Planning to make people's lives better by SPARC Nigeria

Planning Toolkit

Planning to make people's lives better

April 2016

P L A N N i N G To m A k e P e o P L e ' S L i v e S b e T T e r

Why Plan?

To make the best 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 â&#x20AC;&#x201C; to do so needs planning.

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 welfare and often insecure. Why? Poor governance and no effective planning! The total expenditure of all the states amounts to 50% of the total public sector expenditure in Nigeria.

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The State Partnership for Accountability, responsiveness and Capability (SPArC) was designed by the Uk Government's Department for international Development (DFiD) to improve governance for better service delivery in originally five, now ten, state governments of the Federal republic of Nigeria. As a contribution to this goal, SPArC has produced four technical Policy and Strategy Guides to improve the impact of state government efforts to deliver public goods and services so as to improve the welfare of its citizens. The four Guides are: n n n n

Guide Guide Guide Guide

1: 2: 3: 4:

Preparing a Policy

Preparing a Policy Preparing a State Development Plan Preparing a medium-Term Sector Strategy How to Conduct a Sector Performance review

Taken together, the Guides suggest a policy and planning cycle that includes: (i) evidence-based policy priority choices; (ii) preparing a State Development Plan to define the overarching policy position of the State and the expected outcomes; (iii) detailing these policy priorities into programmes and projects that are realistic and costed in a medium-term sector strategy that provides the base for preparing the annual budget; and (iv) a method for assessing performance of activities included in the strategy and funded in the budget to provide lessons for the future. This document, Planning to make people's lives better, provides an introductory overview of the four Guides and is intended for the lay reader who has an interest in state policy and planning. The four Policy and Strategy Guides and this overview are available online at www.sparc-nigeria.com/planning-suite or in printed form from the SPArC office in Abuja or any of the ten SPArC State offices. We would welcome any comments or queries, and have an established Access to Sharing knowledge (ASk) Helpdesk that can provide further assistance.

Preparing a State Development Plan

Preparing a medium-Term Sector Strategy

How to Conduct a Sector Performance review 2

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making Policy

Think about how better governance can be attained

Using policy as a starting point

Types of policy

Who makes public policy?

What should a policy be?

building blocks for policy making success

engaging stakeholders

What is policy?

Policy making cycle

Where can you find â&#x20AC;&#x2DC;policyâ&#x20AC;&#x2122;?

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overview of policy making

A way to start is to make public policy that is based on reality and not political whim.

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.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 2

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There are different sorts of policies:

Those that regulate businesses, service providers, etc. Those concerned with general welfare â&#x20AC;&#x201C; covering education and health provisions, law and order, etc.

Those attempting to reduce inequalities and provide disproportionate resources to the target group.

Those meant to help specific sectors of society, such as welfare programmes targeting extremely poor people or helping industries so that they will invest.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 2

Those that regulate how the government itself operates.

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What are the characteristics of policy making? Policies should be:

innovative – thinking of new ways of doing things, learning from others. Forward looking and take a longer term view.

inclusive – consult stakeholders, seek feedback on what works; remember you may not know best! evidence based – based on sound evidence and not personal prejudice.

viable, affordable and produce the desired outcomes.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 2

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institutional roles in policy making

The State House of Assembly (SHoA) does not approve policy, but has an important role in scrutinizing policy during its development. The main responsibility lies with the State executive Council (exCo), which is led by the State Governor.

Civil society has a key role and should be involved in the development of policy that affects livelihoods and welfare.

Civil servants act as advisors on policy formulation and are responsible for implementing policy.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 3

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building blocks for policy making success

Vision: a unifying State vision is needed to bring together the different reasons for developing forward-looking, innovative, inclusive and realistic policies.

Partnership and engagement: it is critical to engage effectively with key stakeholders and members of the public (including representatives of socially excluded groups), and identify key partnerships for delivery.

Politics: political leadership is a precondition of effective policy making. Politicians, such as the Governor, should provide the lead needed to develop policy that is responsive to the needs of the people.

Information and evidence: use of reliable information and evidence of effectiveness, including on gender, inclusion and equality issues, will help ensure an effective and responsive policy.

Institutional design and governance: committees and working groups 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 of transportation, communication and holding stakeholder meetings.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 4

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Policy making cycle

Policy review: collect data, on a regular basis, on the performance of policy implementation; study how effective the new policy has been in addressing the original problem; if necessary amend policy to make it more effective.

Policy implementation: a new policy must be put into effect, this requires determining which organisations or agencies will be 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.

Policy choices: from the chosen policy alternatives, formulate expected outcomes for each policy area – focus on what the future would look like: what would be different in the state? How would people's lives change? Would inequality gaps be reduced – e.g. between rural and urban access to services?

Identify issues and establish a baseline: study the problem and establish its causes in detail; construct a baseline of information on the existing situation; engage stakeholders – from government, private sector, academic institutions and the public – to better define issues and possible solutions.

Develop policy options: generate policy alternatives – this is not merely listing all the possible options but a creative act to arrive at a viable position; screen alternatives based on their feasibility in the existing policy environment (e.g. political acceptability).

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 4

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engaging stakeholders:

There is a wide variety of 'stakeholders'. These include politicians, trade unions, the private sector, the media and civil society, which includes the marginalised, our development partners, religious organisations and so on.

There needs to be clarity on who the target audiences are for any particular policy and there must be adequate representation for all those involved.

Provide feedback to those consulted.

make decisions on what information or opinion is wanted and how that information will be used.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 5

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Where can you find 'Policy'?

most states now have a State Development Plan that sets out a comprehensive account of the policy priorities of the State Government. Policy should feature in the election manifestos of aspiring political candidates so that voters can make an informed decision on who to vote for.

Policy will also be presented at the sector level, for example a State Health Sector Plan.

reference SPArC Policy & Strategy How to Guide 1: Preparing a Policy, Section 6

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The State Development Plan

Why have a State Development Plan?

The State Plan and Policy

Getting started

Developing policies and priorities

What to think about when preparing a State Plan

ensuring inclusiveness

obtaining plan approval

implementing the plan

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Why have a State Development Plan?

To provide a public document that sets out the government's priorities for development (how it intends to spend its revenues) and the outcomes it wishes to achieve 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.

but it will not describe in detail every programme and project; these will be developed after the plan has been formulated. it should enhance coordination across all state government activities and provide a road map to all state ministries, Departments and Agencies (mDAs).

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 2

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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 the government's vision and strategic direction and a small number of key outcomes.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 2

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Some essential things to think about when preparing a State Plan:

Think 'big and long term' – challenges are big and so the plan must set out longterm approaches to address them.

Think 'affordability and sustainability' – good plans must be achievable given limited resources.

Think 'inclusion' – who should be consulted in plan preparation; everyone has the right to be heard.

Think 'who should the plan benefit?' – the vast majority of Nigerians are poor and so they must be the focus of the plan and this must include the Think 'the socially excluded and potential for conflict' – disadvantaged. ensure interventions do not exacerbate conflict and recognise there will always be winners and losers.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3

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Getting started:

make sure there is enough information available to review the existing situation and understand the current situation in all sectors.

be organised. Who is going to do the work? Who will oversee the plan preparation?

ensure there is solid political understanding and support for the plan.

Get information on the availability of finance to fund the plan over the medium term.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3

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ensure inclusiveness:

Avoid actions that unfairly benefit only some and make social tensions worse.

recognise that the needs of all must be considered, including the poor and socially excluded.

Consult the community to get their 'buy in' â&#x20AC;&#x201C; include the private sector, civil society organisations, the media, religious bodies and representatives of all segments of the community.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3

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Develop policies and priorities:

Set out key priorities and broad goals. Debate and agree the overarching direction and shape of the plan.

identify policy options and select those that are most responsive and achievable.

recognise financial and human resources constraints â&#x20AC;&#x201C; these will determine if the plan can be achieved.

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.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3

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obtain plan approval:

Send the approved plan to SHoA for its endorsement.

Present the final draft plan to the exCo for approval.

Publicise the approval and make 'popular summaries' of the plan widely available.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3

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implement the plan:

Carefully monitor the implementation of the plan. ensure all mDAs understand the plan and use it as the basis for their sector strategies, annual budgets and work plans.

each year review implementation progress across the whole of the government and where necessary make changes.

Get feedback from a comprehensive range of stakeholders on the impact of the plan's goals.

Towards the end of the plan period undertake a thorough evaluation to learn lessons that will help in drafting the next plan.

reference SPArC Policy & Strategy How to Guide 2: Preparing a State Development Plan, Section 3

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Preparing a Sector Strategy

What is a medium-Term Sector Strategy (mTSS)?

What to think about when preparing an mTSS

Getting started (Stage 1)

Finalising the mTSS (Stage 3)

Developing strategic priorities and options (Stage 2)

rolling-over the mTSS (Stage 4)

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What is a medium-Term Sector Strategy (mTSS)?

A 'sector' is a discrete area of government business and may include several mDAs.

An mTSS links policy as set out in the State Development Plan to the budget and lays out how the policies will be implemented.

mTSSs help government mDAs make the best use of resources to deliver public services.

mTSSs cover a three year period, but they are 'living' documents that need to be revised every year and are adjusted in the light of an evaluation of the previous year's performance and the level of finance that can be made available.

reference SPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 2

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Some essential things to think about when preparing an mTSS:

Think 'inclusion' – who should be consulted in a mTSS preparation; everyone has the right to be heard.

Think 'affordability and sustainability' – good strategies must be achievable given limited resources.

Think 'who should the strategy benefit?' – the vast majority of Nigerians are poor and so they must be the focus of the programmes and projects in the plan, and provision must be made for the socially excluded and disadvantaged.

Think 'the potential for conflict' – ensure interventions do not make conflicts worse and recognise there will always be winners and losers.

reference SPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 2

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Getting started (Stage 1):

identify and review policies that are relevant to the sector. Set up a sector strategy committee to coordinate work by the mDAs of the sector.

Gather and analyse information on how the sector is performing.

Find out approximately how much money is likely to be available over the coming three years â&#x20AC;&#x201C; sector spending envelopes are issued by the mDA responsible for finance and Calculate existing budget. commitments and how much money can be spent on new activities.

reference SPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3

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Develop strategic priorities and options (Stage 2):

Through dialogue and technical analysis decide upon strategic priorities (these must be linked back to policy priorities of the state plan).

When deciding priority activities and investments, it is critical to engage a range of stakeholders to gather various views. 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 strategic priorities â&#x20AC;&#x201C; agree targets to be obtained in the three year period.

Prepare a draft mTSS for political approval. Cost the preferred options in terms of capital, overheads and personnel to ensure that the proposed mTSS is affordable â&#x20AC;&#x201C; revise if found to be too expensive.

reference SPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3

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Finalise the mTSS (Stage 3):

Prepare the sector budget submission based on the content of the mTSS.

Prepare final approved document.

Seek approval of the exCo.

Develop a 'Performance management Framework' to provide for managing the mTSS implementation.

reference SPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3

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rolling-over the mTSS (Stage 4):

revise the mTSS for a further three years based on the findings of the review and the level of finance that will be available. Undertake the annual review of the sector's performance â&#x20AC;&#x201C; how effectively was the previous year's mTSS programme implemented and what lessons can be learned?

once prepared get political approval and the cycle starts once again.

The revision process is the same as Stages 2 and 3 above.

reference SPArC Policy & Strategy How to Guide 3: Preparing a medium-Term Sector Strategy, Section 3

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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 about formulating targets

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Why should a Sector Performance review (SPr) be conducted?

An SPr is undertaken to enhance sector strategy formulation, implementation and monitoring as well as to facilitate decision-making at all levels of government operations.

in many states in Nigeria, unrealistic sector strategies exist because independent, relevant, credible, accurate, reliable and accessible data on which to base policy and strategy decisions are not available. Policy and strategy goals should be based on sound, objective and verifiable evidence.

reference SPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 3

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What is the purpose of an SPr?

review the strategic priorities and objectives and produce key findings and recommendations for adjusting and implementing these to increase efficiency, effectiveness, cost effectiveness and equity.

Assess the progress made in implementing the activities, expending the budget and achieving the mTSS strategic priority (outcome) and strategic objective (output) targets. monitor and evaluate the efficiency, effectiveness, cost effectiveness and equitability of the mTSS.

identify the possible factors responsible for the level of performance.

identify vulnerable groups in society (e.g. the poor, aged, children and socially disadvantaged) and design special strategies to address their needs.

Facilitate stakeholder engagement and feedback to citizens as part of the review process. revise the activities, budget and strategic priority/objective (outcome/output) targets in response to the key findings.

Produce key findings in relation to institutional and organisational performance.

reference SPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 4

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How should an SPr be conducted?

Get organised: identify change champions, agree on utility, performance review teams, and assemble relevant documents.

Collate the data for the Performance Assessment, Financial Assessment, and organisational Assessment.

Stakeholder engagement: consult with civil society representatives, including those of marginalised communities relevant to the sector.

review performance: perform analysis against kPis.

validate the draft report with key officials.

report key findings and recommendations in a user-friendly manner.

Use findings to make improvements in the sector.

reference SPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 4

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What is a Performance management Framework (PmF)?

A PmF enables an organisation (sector) to define, manage and measure performance against its strategic priorities (outcomes) and strategic objectives (outputs).

reference SPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 4

The PmF contains:

Targets â&#x20AC;&#x201C; values that are defined for specific kPis and which indicate what 'success looks like' for a specific indicator.

Key Performance Indicators (KPIs) that are used to measure progress against the strategic priorities (outcomes) and strategic objectives (outputs). Strategic priorities (outcomes) and strategic objectives (outputs). These are the objectives as stipulated in the mTSS.

Baseline data â&#x20AC;&#x201C; the data that defines the starting situation.

reference SPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 5

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What are the key things to think about when formulating targets?

The targets set should ensure that the aim is to reduce social inequality.

Targets should be SmArT (Specific, measurable, Achievable, realistic and Time-bound).

Target setting should involve a wide selection of 'stakeholders', including genuine 'grass roots' representation, which includes men and women, as well as disadvantaged groups.

The targets must be feasible and need to be based on the available budget - projections of financial availability are essential if realistic targets are to be drawn up.

reference SPArC Policy & Strategy How to Guide 4: How to Conduct a Sector Performance review, Section 5

AFTerWorD Well-articulated, evidence-based policies that set out a set of priorities, goals and programmes for the state government form the foundation for tackling poverty and social inequalities. Throughout all the Guides there are five 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 programmes supporting service delivery that can provide specific advice and support in this area. These include the education Sector Support Programme in Nigeria; Teacher Development Programme; maternal, Newborn and Child Health Programme; Women for Health; and a suite of programmes around Growth, employment and 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 that provide specific advice and support in this area, including the State Accountability and voice initiative; mobilising for Development; and Nigeria Stability and reconciliation Programme. 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 that provide specific advice and support in this area, including education Data research and evaluation in Nigeria and the independent monitoring 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 and reduce 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 and grateful to the state government partners that worked tirelessly to develop, test, adapt and improve on tools and resources 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 without special permission from SPArC, provided the acknowledgement of the source is made. No use of this publication may 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 the Department for international Development. While the information contained herein is believed to be accurate, it is of necessity presented in a summary and general fashion. The decision to implement one of the options presented in this document requires careful consideration of a wide range of situation-specific parameters, many of which may not be addressed by this document. responsibility for this decision and all its resulting impacts rests exclusively with the individual or entity choosing to implement the option. The SPArC programme does not make any warranty or representation, either expressed or implied, with respect to the accuracy, completeness or utility of this document; nor do they assume any liability for events resulting from the use of, or reliance upon, any information, material or procedure described herein, including but not limited to any claims regarding health, safety, environmental effects, efficacy, performance, or cost made by the source of information.