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Policy Analysis and formulation.ppt

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Olusegun Mosugu

The document outlines the policy analysis and formulation process at the National Defence College. It begins with conceptual definitions of key terms like policy, public policy, strategy, policy analysis, formulation, and implementation. It then covers characteristics of policy like types, nature, and actors. Models of the policy process are presented including rational-comprehensive and stages models. The scope of the policy exercise at the college is described over three terms involving analysis, formulation, and implementation. An outline for policy analysis and formulation is provided as an example of the process taught.

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RESTRICTED RESTRICTED 1 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 RESTRICTED RESTRICTED 1
RESTRICTED RESTRICTED 2  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
RESTRICTED RESTRICTED 3 To introduce the essential knowledge, skills and aptitudes required in the policy formulation process in the College AIM
RESTRICTED RESTRICTED 4 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.
RESTRICTED RESTRICTED 5 CONCEPTUAL DEFINITION OF KEY TERMS
RESTRICTED RESTRICTED 6 SOME KEY TERMS 1. Policy. 2. Strategy. 3. Public Policy. 4. Policy Analysis. 5. Policy Formulation. 6. Policy Implementation.
RESTRICTED RESTRICTED 7 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.
RESTRICTED RESTRICTED 8 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.
RESTRICTED RESTRICTED 9 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.
RESTRICTED RESTRICTED 10 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.
RESTRICTED RESTRICTED 11 CHARACTERISTICS OF POLICY
RESTRICTED RESTRICTED 12 CHARACTERISTICS OF POLICY 1. Types of Policy. 2. Nature of Policy. 3. Policy Actors.
RESTRICTED RESTRICTED 13 TYPES OF POLICY 1. Scale of Influence – Macro/Micro. 2. Subject Area – Education, Health, Security, Defence. 3. Policy Space – Federal, State, Local.
RESTRICTED RESTRICTED 14 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.
RESTRICTED RESTRICTED 15  The Government.  Interest Groups.  Civil Society Organisations.  The Media.  The Academia and Policy Advocates/Activists.  The General Public. POLICY ACTORS
RESTRICTED RESTRICTED 16 IMPACT OF POLICY
RESTRICTED RESTRICTED 17  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
RESTRICTED RESTRICTED 18 THEORETICAL MODELS OF POLICY MAKING
RESTRICTED RESTRICTED 19  Simon’s Satisficing Model.  Incremental Model.  Mixed Scanning Model.  Political Model.  Rational Comprehensive Model.  Stages Model. SOME TYPICAL THEORETICAL MODELS
RESTRICTED RESTRICTED 20 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
RESTRICTED RESTRICTED 21 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
RESTRICTED RESTRICTED 22 . STAGES IN THE POLICY CIRCLE 1 Agenda Setting 2 Formulation 3 Decision Making 4 Implementation 5 Feedback
RESTRICTED RESTRICTED 23 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
RESTRICTED RESTRICTED 24 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)
RESTRICTED RESTRICTED 25 POLICY EXERCISE IN THE COLLEGE
RESTRICTED RESTRICTED 26 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.
RESTRICTED RESTRICTED 27 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
RESTRICTED RESTRICTED 28 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)
RESTRICTED RESTRICTED 29 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)
RESTRICTED RESTRICTED 30 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
RESTRICTED RESTRICTED 31 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)
RESTRICTED RESTRICTED 32 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)
RESTRICTED RESTRICTED 33 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
RESTRICTED RESTRICTED 34 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
RESTRICTED RESTRICTED 35 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
RESTRICTED RESTRICTED 36 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”.
RESTRICTED RESTRICTED 37 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
RESTRICTED RESTRICTED 38 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
RESTRICTED RESTRICTED 39 RESTRICTED RESTRICTED SIMPLIFIED RUBRIC FOR POLICY IMPLEMENTATION MATRIX 39 Ser 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. 3. 4. 5. 6. 7.
RESTRICTED RESTRICTED 40 RESTRICTED RESTRICTED 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. 40
RESTRICTED RESTRICTED 41 RESTRICTED RESTRICTED 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. 41
RESTRICTED RESTRICTED 42 CONCLUSION
RESTRICTED RESTRICTED 43 THANK YOU FOR YOUR ATTENTION
RESTRICTED RESTRICTED 44 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
RESTRICTED RESTRICTED 45 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)
RESTRICTED RESTRICTED 46

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Policy Analysis and formulation.ppt

  • 1. RESTRICTED RESTRICTED 1 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 RESTRICTED RESTRICTED 1
  • 2. RESTRICTED RESTRICTED 2  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
  • 3. RESTRICTED RESTRICTED 3 To introduce the essential knowledge, skills and aptitudes required in the policy formulation process in the College AIM
  • 4. RESTRICTED RESTRICTED 4 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.
  • 6. RESTRICTED RESTRICTED 6 SOME KEY TERMS 1. Policy. 2. Strategy. 3. Public Policy. 4. Policy Analysis. 5. Policy Formulation. 6. Policy Implementation.
  • 7. RESTRICTED RESTRICTED 7 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.
  • 8. RESTRICTED RESTRICTED 8 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.
  • 9. RESTRICTED RESTRICTED 9 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.
  • 10. RESTRICTED RESTRICTED 10 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.
  • 12. RESTRICTED RESTRICTED 12 CHARACTERISTICS OF POLICY 1. Types of Policy. 2. Nature of Policy. 3. Policy Actors.
  • 13. RESTRICTED RESTRICTED 13 TYPES OF POLICY 1. Scale of Influence – Macro/Micro. 2. Subject Area – Education, Health, Security, Defence. 3. Policy Space – Federal, State, Local.
  • 14. RESTRICTED RESTRICTED 14 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.
  • 15. RESTRICTED RESTRICTED 15  The Government.  Interest Groups.  Civil Society Organisations.  The Media.  The Academia and Policy Advocates/Activists.  The General Public. POLICY ACTORS
  • 17. RESTRICTED RESTRICTED 17  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
  • 19. RESTRICTED RESTRICTED 19  Simon’s Satisficing Model.  Incremental Model.  Mixed Scanning Model.  Political Model.  Rational Comprehensive Model.  Stages Model. SOME TYPICAL THEORETICAL MODELS
  • 20. RESTRICTED RESTRICTED 20 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
  • 21. RESTRICTED RESTRICTED 21 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
  • 22. RESTRICTED RESTRICTED 22 . STAGES IN THE POLICY CIRCLE 1 Agenda Setting 2 Formulation 3 Decision Making 4 Implementation 5 Feedback
  • 23. RESTRICTED RESTRICTED 23 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
  • 24. RESTRICTED RESTRICTED 24 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)
  • 26. RESTRICTED RESTRICTED 26 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.
  • 27. RESTRICTED RESTRICTED 27 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
  • 28. RESTRICTED RESTRICTED 28 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)
  • 29. RESTRICTED RESTRICTED 29 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)
  • 30. RESTRICTED RESTRICTED 30 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
  • 31. RESTRICTED RESTRICTED 31 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)
  • 32. RESTRICTED RESTRICTED 32 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)
  • 33. RESTRICTED RESTRICTED 33 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
  • 34. RESTRICTED RESTRICTED 34 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
  • 35. RESTRICTED RESTRICTED 35 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
  • 36. RESTRICTED RESTRICTED 36 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”.
  • 37. RESTRICTED RESTRICTED 37 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
  • 38. RESTRICTED RESTRICTED 38 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
  • 39. RESTRICTED RESTRICTED 39 RESTRICTED RESTRICTED SIMPLIFIED RUBRIC FOR POLICY IMPLEMENTATION MATRIX 39 Ser 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. 3. 4. 5. 6. 7.
  • 40. RESTRICTED RESTRICTED 40 RESTRICTED RESTRICTED 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. 40
  • 41. RESTRICTED RESTRICTED 41 RESTRICTED RESTRICTED 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. 41
  • 44. RESTRICTED RESTRICTED 44 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
  • 45. RESTRICTED RESTRICTED 45 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)