Working with Governments: The Tools and Role of Budget Observatories…in Kenya
Isa Achoba, Chief, Strategic Planning Monitoring and Evaluation, UNICEF Kenya
and
Godfrey Ndenge, Social Policy Advisor, Ministry of Finance, Kenya
Content of Presentation
Background to Social Budgeting in Kenya.
History
Context
Progress to date.
Tools for enhancing Social Budgeting
Social Intelligence Reporting
Observatories in Social Budgeting.
Lessons to share and recommendations
For many years in Kenya - budgeting was more preoccupied with Macroeconomic issues:
Generating higher growth (GDP), controlling inflation, exchange/foreign reserves, debt etc
Limited emphasis was given to human development (poverty, health and education)
The need for a balance became imperative: to ensure that both macroeconomic targets and human development targets are coherently achieved
The background to Social Budgeting/1
The background to Social Budgeting/2
Initial ideas- Trickle down theory failed1.The Government of Kenya-UNICEF programme in 2005, conceptualized the social budgeting initiative;
2.It is being spearheaded by the Ministry of State for Planning, National Development and Vision 2030;In collaboration with:
1. Ministry of Finance;2. SIDA (during the pilot phase)
3.The programme set up social budgeting observatories at the national level and initially in 3 districts (Isiolo, Kwale and Turkana); These observatories;
1. Produced budgeting reports and;2. Carried out an assessment of institutional and policy
challenges facing programmes.
Dual Budgeting Framework
Mandated expenditures
Infrastructure Security HD/HR provisions
Macroeconomic framework
Growth rate, inflation, fiscal deficit, public debt, taxation
Resource envelope
Growth rate, inflation, fiscal deficit, public debt, taxation
Resource envelope
Quantitative targets to reduce child deprivation,
namely in health, nutrition, housing, information, water,
education, sanitation and protection.
Human Development
& rights framework
Harmonization
Process and
Negotiations
So
cial
Po
lici
es f
or
Hu
man
Dev
elo
pm
ent
participatory approach to budget preparation and
monitoring
social sectors focusing on children and women
Women and marginalized populations
Ch
ild
ren
an
d v
uln
era
ble
po
pu
lati
on
s
Budgetary decisions, allocations and utilization
The Concept of Social Budgeting
So
cial
Po
lici
es f
or
Hu
man
Dev
elo
pm
ent
participatory approach to budget preparation and
monitoring
social sectors focusing on children and women
Women and marginalized populations
Ch
ild
ren
an
d v
uln
era
ble
po
pu
lati
on
s
Budgetary decisions, allocations and utilization
Development activities are inter-twined – Human
rights are holistic
Priorities amidst competing needs – best identified by the people
Policy and institutional hurdles - most visible
nearer the ground
Broader Participation ensures ‘equity', 'efficiency’ and
‘accountability’ in social outcomes
Ownership and sustainability of
development
The Concept of Social Budgeting
So
cial
Po
lici
es f
or
Hu
man
Dev
elo
pm
ent
participatory approach to budget preparation and
monitoring
social sectors focusing on children and women
Women and marginalized populations
Ch
ild
ren
an
d v
uln
era
ble
po
pu
lati
on
s
Budgetary decisions, allocations and utilization
Evidence for Policy
Adjustment
Human Rights
Resources means
more than funds
Transparent
Decision► Children► Women► Media► Civil Society
Addresses policy
Barriers
Top Down vs Bottom up
Balance
Development activities are inter-twined – Human
rights are holistic
Priorities amidst competing needs – best identified by the people
Policy and institutional hurdles - most visible
nearer the ground
Broader Participation ensures ‘equity', 'efficiency’ and
‘accountability’ in social outcomes
Ownership and sustainability of
development
The Concept of Social Budgeting
Traditional Budgeting – Institutional Structures
Ministry of Finance: Fiscal
and monetary division
Sector Ministries And Parastatals
District/County sector agencies
Budget office
Civ
il S
oci
ety
org
aniz
atio
ns
Civ
il S
oci
ety
org
aniz
atio
ns
Traditional structures
Ministry of Planning National Development
and Vision 2030:
Social Budgeting – Institutional Structures
Social Policy advisor
National Budgeting
observatories
Ministry of Finance: Fiscal
and monetary division
District/County Budgeting
observatories
Sector Ministries And Parastatals
District/County sector agencies
Budget office
Sector Budget Observatories C
ivil
So
ciet
y o
rgan
izat
ion
s
Civ
il S
oci
ety
org
aniz
atio
ns
Traditional structures Social Budgeting Structures
Ministry of Planning National Development
and Vision 2030:
Social Budgeting Gains…. Social Policy Advisor embedded in the Treasury
Evidence-led influence on Budget for Children;
Convening hub for dialogue with sectors;
Coordination of social policy brief into budgetary decisions;
Monitoring of budget flows and utilization
Social Budgeting Guidelines
Social Intelligence Reporting;
Observatories in Social Budgeting.
Progress and Opportunities
Ministry/SectorPro-Child and/or Women friendly instrument
Government Financial Year (Millions of Kenya Shillings )2008/9 2009/10 2010/11
Education Free Primary Education 6678 7546 9504Education Early Childhood Development 198 248 446Public health and Sanitation Nutrition 147 163 276
Public health and Sanitation
Output Based Approach (OBA) - Voucher Scheme for Free maternal and child delivery services 0 10 9
Gender, Children and Social Development
Cash Transfer for Orphans and Vulnerable Children (OVC-CT) 579 770 817
State for Planning National Development and Vision 2030 Population Family Planning 110 120 234State for Planning National Development and Vision 2030
Constituency Development Fund (CDF) 10100 12300 14300
Source: Kenya Ministry of Finance, NairobiCDF is backed by law and applied in each of 210 constituencies to health, education, water sanitation and hygiene and othersOn the average, 1 US$ is equivalent to 75 Kshs (2009), 80 Kshs (2010)
Are Budgets working for children and women?
Increasing Social SectorIncreasing Social SectorDevelopment Budgets Development Budgets
Social Policy Briefs Social Policy Briefs & Advocacy& Advocacy
Are Budgets working for ChildrenAre Budgets working for ChildrenAnd Women at facilities And Women at facilities
And service outlets?And service outlets?
No ‘real time ‘assurances’ of participation and ‘efficiency’
Social Inteliegence Reporting (SIR) in the context of human rights and development
An accountability tool prescribed in the Government of Kenya Social Budgeting (SB) Guidelines to:
• Engage ‘Claim Holders’ in budget and social policy;
• Gauge the performance of key social policies for the realization of the rights of children and women in an environment of ‘equity’ , ‘participation’, ‘transparency’ and public ‘accountability’.
As originally coined by E.L. Thorndike (1920), the term Social Intelligence referred the person's ability to understand and manage other people, and to engage in adaptive social interactions
According to Cantor and Kihlstrom (1987), social intelligence is specifically geared to solving the problems of social life
Social Inteliegence Reporting (SIR) in the context of human rights and development
Social Intelligence Report summarizes and analyses data, information and evidence collected from;
1. Social networks,
2. Service points;
3. Community interactions, and;
Using the knowledge to inform management/actors and for more efficient and effective strategies and policies ….in the social sector
Why Social Intelligence Reporting (SIR)?
The Social Budgeting Guidelines prescribe SIRs as basis for convening Social Budgeting Observatories at – local, sector and national levels
Citizen participation in realizing better social, political and economic outcomes, as contained in Kenya’s Vision 2030 and the first Medium
Term Plan
Social budgeting intelligence reports are vital in tracking how budgets are working for children
and women at facility/community and devolved levels as well as stimulate actions and
accountability by ‘duty bearers’
Eye on the Budget…UNICEF Kenya invests less than 100mUS$ per annum
vs
Government Budget of 11 billion US$
Keeping ‘Eyes, Ears and Nose’ on the budget is key to realization of the rights of the most
deprived
Engagement and Awareness of Budget benefits (or failures)
for/by ‘Claim Holders’
engenders actions and accountability by ‘duty bearers’
Are Budgets working for children and women?
Increasing Social SectorIncreasing Social SectorDevelopment Budgets Development Budgets
Social Policy BriefsSocial Policy Briefs
Are Budgets working for ChildrenAre Budgets working for ChildrenAnd Women at facilities And Women at facilities
And service outlets?And service outlets?
SIRs generated, tabled and utilized by SB Observatories...’
accountability tool’ for social equity
How is SIR Generated and Used?
Periodic (twice a year)Periodic (twice a year)
SIRs generated in SIRs generated in
at least 10 communities per district
at least 10 communities per district
District and/or County SB Observatories
District and/or County SB Observatories
Contribute to and
Contribute to and
Converge to discuss
Converge to discuss
findings from SIRs
findings from SIRs
Obstacles to efficient
and equitable social
services identified
and removed at
facility, community
and higher levels
Better Better Social Social
Services Services PoliciesPolicies
Better Better Development Development
ResultsResults
SIRs in Practice… @ local levels
District or County District or County Development Office Development Office as Secretariat for as Secretariat for SIRSIR
District and/or CountyDistrict and/or CountyDevelopment (Executive) CommitteeDevelopment (Executive) Committee
As Local ObservatoryAs Local ObservatorySocial Intelligence
Reporting…a) Budgetb) Policies
Health and Nutrition services
and funds
Education sector funds and Services
Follow up on SIR key
findings and recommendati
ons
Hold sector offices and
officials accountable
What ?Who?Why?
Where?When?
Are BudgetsWorking for
Children and Women?
Social Protection Services
and funds
Water, Sanitation
and Hygiene services
and funds
Devolved Funds – at least 10 of such funds exist today
Participation in mutual Accountability
The Kenya Social Intelligence Reporting Tool and template
Education Sector - Facility Level Information
FE1: Facility ID ................................... FE2: Name ............................................. FE3: Urban........ (1) Or Rural........ (2)FE4: Is it Public (1).... or Private (2).... or Other (3)....? Specify ------------------
2008/2009 2009/ 2010 Notes /Remarks
FE5: Amount of Fund received (Ksh) Kenya shillings
Kenya shilling
FE5a: ECDPrimary School Information
FE6a: School Infrastructure ImprovementFE6b: Most Vulnerable Children (MVC)FE6c: Free Primary School
FE6ci: School instructional materialsFE6cii: General Purpose Account
FE6ciii: Others
FE7: Secondary schools information
FE7a: School instructional materialsFE7b: General Purpose AccountFE7c: Others
FE8: Enrolment figure by class and sex
Male Female Male FemaleNotes
/CommentsFE8a: One (1)FE8b: Two (2)FE8c: Three (3)FE8: Enrolment figure by class and sex
Male Female Male Female
FE8d: Four (4)FE8e: Five (5)FE8f: Six (6)FE8g: Seven (7)FE8h: Eight (8)FE8i: KCPE Mean Score
The Kenya Social Intelligence Reporting Tool and template
Male Female Male Female CommentsFE9: Facilities in Centres and SchoolsFE9a: Number of toilets by gender
FE9b: Number of water pointsFE10: Number of child pregnancy casesFE11: Notes of Parents Teachers Association (PTA) minutes and usage of funds
FE12: School feeding Programme InformationFE12a: Is there a school feeding programme (Yes/No)FE12b: If Yes, Is it provided freely or charged?
FE12c: If charged, at what cost?Copies to: The Facility Head, District, District Sectoral Heads, Sectoral Planning Directorate, Sectoral Budgeting Observatory, National budgeting Observatory, Social Policy Adviser & UNICEF Kenya
The Kenya Social Intelligence Reporting Tool and template
Field Notes from Social Intelligence Reporting trials….
The SIRs field diagnostics have so far shown that …
1. Vast ‘real time evidence can stimulate action…o In a district, 21 children are reported pregnant in a primary school alone this year;
oAnti Malaria drugs are lacking , sometimes for months;
oNo toilet for ECD pupils in primary schools;
oA former Head teacher & past PTA Chairman in a School could not account for Ksh 130, 000 (from CDF +MVC fund);…
CT-OVC is keeping children in schools;…
2. Obstacles on the path of budget removed…
e.g. the use Constituency Development Funds for spring water development;
In a Primary school, 750 pupils were on roll call, but only half was captured in the Education sector database…
So
cial
Inte
llig
ence
Rep
ort
ing
Access to ‘real time’ information
Fast track to social equity
Taking the lead in ‘devolved
governance’
Entrenching the culture of
accountability and productive
engagement
Gauging impact of budgets and policies for
children and women
Sector&
National
Fulfilling obligations ;Learning for policy
feedback
District orCounty
Participation in mutual Accountability
Community Claim Holder
Social Intelligence Reporting and Human Rights
So
cial
Inte
llig
ence
Rep
ort
ing
So
cial
Inte
llig
ence
Rep
ort
ing
So
cial
Inte
llig
ence
Rep
ort
ing
Role of Social Budgeting ObservatoriesSocial Budget Observatories are useful if ‘facts and
figures’ on the ‘budget at work’ is available;
The Social Intelligence Reports (SIR) ….’eye, ear and nose’ on budget working for children and women;
The social Budgeting observatories meet to;
• Deliberate on the ‘real time’ findings from SIRs;
• Take and/or ensure that remedial actions do address challenges are dealt with;
• Hold duty bearers accountable;
• Foster citizen participation;
• Contribute to policy performance review, and;
• Gather evidence for the next budget cycle.
What ‘s Next …in social budgeting in Kenya1. Revise the Social Budgeting Guidelines – for use at county levels
and with the additional devolution of political, administrative and fiscal powers and accountability in the new constitution;
2. At least 23 districts (1 per county) assessed and trained to apply SIR as tool for Social Budgeting; By March 2011;
• At least 23 SIRs generated/analyzed;
• Utilized for policy advocacy and;
• To address real time challenges.
3. Real time evidence available on the benefit of Government of Kenya investments in social sectors of health, WASH, Education, protection etc
4. By 2011, each of the 47 counties assisted to have at least one Social Budgeting learning centre that applies the SIR routinely as part of their ‘SB’ practice of accountability.
1. Work towards sustained national capacity and integration of Social Budgeting into national policy, planning, budgeting and public accountability framework;
a) Assist Government to develop and disseminate a national Social Budgeting Guideline; it empowers the citizens and CSO to demand engagement with the budgeting process;
b)Support national and local capacity for implementing the budgeting guidelines; especially use of Social Intelligence Reporting;
2. Sector-specific Budgeting Observatories are vital to ownership and accountability for effective and efficient use and reporting (accountability) of the increased resources gained through social budgeting;
Lessons and Recommendations…1
Lessons and Recommendations…23. Gather evidence for increasing treasury allocations to
pro-child and women friendly policies but also assemble facts on how budgets are working for children and women;
a)Consider the adoption and use of Social Intelligence Reporting;
b)Support Government to publish simplified ‘public versions’ of the budget;
c) Facilitate CSO, public dialogue and engagement with (a) and (b);
4. Donors and development partners to increase resources (funding, technical, knowledge sharing via south-south cooperation etc) to social budgeting
THANK YOU
ASANTE SANA!!!