DRAFT REPORT ON MONITORING PARTICIPATORY BUDGETING AND ITS ... Ojoo Final Draft Report Nov... · DRAFT…

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  • WORLD BANK/MUNICIPAL DEVELOPMENT PROGRAM

    [2009

    DRAFT REPORT

    ON

    MONITORING PARTICIPATORY BUDGETING AND ITS IMPACT

    ON SERVICE DELIVERY CASE OF ENTEBBE

    MUNICIPALITY, UGANDA

    M A N A G E M E N T S Y S T E M A N D E C O N O M O C C O N S U L T A N T S L I M I T E D

  • 1

    Table of Contents Table of Contents.............................................................................................................................. 1

    List of Tables ..................................................................................................................................... 3

    Acronyms.......................................................................................................................................... 4

    1.0 Introduction .............................................................................................................................. 9

    1.1 The Report ......................................................................................................................... 9

    2. Background on Entebbe Municipality ..................................................................................... 10

    2.1 Administration. ................................................................................................................ 10

    2.2 The Political Structure ...................................................................................................... 10

    2.3 Urban, Public Infrastructure and Services. ........................................................................ 11

    2.3.1 Access to Safe Water ................................................................................................ 11

    2.3.2 Water treatment ...................................................................................................... 11

    2.3.3 Sewerage System ..................................................................................................... 11

    2.3.4 Solid Waste Management......................................................................................... 11

    2.3.3 Access to Electricity .................................................................................................. 12

    2.3.4 Education infrastructure. .......................................................................................... 12

    2.3.5 Health Infrastructure. ............................................................................................... 12

    2.3.6 Land Use .................................................................................................................. 12

    2.4 The Budget...................................................................................................................... 12

    3. An Overview of Budgeting and Participatory Budgeting in Uganda. ....................................... 13

    3.1 Legal framework for Budgeting and Accountability........................................................... 13

    3.2 The Budgeting Process at the National level. .................................................................... 14

    3.2.1 The Medium Term Expenditure Framework.............................................................. 14

    3.2.2 Issuing the Budget Call Circular................................................................................. 14

    3.2.3 Budget Consultative Workshops. .............................................................................. 15

    3.2.6 Preparation of Budget Framework papers ................................................................ 16

    3.2.7 Sector Budget Framework Paper Ministerial Consultation ........................................ 16

    3.2.8 Preparation of the draft National Budget Framework Paper. .................................... 16

    3.2.9 The Public Expenditure Review Meeting. .................................................................. 16

    3.2.10 The Final Budget Framework Paper. ......................................................................... 17

    3.2.11 Preparing the Background to the Budget and Development Budget Estimate. .......... 17

    3.2.12 The Budget speech ................................................................................................... 17

    4. Participatory Budgeting Activities in Entebbe Municipality .................................................... 18

  • 2

    4.1 Preparatory Stage. ........................................................................................................... 19

    4.2 The Participatory Budget Formulation. ............................................................................. 20

    4.3 Participatory Budgeting Implementation. ......................................................................... 20

    4.4 Participatory Budget Monitoring and Evaluation. ............................................................. 22

    5. Monitoring Indicators for Participatory Budgeting. .................................................................... 28

    5.1 Conceptual Framework. ................................................................................................... 28

    5.2 Citizen Participation in the Budget Process....................................................................... 29

    5.3 Platforms for Engagement on service delivery. ................................................................. 29

    5.3.1 Platform for service providers .................................................................................. 29

    5.3.2 Platforms for consumers .......................................................................................... 30

    5.3.3 Joint Platform........................................................................................................... 30

    5.4 Methodology used for developing monitoring indicators and participatory monitoring framework................................................................................................................................... 32

    5.5 Monitoring Indicators ............................................................................................................ 32

    5.5.1 Context Indicators ........................................................................................................... 33

    5.5.2 Process Indicators..................................................................................................... 36

    5.6 The Service Delivery Indicators (Performance Indicators). ............................................... 40

    6.0 Baseline Data for measuring changes in service delivery. ....................................................... 41

    7.0 Building Capacity for Participation. ......................................................................................... 42

    8.0 PROPOSED TOOLKIT FOR ESTABLISHING PARTICIPATORY MONITORING IN A LOCAL GOVERNMENT............................................................................................................. 43

    ANNEX 2 : Invitations to the Regional Local Government Budget Framework Papers FY 2009/10 . 46

    ANNEX 3: Sector Performance Indicators. ...................................................................................... 49

    REFERENCES.................................................................................................................................... 52

  • 3

    List of Tables

    Page

    1. Table 1: Chronology of Events in the preparation of 2009/10 Budget.................................13

    2. Table 2: Local Government Budget calendar........19

    3. Table 3: Framework for participatory Monitoring using Entebbe Municipality...26

    4. Table 4: Three sets of Monitoring Indicators for PB and Budget Process........28

    5. Table 5: Legal Indicator in the Uganda Entebbe case...29

    6. Table 6: Resource Assurance Indicator (Applicable in Uganda and Entebbe but can be

    single figure and different sector categorization elsewhere..............30

    7. Table 7: Resolution Indicator by different stakeholders...30

    8. Table 8: Hypothetical data for participation indicators, by number and categories of

    participants used....................................................................................31

    9. Table 9: Illustration of presentation of the indicator of content / theme of PB discussion

    for Entebbe Municipality...............................................32

    10. Table 10: Illustration of how local revenue generation can be analyzed and presented for

    platform use....33

    11. Table 11: Performance Indicators for Education Sector in Uganda...34

  • 4

    Acronyms BFP : Budget Framework Papers.

    CBO : Community Based Organization.

    PB : Participatory Budgeting.

    IPFS : Indicative Planning Figures.

    LG : Local Government.

    LGFC : Local Government Finance Committee.

    LGRW : Local Government Regional Workshop.

    MDG : Millennium Development Goals.

    MLI : Mutual Learning Initiative.

    MoU : Memorandum of Understanding.

    MoFPED : Ministry of Finance Planning and Economic Development.

    MTEF : Medium Term Expenditure Framework

    NWSC : National Water and Sewerage Corporation.

    NGO : Non Governmental Organization.

  • 5

    EXECUTIVE SUMMARY

    1. Participatory Budgeting (PB), introduced in Brazil, has been embraced by many other countries in the world as an innovation used to promote citizen demand for good governance, improve effective public expenditure management by citizens, voice citizen preferences in budget planning, scrutinize procurement and monitor the delivery of goods, services and infrastructure.

    2. As PB continues to be applied, there is also a growing need to create space for practitioners to share their innovations and lessons to overcome common challenges more effectively, especially in Africa. Based on this consideration as well as the building of the Peer-to- Peer Learning Programs, the key development partners of the Africa Regional Seminar on Participatory Budgeting launched a Mutual Learning Initiative (MLI) in March 2008. This study is one of the results of that initiative.

    3. The MLI has the following objectives: to launch a Peer-to-Peer platform for direct cooperation between Africa and Latin America, which could help transfer and develop new capacities; enable participating institutions to enhance their capacity by means of sharing their innovations and lessons, as well as developing new knowledge and skills; and, contribute to improving good governance by means of strengthening budget transparency and literacy, citizens voice in public expenditure management, and independent oversight of service delivery and infrastructure.

    4. The key objective of this study; Monitoring Participatory Budgeting and its Impact on the Performance of Service Delivery is to develop and test tools for monitoring PB process and its impact on service delivery through Peer-to-Peer learning for application to different situations within Sub-Saharan Africa. The study will contribute towards the improvement in the monitoring service delivery and the quality and level of participation. The Peer-to-Peer learning partners of the study are drawn from Tanzania, Senegal and Uganda and Entebbe Municipality is used as a case study.

    5. Entebbe Municipality is medium sized, with an estimated population of 70,000 residents of which 30 % live in the rural setting. It is 20 kilometres from Kampala, the capital city of Uganda. It is divided into a number of administrative units namely; the Municipal level, administered under the Municipal Council; two Municipal Divisions (Division A and Division B ) under the Municipal Division councils; two wards (parishes) within each municipal division (Kigungu ward, Kiwafu ward, Central ward and Katabi ward) and a total of 24 sub-wards within the Municipality.

    6. The Municipality is headed by His Worship the Mayor and has 19 councillors, 7 of whom constitute the Executive Committee, which is responsible for initiating and formulating policies for approval by the Council and overseeing the implementation of policies made by both the Council and the central Government. The Council operates through two standing committees namely: Finance, Planning and Education: responsible for Treasury, Audit, Management, Planning, Education &

  • 6

    Sports and Works, Production and Public Health: responsible for Engineering, Water, Roads Physical Development, Production, Health and Environment. Water, sewerage services and electricity are provided to the Municipality by national providers. Health, education, solid waste, road network and land management services are provided by the Council.

    7. The bulk of Entebbe budget is in the form of recurrent transfers from central government, constituting about 70-80% of its budget. 85% of these transfers are earmarked for provision of specific services, giving the Municipality very limited space to allocate these funds to finance the local priorities. Moreover, 50% of the earmarked transfers are for payment of wages. Another serious feature of the budget is that the local revenues are low and on decline following the removal of graduated tax in 2006- the main source of revenue for local government in Uganda. Revenues of the Municipality are derived from licenses, rent of property, property and ground rents and fees.

    8. The Municipality faces several challenges; increasing own revenues, delivering services from the earmarked funds in accordance with the Memorandum of Understanding (MOU) signed by each local government and sector Ministries (Health, Education, Water and Public Works) and organising citizens to participate in the service delivery chain.

    9. Budgeting and Participatory Budgeting in Uganda are legally supported in the Constitution of Uganda of 1995; in the Budget Act of 2001 and in the Local Government Act of 1997. There are a number of laws that promote and regulate the space for civic engagement, participation and association; NGO registration Act, Access to Information Act, Communications Act, Press and Journalism Act, Public Procurement Act and the Political Parties and Organizations Act. An important lesson for other countries is to review their legal framework to identify reforms promoting civic engagement in the budgeting and accountability.

    10. The budget process in Uganda is a cycle that runs through the entire financial year, with varying degrees of participation. The key stages of the budget process at national level which start in July of each year include: review and updating of the Medium Expenditure Framework (MTEF), budget consultative workshops, preparation of budget framework work papers, public expenditure review and preparation of the background to the budget and the budget speech. Local governments have budget calendar that closely follows the national budget process.

    11. Opportunities for participation by other stakeholders exist during national budget conference but this can be extended to other stages of the budget process by specifying the time, the persons/organizations and format (through written reports and/...

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