UNDP's Support to Devolution

Report Cover Image
Evaluation Plan:
2014-2018, Kenya
Evaluation Type:
Mid Term Project
Planned End Date:
12/2016
Completion Date:
12/2016
Status:
Completed
Management Response:
Yes
Evaluation Budget(US $):
80,000

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Title UNDP's Support to Devolution
Atlas Project Number: 00083473
Evaluation Plan: 2014-2018, Kenya
Evaluation Type: Mid Term Project
Status: Completed
Completion Date: 12/2016
Planned End Date: 12/2016
Management Response: Yes
Focus Area:
  • 1. Others
Corporate Outcome and Output (UNDP Strategic Plan 2014-2017)
  • 1. Output 3.1. Core functions of government enabled (in post conflict situations) to ensure national ownership of recovery and development processes
Evaluation Budget(US $): 80,000
Source of Funding: Project Funds
Joint Programme: No
Joint Evaluation: Yes
Evaluation Team members:
Name Title Email Nationality
GEF Evaluation: No
Key Stakeholders: Ministry of Devolution and Planning, Selected Country Governments Development Partners UN System
Countries: KENYA
Lessons
1.

4.1.1Civic Education

For any functioning democracy, citizens are key players in governance affairs.  Active participation by citizens can only occur when they are adequately knowledgeable on values and principles of democratic governance.  This study revealed a low level of understanding on devolution by citizens. There is also confusion on the separate roles and responsibilities of the two levels of government. Civil societies play an important role in civic education and independent oversight of the county government. Programme support can be extended to reputable civil societies to accelerate the achievement of results under devolution.


2.

4.1.1Staffing

Many county governments have bloated staffing but face a shortage of experienced and qualified professionals to accelerate the achievement of the results under devolution. county departments still need support in-certain critical areas such as in data and information management for socio-economic development. The employment of short-term technical assistants complemented by qualified UNVs and internal ToTs will help counties develop human and technical capacities within a short time other than increasing their expenditure to attract qualified professionals. However engagement of technical staff for short term purposes by the implementing partners should be undertaken in conjunction with county governments so as to ensure continuity and sustainability even when there is no more financial support from UNDP.


3.

4.1.1Flow of Communication

The programme assumed that there would be ease in flow of information amongst the various agencies involved. However it was noted that there is a huge gap in the flow of information especially amongst the IPs. Ministry of Devolution and Planning also reiterated that they have to request for information from some of the IPs as they do not submit to them any reports after training. Moreover the programme assumed there would be cohesion between nation and county governments to ease flow of information. However politics between the two has posed a challenge to the successful implementation of the programme and ease in flow of information.


4.

 

4.1.1Staff Attitude and Mindset

The programme aims at improving the services delivered by both national and county governments through training of staff on various aspects. However some of the staff members are rigid and are not willing to adopt to the new systems in place. For example some county officers who have been taken through exhaustive training by UNDP on how to fill M&E forms still find it hard to do the same practically. They submit reports in formats that they are used to instead of adapting to new systems.

 


5.

4.1.1Customization of the Nature of Support Under the Programme

Each county possesses unique strengths and challenges in the present context of devolved government. In spite of receiving the equitable share of revenue from the national government, each county government must also raise local revenue to sustain its operations and deliver on mandate. For instance, programme support to Taita-Taveta county where enforcement officers were trained has enabled the county improve its revenue collection. Kitui County, being rich with mineral resources has benefited from the GIS UNV posted under the programme. The county is now mapping the mineral resources for better decision making in-relation to the resources.


6.

4.1.1Availability of Data

A baseline survey should have been conducted at the inception of the programme to identify gaps/ challenges/ unique needs at the county that UNDP could help address i.e. or a training needs assessment. Data from the survey would also assist to tailor trainings to address the unique needs of each county department. Lack of adequate data has led to the development of polices and laws by some counties which are not implementable.


7.

4.1.1Involvement of Youth in Governance

The programme should involve the youth more as they possess unique ideas and innovativeness that can be tapped to spearhead changes at the county level and enhance service delivery.


Findings
1.

Relevance of the programme was assessed first and foremost by the key objects of devolution, especially as stated in the Constitution of Kenya 2010. Among the key objects of devolution are promotion of democratic and accountable exercise of power, fostering of national unity by cognisance of diversity, and enhancement of self- governance and participation of the people. Other critical parameters are county specific priorities particularly as identified in the CIDPs. The programme design was informed by both national and county governments’ development frameworks, policies and laws so as to ensure that the services delivered by county governments under the new devolved system of governance are the same or better than services that were rendered by the national government under the previous governance system.


2.

Effectiveness was evaluated in terms of the following result areas of the ISPDP: Result Area 1: Strengthened Policy and Legal Framework for Devolved Governance; Result Area 2: Strengthened and Aligned Capacities at National and County Levels; Result Area 3: Enhanced Service Delivery Mechanisms and Resilience for Disaster Risk Management, Peace Building and Conflict Prevention; Result Area 4: Strengthened Citizen Engagement in Devolved Governance; Result Area 5: Integrated Service Delivery Demonstrated in Select Counties

 

UNDP used a three-fold approach to implement the programme. This was conducted through; Training of trainers, purchase of equipment and use of UNVs at both national and county levels.

Over the review period, fifty one (51) model laws were launched by the MoDP. These model laws guided most of the counties when drafting their own legislations. Currently there are more than 500 laws and policies that have been enacted in various counties. Some of these legislations and policies were informed by the model laws developed by MoDP. However, a majority of them were drafted after the County Legal Officers; Chief Officers and County Executive members were trained under ISPDP on drafting of laws and policies. It has however, been noted that the one-off training was not adequate to enable the officers to properly draft or review drafted laws. Some counties were still hiring consultants to assist them undertake this exercise.

Legislative drafting was just one of the areas of training. The other areas were; monitoring and evaluation, leadership, performance management, record management, women leadership, financial oversight and risk management and mitigation.

An analysis conducted on two randomly selected areas that officers were trained on established that 69 percent of officers strongly agreed that the objectives of the training were clearly defined while 13 percent of the beneficiaries indicated that the training time was insufficient. A total of 3,705 persons were trained on above subjects.

Counties enhanced public participation especially in conducting needs assessments, developing policies and laws as well as during review of county budgets. However, civic education had not been conducted as often as the county officers seemed sceptical about the citizens reactions once they are sensitised on what to expect from county governments.

With respect to disaster risk management, more than 50 percent of the counties were found to have budgeted for DRM. The programme also supported NDMA to come up with systems for Early Warning through which 24 counties were trained on early warning for disaster management. Kisumu County for instance has drafted the County Disaster and Emergency Management Act, 2015, to coordinate all disaster management activities in the county. Similar initiatives were noted in Turkana County.

About 67 percent of the counties developed investment menus through which members of the public can access financial assistance. These loans were given at rates ranging from 3 – 5 percent.  Moreover counties encourage affirmative action with regard to budgeting and procurement as they ensured that GRB mechanisms are adopted and at least 30 percent of the tenders are awarded to women, youth and marginalized persons. This was achieved through trainings that were rolled out to 47 counties by UN Women together with CoG, CoB and KSG.

It was noted that in most of the counties budgetary allocations for HIV/AIDS awareness programmes were done under the health department. Moreover other institutions such as NASCOP had been undertaking HIV/AIDS awareness campaigns in some counties such as Nyeri. In general however, there was an increase in finances allocated HIV/AIDS awareness. For instance, Turkana County increased their allocation for HIV/AIDS awareness from KShs. 5.7 million to KShs. 11 million over the review period.

On performance management, approximately 67 percent of the counties had PMS that were operational. Counties also had Indicator Handbooks for the same. However, the challenge was in the development of data collection tools that would enable the M&E officers collect the required information.

The programme purchased ICT equipment such as laptops and printers for counties such as Kilifi, Taita Taveta, and Kitui. These equipment were being used in the M&E departments in the various counties to assist with reporting. UNDP in agreement with CoG also availed UNVs with various technical skills to several counties for a short duration of 6 months to assist the county officers to implement the programme effectively. A total of 37 UNVs were deployed to various counties where they worked in various units including Planning, M&E and HRM.


3.

Efficiency was analysed in terms of overall budget projections against resources mobilised up to June 2016, and also in terms of delivery and budget execution. It was noted that the programme as at 30 June 2016, had received 52 percent of the funding from DPs out of which 48 percent of it was utilized in programme activities. In 2014 programme received 72.8 percent of the amount budgeted for as compared to 2016 whereby the programme received 94.7 percent. Out of these disbursements, 26.6 percent was utilized in 2014 and 62.86 percent of the resources allocated in 2015 were absorbed.


4.

Impacts:

Even though the programme has been implemented for only two and a half years, some significant impacts have been registered in various counties. It was observed that training on PMS has enabled county governments to understand their roles and therefore able to set performance targets that are reflected in the workplan and consequently carried over to the county budgets. Additionally record keeping in county departments has been enforced thus promoting accountability and reliability from county officers. Officers are also able track various projects being undertaken and the achievements made and compare it to the financial resources allocated. This assists the counties in decision making process and also flags out areas that may need additional time or resources. Performance contracting also assists officers to track their performance.

There is improved resource management at the counties as the counties are able to collect more revenue from activities being undertaken. Turkana County for instance, was in the process of developing an automated revenue collection system that was expected to be running within a few months. This will ensure accountability and mitigate against pilferage of county revenues. Nyeri County also improved its revenue collection significantly from KShs. 680,700,000.67 in 2014/15 to KShs. 709,554,435.00 in 2015/16 financial years


5.

Sustainability: As the ISPDP will be winding up in 2018, it is important for national and county governments to be able to sustain the activities initiated under the programme. In order to ensure programme continuity and sustainability, it is crucial for the implementing partners to adopt an enabling exit strategy. Most County governments have put in place mechanisms to ensure sustainability in the delivery of services to its citizens. These include; setting aside funds for implementing devolution without the support of UNDP; adopting the ToT approach in capacity building and training; developing DRM Frameworks that highlight how to improve resilience of communities to disasters and allocating funds for the same; putting in place PMS systems; drafting and adopting county policy and legislative frameworks;


Recommendations
1

Capacity Building

The county officers should identify the relevant persons to undertake training. County executive and assembly members need to be trained on the roles and responsibilities of various parties in order to reduce conflicts especially during planning and budgeting. They also need additional training on policy formulation and drafting of bills to enable them come up with legislative documents that are comprehensive and relevant.

2

Resource Management 

There is need to improve resource management in the counties through strengthening revenue collection mechanisms at the county level. This could be done through development of automated systems that collect revenue and submit directly to county accounts. This will increase significantly the amounts collected at county level and encourage counties to be financially independent.

3

Management and Monitoring

The programme at the county level lacks M&E support where M&E people are trained about the project and indicators being reported on. It is therefore important for the M&E personnel to be assisted to develop data collection tools to help them in reporting to UNDP on achievements

4

 Strengthen Collaboration among IPs

The programme IPs should collaborate in order to ensure effective and efficient implementation of devolved government system. Officers should aim at one common goal which is efficient service delivery to its citizens.

5

Enhanced Public Participation

County governments should adhere to the constitution and laws that clearly draws the rights of each citizen to be informed.  

1. Recommendation:

Capacity Building

The county officers should identify the relevant persons to undertake training. County executive and assembly members need to be trained on the roles and responsibilities of various parties in order to reduce conflicts especially during planning and budgeting. They also need additional training on policy formulation and drafting of bills to enable them come up with legislative documents that are comprehensive and relevant.

Management Response: [Added: 2016/12/31]

Noted and agreed: UNDP has built the capacity of the Kenya School of Government in order to provide continuous, harmonized capacity development of County governments in line with the National Capacity Building Framework (NCBF). UNDP recognizes the need for capacity development to be targeted and marched with the functions being performed by individuals at different levels at the county. Such action will ensure skills are available and inform delivery of services at whichever level, County and sub-county. UNDP recognizes that while the past capacity development efforts were largely focusing on the county executive, additional capacity development is required for the legislative at the county. In this way legislation development and implementation at the county level advances public service delivery based on systematic capacity development. UNDP will continue therefore to work very closely with the executive and legislative arms in staff identification and knowledge build up at the county level.

Key Actions:

2. Recommendation:

Resource Management 

There is need to improve resource management in the counties through strengthening revenue collection mechanisms at the county level. This could be done through development of automated systems that collect revenue and submit directly to county accounts. This will increase significantly the amounts collected at county level and encourage counties to be financially independent.

Management Response: [Added: 2016/12/31]

Noted and agreed – Fiscal management is governed by the Public Financial Management Act. County government revenue collection has been on a steady increase in general since county government establishment. Nonetheless a number of counties have registered in the last fiscal year a decline in revenue collected owing to a variety of factors. UNDP will strive to work with government in implementation of the PFM Act and link revenue collection with budgeting and implementation of county development plans in an effective and efficient manner that also advances the principles of prudence in resource utilization while delivering development interventions. Best practices emerging from counties in this respect will also be shared through the Council of Governors. For instance, Turkana County will be a pilot as its PMs system supported by the project has a revenue collection module to be developed in rolled-out in 2017.

Revenue collection and fiduciary responsibility of counties will be prioritized as more programme resources are mobilized

Key Actions:

3. Recommendation:

Management and Monitoring

The programme at the county level lacks M&E support where M&E people are trained about the project and indicators being reported on. It is therefore important for the M&E personnel to be assisted to develop data collection tools to help them in reporting to UNDP on achievements

Management Response: [Added: 2016/12/31]

Noted and agreed – UNDP acknowledges the importance of tracking results realization against resource use in implementation of activities. While there has been capacity development action for county staff working on M&E around the UNDP implemented interventions and beyond it is recognized that this remains work in progress. In the upcoming period, UNDp will further deepen action in this regard by conducting an M&E capacity assessment of all IPs, induct them on indicators already developed and those that are being tracked for the project and assist in developing data collection tools that would enhance their reports and make them more results focused. This will be aligned with the national/county policy on M&E.

Key Actions:

4. Recommendation:

 Strengthen Collaboration among IPs

The programme IPs should collaborate in order to ensure effective and efficient implementation of devolved government system. Officers should aim at one common goal which is efficient service delivery to its citizens.

Management Response: [Added: 2016/12/31]

Agreed and noted – UNDP believes that partnership for development traverses all levels of government as well as across stakeholders working in the devolution sector. Thus far, UNDP has convened implementing partners under the project in quarterly reflection sessions at the technical level as well as quarterly in policy level steering committees. These have served to rally behind the common agenda of devolution. UNDP feels that this remains an important role for continued intervention. Further, UNDP will seek to strengthen the work of intergovernmental bodies that are mandated with dispute resolution, solution seeking and practice documentation to inform future progress under devolution.

Key Actions:

5. Recommendation:

Enhanced Public Participation

County governments should adhere to the constitution and laws that clearly draws the rights of each citizen to be informed.  

Management Response: [Added: 2016/12/31]

Agreed and noted – Public participation is a constitutional value. UNDP has been supporting county government to operationalize the value through policy design and implementation. Further, at the national level UNDP continues to inform the process of setting out the norms for realization of effective public participation in matters related to devolution and to governance in general. UNDP has established programmatic linkages between this project and other interventions that aim to advance inclusive and participative development with an aim of deepening appreciation and application of public participation in governance at the county level. These actions will continue to be mainstreamed.

Key Actions:

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