How to develop policy - a model based on the 5 Ds
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- An t-eolas is déanaí:
The following process model presents an ideal of how we can develop and implement policy. An effective and well-structured policy will typically pass through the same 5 phases, or the 5 Ds. (3) They are:
- Phase 1: Demand for policy
- Phase 2: Deepen understanding
- Phase 3: Design with best advice
- Phase 4: Decide policy proposals
- Phase 5: Deliver policy
This stylised approach is intended as a guide. In an ideal situation each phase would follow in sequence. However, in practice, the policy development process is iterative – we can expect to move back and forth between the phases, to skip some phases altogether, or even be in several phases at the same time! Still, this model has been used internationally, specifically in New Zealand and in Ireland, and has been shown to help policy practitioners in structuring their approach to policy development. An example of how the approach was used in Ireland is the reform of the state pension system as illustrated in the closing case study at the end of the handbook.
The 5 Ds model is presented in a little more detail in the diagram below. We also have a separate chapter on each phase later on. Take your time reading each phase and the three-pillar framework mentioned earlier. To help you remember the three-pillar framework we have included handy checklists at the end of each phase. Use them - as practice makes perfect (or at least better!).
(3) This model is indebted to Sally Washington, who has elaborated a similar schema – see ‘How to Deliver Great Policy Advice’ (2024), available at https://apolitical.co/solution-articles/en/how-to-deliver-great-policy-advice
This phase is concerned with understanding the demand for policy solutions. A demand could come from ministers, a previous policy development commitment, analysis by officials, the public, a campaign, the law, and so on.
Typical tasks we must address during this phase include:
- Task 1: Establishing the source of the demand for the policy
- Task 2: Clarifying the policy demand (defining the problem)
- Task 3: Assessing the legal issues related to the demand
- Task 4: Undertake a preliminary gathering and assessment of available data
- Task 5: ‘Sense check’ consultation with colleagues and selected stakeholders
- Task 6: Making a recommendation whether to explore the policy issue further
Remember: We may have to revisit tasks. It may not always be as simple as doing tasks 1 to 6 in order. Use the ‘Checklist for Demand for Policy and the Three-Pillar Framework’ as a compass to help keep your bearings and stay on course.
Typical outputs at this phase typically include:
- briefing note
- recommendation whether to progress to the next stage of policy development or not
In this section we have included guidance on these documents. We also use Irish water charges as a case study to help make the tasks and ideas of this phase more concrete.
Phase 1 (Demand for policy) is typically the starting point for any policy development. In this phase, we are trying to understand and define the policy change that is being considered. We are also concerned with why it is being considered and from where (or from whom) the policy question originated. We want to assess the demand and decide whether we should proceed further into the next phase of policy development.
This phase is concerned with developing a deeper understanding of the policy issues, through an in-depth exploration of relevant evidence.
Typical tasks during this phase include:
- Task 1: Assessing existing data and evidence
- Task 2: Reviewing the data and evidence
- Task 3: Commissioning new data
- Task 4: Consulting with stakeholders
- Task 5: Evaluating the data
Remember: We may have to revisit tasks. It may not always be as simple as doing task 1, task 2, and task 3, and so on, in order.
We need to use the Checklist for Deepen Understanding and the Three-Pillar Framework as a compass to help keep our bearings and stay on course.
Typical outputs of this phase could include:
- detailed policy review
- research report
The objective of Phase 2 is to use evidence and data to comprehensively understand the nature and context of the issue and inform the analysis of possible policy solutions.
This phase forms the basis of subsequent phases in policy development. It involves in-depth research, data collection, stakeholder engagement, and analytical assessments of an issue. It is at the heart of the ‘data and evidence’ pillar of the three-pillar framework to policy formulation. However, the focus of this phase is not just understanding and defining the issue at hand but also an assessment of feasibility and implementation (such as what any policy intervention would achieve); and legitimacy (such as questioning affected parties and finding their insights into the identified issues).
This phase is concerned with developing a concrete policy proposal based on the evidence and analysis from Phase 2: Deepen Understanding. This stage should provide sufficient detail to support government decision-making.
Typical tasks during this phase include:
- Task 1: Agreeing clear policy objectives
- Task 2: Analysing policy options
- Task 3: Engaging with stakeholders
- Task 4: Analysing legal implications
- Task 5: Establishing detailed costings
- Task 6: Making clear policy recommendations
Remember: We may have to revisit tasks. It may not always be as simple as doing task 1, task 2, and so on, in order.
Use the handy Checklist for Design with Best Advice and the Three-Pillar Framework as a compass to help keep our bearings and stay on course.
Typical outputs of this phase could include:
- detailed policy proposal
- draft roadmap or strategy
- internal policy advice document
Phase 3 is where the insights from Phase 2 are used to develop a detailed policy proposal. This phase of policy development needs extensive detail. You may have to repeat tasks as feedback loops identify new or alternative information, changed emphasis, or new requirements. We need to make sure every aspect of the policy proposal will contribute to the policy objective and does not conflict with or undermine existing policies. Consultation may also be very important if the policy design includes programmes or services.
At this point in the process, a decision is made whether to proceed with the proposed policy.
Typical tasks during this phase include:
- Task 1: Conducting a ‘legitimacy’ assessment
- Task 2: Conducting a legal review/undertaking pre-legislative preparations
- Task 3: Seeking Ministerial approval
- Task 4: Preparing a memorandum
- Task 5: Seeking government approval
Remember: We may have to revisit tasks. It may not always be as simple as doing task 1, task 2, and so on, in order. Use the Checklist for Decide Policy Proposals and the Three-Pillar Framework as a compass to help keep your bearings and stay on course.
The expected output of this phase is a Briefing Paper or Decision Memo for the Minister, and possibly for the government, setting out policy recommendations.
Once a decision is made by the Minister or government and is sanctioned as appropriate by the Oireachtas, it is up to the civil service and public sector agencies to deliver that decision to the best of their ability.
In Phase 4, we must further scrutinise the policy proposal and then submit it for decision. Critically, the Minister must take ownership of and sanction the policy proposal before it can proceed. This process makes sure that policies are not simply the output of officials who, no matter how expert they may be, do not hold a democratic mandate. It ensures that policy initiatives are properly understood, accepted, and sanctioned by elected office holders who are the legitimate representatives of the public. This is critical to establishing the legitimacy of any initiative.
This phase focuses on how the proposed policy is implemented.
Typical tasks and inputs during this phase include:
- Task 1: Planning including Risk Management
- Task 2: Managing Resources
- Task 3: Developing Communications
- Task 4: Establishing Governance
- Task 5: Monitoring and Reporting
- Task 6: Planning to Evaluate
Typical outputs of this phase can, for example, include new taxes, services or infrastructure as well as information campaigns to inform people of these changes. These can be supported by new processes and may require rule changes. The expected outcome of this phase is the achievement of the policy objective.
Phase 5 refers to policy implementation and undertaking the tasks needed to achieve the goals and objectives outlined in Phase 3. Putting in place a policy is often quite a complex process, with many interdependencies across systems, processes, stakeholders, changing behaviours, and organisational settings.
While most of the exploration and preparation for effective implementation should have been undertaken during the previous phases, these actions may require further refinement as you move towards realisation. We might need to deviate from expected steps or timelines due to issues concerning resource availability, timing, or unexpected events.
As a result, we need to be ‘agile’ in how we respond to such developments. Your delivery plan will have to be developed in such a manner that it is capable of dealing with unexpected events and still fulfil its main objectives. In part, this can be done by identifying the risks to project delivery and the mitigating actions to address these risks. It also requires a mechanism, such as scheduled project meetings, to regularly review and update progress. This will help ensure that you can make any necessary changes so that the policy becomes mainstreamed and fully operational.
Though it may be unlikely at this late stage, it is possible that a decision will be made not to implement the policy during, or at the start, of the implementation phase. If this happens, it may be due to external factors such as change of government or priorities, developments in recent events, or budgetary reasons. Remember: policy development success is not judged solely on implementation. By completing the other phases so far, you have developed the work that could be used in a manner not originally foreseen.
The tasks in this phase are mainly focused on effective project management in terms of implementing and checking the policy is delivered in line with the outcomes expected.