significant provision is
left unattended
2. Expressed PROVISIONS obtained directly from the policy
document.
3. Expressed/Implied TASKS/ACTIONS derived from the
Expressed provisions in the policy document.
4. Identification of agencies /entities statutorily responsible or
specially ASSIGNED TO ACT on the express/implied tasks in
the policy document.
5. Clear definition of IMPLEMENTATION REQUIREMENTS.
include human and material resources, funding,
organisation, technology, knowhow as well as inter-
ministerial/inter-agency/inter-intra service engagements,
additional procedures, regulations and doctrines.
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ELEMENTS OF POLICY IMPLEMENTATION PLAN/MATRIX
6. TIMEFRAMES indicating possible start and finish times
for preps/planning, task execution, performance
measurement and reporting as well as completion. These
timelines must reasonably consider the limitations of the
operating environment.
7. Determination of RATIONAL OUTCOMES. Defined in
terms of international acceptable standards of performance
or practice or operationally defined performance target.
These are modelled as PMI.
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Drucker, P., (1954). The Practice of Management.
Dunmoye, R.A., (2007). “Elements of National Power”, lecture delivered to
Participants of National Defence College Course 16.
Edward,M.E., (1971). Makers of Modern Strategy: Military Thought from
Machiavelli to Hitler, Princeton: Princeton University Press.
Fischer. F., Miller, G.J., and Sander. M.S., (eds) Handbook of Public Policy: Theory,
Politics and Method (New York: CRC Press, 2007) http://www.dictionnaire.enap.ca/
dictionnaire /docs/definitions/definitions anglais/policy_cycles.pdf assessed Feb 21.
Howlett. M., and Ramesh, M., (2003). Studyng Public Policy: Policy Cycles and
Policy Subsystems Toronto: Oxford University Press.
Jones, C.O., (1977). An Introduction to the Study of Policy, 2nd Ed, Massachusetts:
Duxbury Press,.
Jowi T.J., American Business, Public Policy, Case Studies and Political Theory
Lowi T., Four Systems of Policy, Politics and Choice, Public Administration Review
32 (4)
REFERENCES
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Kpou, A., lecture on National Defence Policy Formulation, delivered at the Air Force
War College, 10 March 2017.
National Defence College, contribution of the National Defence College to the
National Security Policy formulation process, 2012.
Simon, H., Understanding the Herbert Simon Decision Making Theory
USAWC, “Guidelines for Strategy Formulation”, in National Security Policy and
Strategy Module.
REFERENCES (CONT)
