Policy Formulation, a structured approach.

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POLICY IMPLEMENTATION: A
STRUCTURED APPROACH
BY
CDRE A KPOU (Rtd)
GSS psc(+) fdc(+) BSc MBA PGD2 MSS
COORD ADUN
18 JANUARY 2023
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INTRODUCTION
 Policy making - a universal responsibility of
nations in deference to the instinct for continuous
improvement in governance.
 Designed to consider; select and apply a course
of action out of many possible courses.
 Public policies translate government political
will and vision into programmes and actions to deliver
desirable outcomes to the citizenry.
 Typically designed to promote problem-solving
as well as progressive and beneficial outcomes in
various sectors such as security and defence.
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INTRODUCTION (CONT)
 Policy making - an iterative process usually
involving at least 6 definitive steps namely:
1. Agenda setting;
2. Formulation;
3. Adaptation & legitimisation;
4. Implementation;
5. PME; and lastly
6. Review/termination.
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POLICY FORMULATION PROCESS
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1
AGENDA
SETTING
2
POLICY
FORMULATION
3
LEGITIMISATION
4
POLICY
IMPLEMENTATION
5
POLICY
PME
6
POLICY
FEEDBACK,
REVIEW/
TERMINATION

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INTRODUCTION (CONT)
1 National Defence Policy (NDP) 2006.
2 National Security Strategy (NSS) 2014.
3 National Cyber Security Policy and Strategy 2014.
4 National Counter Terrorism Strategy (NACTEST)
2016 Revised.
5 National Defence Policy 2017.
6 National Security Strategy 2019.
7 National Maritime Policy 2019.
8 Policies at DHQ level.
9 Policies at Service HQs.
10 Policies at the Command levels.
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INTRODUCTION (CONT)
SOME EXTRANEOUS AND INHERENT CHALLENGES TO
POLICY SUCCESS IN NIGERIA
 Regular regime change.
 General ignorance and public policy blindness.
 Lack of sufficient buy-in by strategic partners and audiences
or adverse policy environment.
 Fault-lines in the policy formulation processes.
 Gaps in policy communication and coordination.
 Grand and institutional corruption
 Financial and material resource gaps.
 Human and technical deficiencies.
 Policy implementation gaps arising from poor implementation
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INTRODUCTION (CONT)
 Hypothetical proposition that:
 Goal attainment of policy can be significantly facilitated
by detailed policy implementation planning.
 The purpose of this presentation is to justify this
proposition
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To promote the KSAs of policy implementation.
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AIM

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SCOPE
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Basic Definitions
Principles and Practice
of Policy
Implementation
Dev’t of Policy
Implementation Matrix

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BASIC DEFINITIONS
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BASIC DEFINITIONS
 Policy. Framed at topmost echelon of human systems
as deliberate set of normative principles to guide
decisions and reach rational outcomes. A statement of
intent or action that defines goals, courses, procedures
and protocols for conduct of business of an individual,
group, institution/organ or nation.
 Policy Making Process. Aggregate of all actions
taken from initiation to conclusion of a policy.
Continuous and iterative process. Public policy making
process refers to actions taken by gov’t and their agents
to translates vision to reality in the national interest.
Involves agenda setting, formulation, legitimisation,
implementation, evaluation and termination/review.
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BASIC DEFINITIONS (CONT)
Policy Formulation. Involves dev’t of
proposed courses of action for dealing
with identified problem requiring policy
response.
 Policy Implementation. Process of
interaction between the set goals and actions
geared towards achieving them.
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PRINCIPLES AND PRACTICE OF
POLICY IMPLEMENTATION
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PRINCIPLES OF POLICY IMPLEMENTATION
 Dynamic conversion and transformation process of
policy objectives into specific plans, programmes,
projects and actions.
 Stage where formulated policy intentions are
operationalised and executed.
 Actions include those of government and its agents
directed at achieving objectives set forth in policy
decisions and provisions.
 For defence policies, include efforts by Branch Chiefs,
Commanders, Directors and staff officers to galvanise
action in furtherance of policy goal attainment
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POLICY IMPLEMENTATION (CONT)
Merits of policy implementation are:
1. Information. Promotion of general and
functional awareness of the policy;
2. Adaptation. Gradual adoption of new
behaviours in accordance with interpretation of policy
provisions;
3. Enforcement. Enforcement of specific
institutional and individual roles; and lastly,
4. Benefaction. Positive benefits or incentives for
people and institutions who change behaviour in the required
direction.
“If a policy is not implemented, then the policy is merely
wishful thinking”.
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CLUSTERS OF IMPLEMENTATION ACTIVITIES
Interpretation. Involves selecting specific actions in
furtherance of each policy provisions. The content and context of
the interpretation activity must be substantial and behavioural.
Minimum requirements for interpretation are suitability, public
acceptability and political correctness where necessary, technical
and resource feasibility as well as ethical correctness.
Organisation. Structures or network of structures to carry out
actions implied from interpretation. Motive is to build humanistic
and democratic values that seek to improve organisational
effectiveness and efficiency. At the end of the activity, the estab
organisation or networks must show clearly defined and
measurable system of empowerment.
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CLUSTERS OF IMPLEMENTATION ACTIVITIES
Application. Application activity is a managerial and
procedural function. It sets out to perform management
functions such as communicating, coordinating,
superintending, and directing to carry out the interpreted
actions in furtherance of set benchmarks and KPIs.
Measurement and Evaluation. Measurement and
evaluation is a managerial function that applies iterative
scanning to continuously assess performance, quality and
efficiency of the policy implementation process.
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FACTORS THAT CAUSE POLICY FAILURE
a. Goals and target beneficiaries that are not well defined. Particularly,
when there is no unity of purpose and interests.
b. Presence of multiple, unclear and ambiguous goals
c. Aberrations in the understanding of public good by the significant
actors, keyplayers and stakeholders.
d. Presence of multiple (and disconnected) actors.
e. Presence of complex technical features in the policy.
f. Change from status quo or what may be called punctuated
equilibrium, distinct from evolutionary process of gradualism.
g. Shortage of funds and other non-financial resources.
h. Over-reliance & dependence on extraneous institutions/entities.
i. Undue interference & intervention by extraneous influences/entities.
j. Long gestation period of the policy and long duration of execution.
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FACTORS THAT PROMOTE POLICY SUCCESS
a. Generation of social and institutional acceptability to get
both general and functional awareness.
b. Presence of understanding and unity of purpose among
implementers and beneficiaries.
c. Adequate capacity empowerment of human and
organisational structures to implement the policy.
d. Availability of sufficient resources and support.
e. Implementation of effective communications and
coordination protocols as well as commitment.
f. Implementation of regular and effective monitoring.
g. The suitability and timeliness of implementation process.
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DEVELOPMENT OF POLICY
IMPLEMENTATION MATRIX
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POLICY IMPLEMENTATION MATRIX I
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Ref Policy
Prov
Action(s) Responsible Budget Budget
Source
Status
(a) (b) (c) (d) (e) (f) (g)
ID
Sect
What is the
provision?
What
action(s)
must be
completed to
implement
the
provision?
Who is
responsible for
the actions to
be taken?
How much
is needed?
Source of
funding
Would the
action
complete
or add to
progress?
.

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POLICY IMPLEMENTATION MATRIX II
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Ref Express
or
Implied
Tasks
Action Status Impact
Issues
Time
Frames
Performance
Metrics
PMIs PME
(a) (b) (c) (d) (e) (f) (g) (h)
ID
Sect
Policy
provision
What is to
be done?
Who is
responsible
for the
actions?
Would the
action
complete
or add to
progress?
Executive
decisions,
structures &
regulations
needed
Start time,
turning
points &
finish
2.

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RUBRIC FOR POLICY IMPLEMENTATION
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Id Express
Provisions
Expressed
/Implied
Tasks/
Actions
Responsible Requirements Time
Frames
Performance
Metrics
Rational
Outcomes
PME
(a) (b) (c) (d) (e) (f) (g) (h)
Chapter/Section
1.
2.

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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/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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OTHER SUGGESTIONS ON POLICY IMPLEMENTATION
Set up an organisation to oversee the PIP/PIM.
Resource the Organisation.
Demand a regular feedback on policy
implementation.
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SUGGESTIONS FOR PERFORMANCE MEASUREMENT
AND EVALUATION
a. Establish a PME structure.
b. Ensure functional awareness by stakeholders on a ‘need-
to-know’ and ‘need-to-act’ basis derived from the PIP.
c. Maintain functional networks and collaborative
structures with stakeholders/keyplayers for policy impl.
d. Conduct routine/special monitoring of PIP elements.
e. Conduct surveys, data collection and analysis on policy
outcomes
f. Embark on regular risks and vulnerability assessments
and promote remedial actions.
g. Issue regular performance updates on the policy.
h. Routinely collate inputs for future policy reviews.
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OTHER SUGGESTIONS
Public and stakeholder presentation.
Enlightenment.
Promotion.
Lobbying.
Strategic and operational engagement.
Resourcing.
Communication and coordination.
Monitoring and inspections.
Data collection and analysis.
Follow-up.
Reporting.
Review.
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TYPICAL OUTLINE OF POLICY
IMPLEMENTATION PLAN
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SAMPLE OF NDP IMPLEMENTATIONOUTLINE
Par Implementation Modalities Perf
Measurement
Express
Prov
Express/
Implied
Tasks/Actions
Responsible Requirements Timeframe
S-T, M-T & L-
T
Rational
Outcomes
PME
(a) (b) (c) (d) (e) (f) (g) (h)
Chapter 1 - Introduction
6 Defence
Vision
Present NDP
to the public
MOD Estab NDP
Launching
Cmtee
Dec 2017 Public
awareness
of NDP
Q1
2018
7 Defence
Mission
Cause public
awareness/
debates on
NDP 2017
MOD, MFA,
FMIC, NOA,
NTA, FRCN
-do- Q1 2018 Public
perception
of defence
Q2
2018
8 Defence
Objs
Generate Inst
awareness in
stakeholders
MOD, DHQ Estab NDP
Contact Cmtee
PME System
Q1 2018 Functional
awareness
of NDP
Q2
2018
Mass-produce
& distribute
NDP
MOD Suppl Budget Dec 2017 Improved
Functional
awareness
Q1
2018

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CONCLUSION
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THANK YOU FOR
YOUR
ATTENTION
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REFERENCES
Nnebe. H.E. ((2006), Policies of the Federal Republic of Nigeria, the Obasanjo Years (1999 – 2007)
F Fischer, GJ Miller and MS Sander (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 14 Sep 20.
Alan G Stolberg, How Nations Craft National Security Strategy Documents, US Army
War College, Carlisle, 2012
M Howlett and M Ramesh, Studying Public Policy: Policy Cycles and Policy Subsystems
(Toronto: Oxford University Press, 2003).
National Defence Policy 2006.
National Security Strategy 2019
National Cyber Security Policy and Strategy 2014
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