planning to make people's lives better
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Planning to make people's lives better
April 2016
Planning Toolkit
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Why Plan?
To make thebest use of resources
in order to improve the livelihoods and welfare
of a state's citizens. Think transparency and accountability.
Federal, State and Local
Governments all have a prime responsibility to use their considerable
resources effectively and efficiently – to do so
needs planning.
The total expenditure of all the states amounts to
50% of the total public sectorexpenditure in Nigeria.
Despite the huge amounts of money available,
government per capita spending remains low,
welfare remains substandard and for the majority life is hard,
surrounded by poverty, lack of welfareand often insecure.
Why? Poor governance and no effective
planning!
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The State Partnership for Accountability, responsivenessand Capability (SPArC) was designed by the UkGovernment's Department for international Development(DFiD) to improve governance for better service deliveryin originally five, now ten, state governments of theFederal republic of Nigeria.
As a contribution to this goal, SPArC has produced fourtechnical Policy and Strategy Guides to improve theimpact of state government efforts to deliver public goodsand services so as to improve the welfare of its citizens.The four Guides are:
n Guide 1: Preparing a Policyn Guide 2: Preparing a State Development Plann Guide 3: Preparing a medium-Term Sector Strategyn Guide 4: How to Conduct a Sector Performance
review
Taken together, the Guides suggest a policy and planningcycle that includes: (i) evidence-based policy prioritychoices; (ii) preparing a State Development Plan to definethe overarching policy position of the State and theexpected outcomes; (iii) detailing these policy prioritiesinto programmes and projects that are realistic and costedin a medium-term sector strategy that provides the basefor preparing the annual budget; and (iv) a method forassessing performance of activities included in thestrategy and funded in the budget to provide lessons forthe future.
This document, Planning to make people's lives better,provides an introductory overview of the four Guides andis intended for the lay reader who has an interest in statepolicy and planning.
The four Policy and Strategy Guides and this overview areavailable online at www.sparc-nigeria.com/planning-suiteor in printed form from the SPArC office in Abuja or anyof the ten SPArC State offices.
We would welcome any comments or queries, and havean established Access to Sharing knowledge (ASk)Helpdesk that can provide further assistance.
Preparing a Policy
Preparing a StateDevelopment Plan
Preparing amedium-Term
Sector Strategy
How to Conduct a Sector
Performancereview
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making Policy
Think about howbetter governance
can be attained
Using policy as a starting point
What is policy?
Types of policy What should a policy be?
Who makes public policy?
engagingstakeholders
Where can you find ‘policy’?
building blocks forpolicy making
success
Policy making cycle
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referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 2
Need to think about how better governance
can be attained.
What is policy? Policies are principles, rules and guidelines
formulated or adopted for reaching long-term goals.
They are the declared objectives that a government seeks
to achieve and preserve in the interest of the
community.
A way to start is to make publicpolicy that is based on reality and
not political whim.
overview of policy making
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There are different sorts of policies:
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 2
Those concerned with
general welfare – covering education and
health provisions,law and order,
etc.
Those meant to help specific sectors of society, such as
welfare programmestargeting extremely
poor people or helpingindustries so that they will invest.
Those that regulatebusinesses, service
providers, etc.
Those attempting to reduce inequalities
and provide disproportionate resources to the
target group.
Those that regulate how the government itself
operates.
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What are the characteristics of policy making? Policies should be:
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 2
Forward lookingand take a longer term
view.
evidence based –based on soundevidence and not
personal prejudice.
innovative –thinking of newways of doing
things, learningfrom others.
inclusive – consultstakeholders, seek feedback
on what works;remember you may
not know best!
viable, affordableand produce the
desired outcomes.
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institutional roles in policy making
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 3
The main responsibility lieswith the State executiveCouncil (exCo), which is
led by the State Governor.
The State House of Assembly
(SHoA) does not approve policy,
but has animportant role in
scrutinizing policyduring its
development.
Civil servants act asadvisors on policy
formulation and areresponsible for
implementing policy.
Civil society has a keyrole and should be
involved in thedevelopment of policy that
affects livelihoods and welfare.
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building blocks for policy making success
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 4
Politics: political leadership is
a precondition of effectivepolicy making. Politicians,
such as the Governor,should provide the lead
needed to develop policythat is responsive to the
needs of the people.
Partnership and engagement:
it is critical to engageeffectively with key
stakeholders and members of the public (including
representatives of sociallyexcluded groups), and
identify key partnerships for delivery.
Information and evidence: use of
reliable information andevidence of effectiveness,
including on gender, inclusionand equality
issues, will help ensure an effective and
responsive policy.
Vision: a unifying State vision
is needed to bring together the different reasons for
developing forward-looking,innovative, inclusive and
realistic policies.
Institutional design and governance:
committees and workinggroups are needed for driving
the policy making process.They must have clear roles
and responsibilities, and must foster problem
solving, not 'blame shifting'.
The budget: those responsible for
developing a policy must be supported by a budget to
meet the costs oftransportation,
communication and holding stakeholder
meetings.
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Policy making cycle
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 4
Policy choices: from the chosen policyalternatives, formulate
expected outcomes for each policy area – focus on what
the future would look like: whatwould be different in the state?
How would people's liveschange? Would inequality
gaps be reduced – e.g. between rural and urban
access to services?
Policy implementation: a new policy must
be put into effect, this requires determining which
organisations or agencies willbe responsible for carrying it
out and what resources will be available for
the purpose.
Getting started: set the agenda and
make certain the area of concern is explicit; get
organised – set up oversight,management and technical
teams; define a clear path or process with
a budget.
Develop policy options: generate
policy alternatives – this is not merely listing all the
possible options but a creativeact to arrive at a viable position;
screen alternatives based ontheir feasibility in the existing
policy environment (e.g. political acceptability).
Policy review: collect data, on a
regular basis, on theperformance of policy
implementation; study howeffective the new policy has
been in addressing theoriginal problem; if
necessary amend policy to make it more
effective.
Identify issues and establish a baseline: study the problem and
establish its causes in detail;construct a baseline of
information on the existingsituation; engage stakeholders –from government, private sector,
academic institutions and thepublic – to better define
issues and possible solutions.
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engaging stakeholders:
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 5
There needs to be clarity on who the targetaudiences are for any
particular policy and theremust be adequate
representation for all those involved.
make decisions on whatinformation or opinion is
wanted and how thatinformation will be used.
Provide feedback to those consulted.
There is a wide variety of 'stakeholders'.These include politicians,trade unions, the private
sector, the media and civilsociety, which includes the marginalised, our
development partners,religious organisations
and so on.
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Where can you find 'Policy'?
referenceSPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 6
Policy should feature in the election manifestos
of aspiring politicalcandidates so that voters
can make an informeddecision on who to
vote for.
most states now have a State DevelopmentPlan that sets out a
comprehensive accountof the policy priorities ofthe State Government.
Policy will also be presentedat the sector level, for
example a State HealthSector Plan.
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The State Development Plan
Why have a StateDevelopment Plan?
The State Plan and Policy
Getting started ensuringinclusiveness
Developing policiesand priorities
obtaining planapproval
implementing the plan
What to think about when preparing
a State Plan
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Why have a State Development Plan?
referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 2
To provide a publicdocument that sets out thegovernment's priorities for
development (how itintends to spend itsrevenues) and the
outcomes it wishes toachieve in the period of the
plan.
The State
Development Plan (SDP)
should enhance transparent
governance and be designed
to set out a clear vision.
it should have Specific,
measurable, Achievable,
relevant and Time-bound
(SmArT) goals.it should enhance
coordination across all stategovernment activities andprovide a road map to all
state ministries,Departments and Agencies (mDAs).
but it will not describe in detail every programme and project; these will bedeveloped after the plan
has been formulated.
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referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 2
The State Plan and Policy:
Policies adopted by the state form the'building blocks' for the State Plan.
The plan must include a statement of thegovernment's vision and strategic direction
and a small number of key outcomes.
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referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3
Think 'big and long term' –
challenges are bigand so the plan
must set out long-term approaches to
address them.
Think 'affordability
and sustainability' –
good plans must be
achievable given
limited resources.Think 'inclusion' –
who should beconsulted in plan
preparation;everyone has theright to be heard.
Think 'who should the plan
benefit?' – the vast majority of Nigerians are poor and so they must bethe focus of the plan and
this must include the socially excluded and
disadvantaged.
Think 'the potential for conflict' –ensure interventionsdo not exacerbate
conflict and recognisethere will always bewinners and losers.
Some essential things to think about when preparing a State Plan:
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Getting started:
referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3
ensure there is solidpolitical understanding and
support for the plan.
be organised. Who is going
to do the work? Who will
oversee the plan
preparation?
Get information on theavailability of finance to fund
the plan over the mediumterm.
make sure there is enoughinformation available to
review the existing situationand understand the current
situation in all sectors.
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ensure inclusiveness:
referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3
recognise that the needsof all must be considered,
including the poor andsocially excluded.
Avoid actions that unfairly
benefit only some and
make social tensions
worse.Consult the
community to get their'buy in' – include theprivate sector, civil
society organisations,the media, religious
bodies andrepresentatives of all
segments of thecommunity.
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Develop policies and priorities:
referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3
Debate andagree the
overarchingdirection andshape of the
plan.
identify
policy options
and select those
that are most
responsive and
achievable.
recognise financial and
human resourcesconstraints – thesewill determine if the
plan can beachieved.
Set out keypriorities andbroad goals. Determine
the expected
outcomes (what
the state hopes to
achieve) from
implementing the
selected
policies.
For each
policy area define
the existing situation
and the targets to be
achieved by the
end of the plan
period.
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obtain plan approval:
referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3
Present the final draft planto the exCo for approval.
Send the approved plan
to SHoA for its
endorsement.
Publicise the approvaland make 'popular
summaries' of the planwidely available.
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referenceSPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3
ensure all mDAsunderstand the plan
and use it as thebasis for their sector
strategies, annualbudgets and work
plans.
Carefully monitor the
implementation of
the plan.
each year reviewimplementation
progress across thewhole of the
government andwhere necessarymake changes.
Get feedbackfrom a
comprehensiverange of
stakeholders onthe impact of the
plan's goals. Towards the end of the plan period
undertake a thoroughevaluation to learn
lessons that will helpin drafting the
next plan.
implement the plan:
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Preparing a Sector Strategy
What is a medium-TermSector Strategy (mTSS)?
What to think about when preparing an
mTSS
Getting started (Stage 1)
Finalising the mTSS(Stage 3)
rolling-over the mTSS(Stage 4)
Developing strategicpriorities and options
(Stage 2)
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What is a medium-Term Sector Strategy (mTSS)?
referenceSPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 2
An mTSS links policy as set out in the State
Development Plan to thebudget and lays out how
the policies will beimplemented.
A 'sector' is a discrete area of
government business and
may include several mDAs.
mTSSs help governmentmDAs make the best use ofresources to deliver public
services.
mTSSs cover a three year period, but
they are 'living' documentsthat need to be revised everyyear and are adjusted in thelight of an evaluation of theprevious year's performance
and the level of financethat can be made
available.
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Some essential things to think about when preparing an mTSS:
referenceSPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 2
Think 'affordability andsustainability' – goodstrategies must be
achievable given limitedresources.
Think 'inclusion' – who should
be consulted in a mTSS
preparation; everyone has
the right to be heard.Think 'who should
the strategy benefit?' – the vast majority of
Nigerians are poor and sothey must be the focus of
the programmes andprojects in the plan, and
provision must be made forthe socially excluded and
disadvantaged.
Think 'the potential for conflict' – ensure
interventions do not makeconflicts worse and recognisethere will always be winners
and losers.
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referenceSPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3
Set up a sectorstrategy committeeto coordinate workby the mDAs of the
sector.
identify and review
policies that are
relevant to the
sector.
Gather and analyse
information on howthe sector isperforming.
Find out approximately how much
money is likelyto be available over
the coming three years –sector spending
envelopes are issued bythe mDA responsible
for finance and budget.
Calculate existingcommitments and howmuch money can be
spent on newactivities.
Getting started (Stage 1):
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Develop strategic priorities and options (Stage 2):
referenceSPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3
When deciding priority activities and
investments, it is criticalto engage a range of
stakeholders to gather variousviews. The views of both
those who provide services and those who
use (or wish to use) them are important.
Consider what
needs to be
done to widen
the services to
those unable to
access them.
Develop options for
delivering the agreed strategicpriorities – agree
targets to be obtained in the
three year period.
Through dialogue and
technical analysisdecide upon strategicpriorities (these must
be linked back topolicy priorities of the state plan).
Cost the preferred options in terms of
capital, overheads andpersonnel to ensure that the proposed mTSS isaffordable – revise if
found to be too expensive.
Prepare
a draft mTSS for
political approval.
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Finalise the mTSS (Stage 3):
referenceSPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3
Seek approval of theexCo.
Prepare final approved
document.
Develop a 'Performancemanagement Framework' to
provide for managing themTSS implementation.
Prepare the sector budgetsubmission based on the
content of the mTSS.
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rolling-over the mTSS (Stage 4):
referenceSPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3
Undertake the annualreview of the sector'sperformance – howeffectively was the
previous year's mTSSprogramme implementedand what lessons can be
learned?
revise the mTSS for a
further three years based on
the findings of the review and
the level of finance that will
be available.
The revision process is thesame as Stages 2 and 3
above.
once prepared get politicalapproval and the cycle starts
once again.
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Conducting a Sector Performance review
Why should an SPr be conducted?
What is the purpose of the SPr?
How should an SPr be conducted?
What is a PmF? What does it contain?
key things aboutformulating targets
referenceSPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 3
Why should a Sector Performance review (SPr) be conducted?
An SPr is undertaken to enhance
sector strategy formulation,implementation and
monitoring as well as tofacilitate decision-making at
all levels of governmentoperations.
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in many states in Nigeria, unrealistic
sector strategies exist becauseindependent, relevant,
credible, accurate, reliable andaccessible data on which to
base policy and strategydecisions are not available.
Policy and strategy goalsshould be based on
sound, objective and verifiable evidence.
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What is the purpose of an SPr?
referenceSPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 4
Assess the progress
made in implementing the
activities, expending the
budget and achieving the
mTSS strategic priority
(outcome) and strategic
objective (output) targets.
identify the possible factorsresponsible for the level of
performance.
review the strategic prioritiesand objectives
and produce key findings andrecommendations for
adjusting and implementingthese to increase efficiency,
effectiveness, costeffectiveness and equity.
revise the activities,budget and strategic
priority/objective(outcome/output) targets in
response to the keyfindings.
Facilitate stakeholder
engagement and feedback to
citizens as part of the review
process.
Produce key findings inrelation to institutional and
organisational performance.
identify vulnerablegroups in society (e.g.
the poor, aged, childrenand socially
disadvantaged) anddesign special
strategies to addresstheir needs.
monitor and evaluate theefficiency, effectiveness,cost effectiveness and
equitability of the mTSS.
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How should an SPr be conducted?
referenceSPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 4
Stakeholder engagement: consult
with civil societyrepresentatives, including
those of marginalisedcommunities relevant to
the sector.
review performance: perform analysis against
kPis.
report key findings and recommendations in a user-friendly manner.
validate the draft report with key officials.
Use findings to make improvements
in the sector.
Get organised: identify change champions,
agree on utility,performance review teams,
and assemble relevantdocuments.
Collate the data for the Performance
Assessment, FinancialAssessment, and
organisational Assessment.
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The PmF contains:
referenceSPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 5
Strategic priorities(outcomes) and strategic
objectives (outputs).These are the objectives
as stipulated in the mTSS.
Key Performance
Indicators (KPIs) that are
used to measure progress
against the strategic priorities
(outcomes) and strategic
objectives (outputs).
Baseline data – the datathat defines the starting
situation.
Targets – values thatare defined for specific
kPis and which indicatewhat 'success looks
like' for a specificindicator.
referenceSPArC Policy & Strategy How to Guide 4: How to
Conduct a Sector Performance review, Section 4
A PmF enables anorganisation (sector) to
define, manage andmeasure performance
against its strategicpriorities (outcomes) and
strategic objectives(outputs).
What is a Performance management Framework (PmF)?
What are the key things to think about when formulating targets?
referenceSPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 5
Targets should be SmArT(Specific, measurable,
Achievable, realistic andTime-bound).
The targets set should
ensure that the aim is to
reduce social inequality.
Target setting should involvea wide selection of
'stakeholders', includinggenuine 'grass roots'representation, which
includes men and women,as well as disadvantaged
groups.
The targets must befeasible and need to bebased on the availablebudget - projections offinancial availability are
essential if realistictargets are to be
drawn up.
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AFTerWorD
Well-articulated, evidence-based policies that set out a setof priorities, goals and programmes for the stategovernment form the foundation for tackling poverty andsocial inequalities. Throughout all the Guides there arefive underlying principles:
1. better governance is essential if efforts to provide services are not to be undermined by weaknesses where governments do not set adequate policy and strategy direction, do not manage public finances well, and do not ensure the civil service is structured for delivery.
2. The production and consumption of public goods and services must be for the 'common good', and satisfy both efficiency and equity criteria.
3. Policy must be focused on reducing poverty and should be used to eliminate excessively large disparities in living standards and access to basic services between individuals and communities.
There are dedicated DFiD programmessupporting service delivery that canprovide specific advice and support in thisarea. These include the education SectorSupport Programme in Nigeria; TeacherDevelopment Programme; maternal,Newborn and Child Health Programme;Women for Health; and a suite ofprogrammes around Growth, employmentand markets in States.
4. The political decision-making process that determines policy and expenditure priorities must permit expanded popular participation so that social choices reflect the needs and preferences of all social groups, including the marginalised and deprived. The political decision-making process must also be given strong oversight by legislatures, the media and civil society.
There are dedicated DFiD programmes thatprovide specific advice and support in thisarea, including the State Accountability andvoice initiative; mobilising for Development;and Nigeria Stability and reconciliationProgramme.
5. Policy and strategy decisions must be based on sound, objective and verifiable evidence, rather than unsubstantiated opinion or anecdote.
There are dedicated DFiD programmes thatprovide specific advice and support in thisarea, including education Data research andevaluation in Nigeria and the independentmonitoring and evaluation Programme.
This publication was developed during the State Partnership for Accountability, responsiveness and Capability(SPArC) programme, an initiative of the Nigerian and Uk Governments, which worked to improve governance andreduce poverty in Nigeria from 2008 to 2016. The two governments supported reforms in 10 of Nigeria's 36 states:Anambra, enugu, Jigawa, kaduna, kano, katsina, Lagos, Niger, Yobe and Zamfara. The programme is indebted andgrateful to the state government partners that worked tirelessly to develop, test, adapt and improve on tools andresources developed jointly with SPArC technical teams.
This publication may be reproduced in whole or in part and in any form for educational or non-profit purposes withoutspecial permission from SPArC, provided the acknowledgement of the source is made. No use of this publicationmay be made for resale or for any other commercial purpose whatsoever.
Disclaimer
The opinions expressed in this publication are those of the authors and do not necessarily represent the views of theDepartment for international Development. While the information contained herein is believed to be accurate, it is ofnecessity presented in a summary and general fashion. The decision to implement one of the options presented inthis document requires careful consideration of a wide range of situation-specific parameters, many of which may notbe addressed by this document. responsibility for this decision and all its resulting impacts rests exclusively with theindividual or entity choosing to implement the option.The SPArC programme does not make any warranty or representation, either expressed or implied, with respect tothe accuracy, completeness or utility of this document; nor do they assume any liability for events resulting from theuse of, or reliance upon, any information, material or procedure described herein, including but not limited to anyclaims regarding health, safety, environmental effects, efficacy, performance, or cost made by the source ofinformation.
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