planning to make people's lives better

Planning to make people's lives better

April 2016

Planning Toolkit

PLANNiNG To mAke PeoPLe'S LiveS beTTer

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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:


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:


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


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


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


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:


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'?


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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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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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:


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:


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:


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:


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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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:


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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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):


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):


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):


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?


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?


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:


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?


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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