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
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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
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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
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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
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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.
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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, citizen’s 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 &
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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/or invitation) for participation of other stakeholders. The study proposes introduction of additional participation during some stages of the budget process.
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12. Entebbe Municipality is one of the local governments in Uganda at the forefront of using Participatory Budgeting following the collaborative arrangement with Municipal Development Partnership for Eastern and Southern Africa. The Municipality introduced an innovative approach of Budget Outreach to bring together the residents into the budget process. However, it is now also felt that the approach is time consuming and costly in terms of citizen and staff time resulting in the decline of citizen participation. This study addresses this concern by introducing changes in the participatory budget process while retaining the valuable aspects of the Budget Outreach process; the political will of the Council leaders to mobilise the residents on governance issues.
13. The proposed changes in the participation do not alter the budget calendar but introduce additional activities during the budget calendar and the four stages of PB: preparatory stage, formulation stage, implementation stage and monitoring and evaluation stage. These changes allow outputs of PB to be fed into the budgeting process.
14. A framework for participatory monitoring, based on the administrative structure of the Municipality is proposed in the study. Three platforms involving the consumers and service providers to promote and improve services in their localities is also proposed. The service provider platform allows assessment of services provided from their perspective using performance indicators and the context in which they operate. The consumer platform facilitates discussion of service delivery by consumers in terms of effectiveness, quality, timeliness/reliability and equity and other consideration as may be defined by the participants.
15. Two sets of indicators are proposed: Process indicators to monitor participation in the budget process and Performance indicators to track progress made in the delivery of services. Another set of indicators related to process is the Context Indicators, which address issues arising from the overall budget and PB process that are likely to affect the success of the participatory process.
16. The Context indicators include: Legal Indicator which assesses the legal framework supporting the budget and participatory processes, Resource Assurance Indicator tracks the time when funds from central government and sector ministries become available for planning and budgeting. Resolution indicator will be used to track and review progress made in resolving action points arising from the joint platform. Process Indicators used to track and analyse participation by number, categories of participants (other characteristics of the participants) and theme/contents of the discussions. The Performance indicators used to track progress in service delivery, vary by the type of services provided and are determined by the sector ministries.
17. The importance of baseline data to measure progress in delivery of services overtime need not be emphasised. Baseline data is to be established from existing secondary sector data at the beginning of the platforms. As participation in the platforms
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continues over the years, the changes in the service delivery will be measured against the baseline data.
18. PB depends on participation of different stakeholders. There are many challenges in mobilising stakeholders to participate. A number of initiatives to spur citizen participation in the service delivery chain are required. These would include: simple but popular mechanisms and tools for civic engagement; increased citizen access to simplified information on budgeting and service delivery, creating a strong partnership between civil society organizations and government in monitoring service delivery through engagement, creation and support of open platforms throughout the local governments to promote citizen participation, promotion of community-based development approaches and building capacity in the government, civil society, Parliament and the media to promote good service delivery.
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1.0 Introduction 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.
PB is a process1 which has continued to evolve rapidly in countries where it is being 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.
The Mutual Learning Initiative has the following objectives:
1. Launch a peer-to-peer platform for direct cooperation between Africa and Latin America, which could help transferring and developing new capacities;
2. Enable participating institutions to enhance their capacity by means of sharing their innovations and lessons, as well as developing new knowledge and skills; and,
3. Contribute to improving good governance by means of strengthening budget transparency and literacy, citizen’s voice in public expenditure management, and independent oversight of service delivery and infrastructure.
The key objective of this study (Monitoring Participatory Budgeting and its Impact on the Performance of Service Delivery) is the development and testing of the tool for monitoring service delivery through peer- to- peer learning. The tool developed can be applied in all situations within Sub-Saharan Africa where Participatory Budgeting (PB) is being practiced. The aim is to apply this tool while PB is being implemented. In terms of its impact, we expect the project to contribute towards the improvement in the monitoring service delivery and the quality and level of participation by citizens in the PB process. The peer-to-peer learning partners of the study are drawn from Tanzania, Senegal and Uganda.
1.1 The Report This Report is in six parts. The first part presents the background on Entebbe Municipality; its administrative and political structure as well as the urban and public infrastructure and services. It also presents the highlights of its budget. The second part presents an overview of Budgeting and Participatory Budgeting in Uganda indicating opportunities for participation in the budget process. The third part gives an overview of Participatory Budgeting activities of Entebbe Municipality (Uganda). The fourth presents monitoring indicators; the conceptual framework, the framework for participatory monitoring, different sets of monitoring indicators. methodology used for developing the indicators tools for Entebbe Municipality, which can be adapted to different local government settings in Sub-Saharan Africa. The fifth part discusses baseline data for monitoring improvements in service
1 MDP (2007) defines participatory budgeting as a continuous open and inclusive process divided into distinct stages by which citizens and local governments widen mechanisms for promoting direct and indirect citizen participation in identifying local needs, deciding preferences, as well as implementing, monitoring and evaluating the budget, taking into account expenditure requirements and available resources.
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delivery as a result of PB. The sixth part presents proposals for spurring and building participation among key stakeholders. The seventh presents a toolkit for introducing participatory monitoring in any local government.
2. Background on Entebbe Municipality Entebbe Municipality is medium sized, with an estimated population of about 70,000 residents of which 30 % live in the rural setting. It is 20 kilometres from Kampala, the capital city of Uganda. The international airport, managed by Civil Aviation Authority is located within the municipality.
2.1 Administration. The municipality is organized administratively in a manner prescribed by the Constitution of Uganda of 1995, and the Local Government Act of 1997. The municipality 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. In effect, Entebbe Municipality has geographic structures suitable for PB and for the mobilisation of citizens to participate in a whole range of budgetary activities. Annex 1 gives detailed structure of local government structure in Uganda. In the case of Entebbe, it has one Municipal council and two Municipal divisions, which are corporate entities. The wards and villages are administrative units. Annex 1 gives detailed structure of local governments in Uganda.
2.2 The Political Structure The Municipality is headed by His Worship the Mayor and has 19 councillors, 7of whom constitute
the Executive Committee. The role of the Municipal Executive Committee is to initiate and formulate
policies for approval by the Council. It also oversees the implementation of policies made by the
Council and by the central Government. To increase effectiveness, the Council operates through its 2
standing committees namely:
Finance, Planning and Education: responsible for Treasury, Audit, Management, Planning,
Education & Sports
Works, Production and Public Health: responsible for Engineering, Water, Roads Physical
Development, Production, Health and Environment.
Each Committee is responsible for monitoring, reviewing and reporting to the Council on the
performance of their respective sectors. This representative political structure has been supportive to
implementation of PB through the introduction of Budget Outreach innovation in Entebbe
Municipality.
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2.3 Urban, Public Infrastructure and Services.
2.3.1 Access to Safe Water Portable water to the Municipality is the provided by the sole provider in Uganda- the National Water
and Sewerage Corporation (NWSC). However, with only one transmission line supplying the whole
municipality, the coverage is only up to 70% of the total water demand. The deficit of 30% is covered
by alternative sources such as springs, water harvesting and Lake Victoria. The average water
consumption per house-hold is estimated at 79 litres per day, far below the recommended average of
150 litres per house-hold per day. These deficiencies in the supply of portable water pose dangerous
health, economic and social implications.
2.3.2 Water treatment The municipality has got two water treatment plants. NWSC offers crucial services like supply of
treated water (piped and tinkered water), sewerage services (piped and cesspool emptying) and water
quality testing services.
2.3.3 Sewerage System The NWSC provides this service through one sewer line. Although, it is estimated that the sewerage
system could serve up to 800 households only 100 households (representing 10% of the total house
hold capacity) are currently connected. Because of this limited coverage many households depend on
their own private septic tanks. However, these are also limited because the costs of construction and
maintaining them are prohibitive. Faced with this predicament, the majority of the population (about
80%) use pit latrines. In some parts of the Municipality households that cannot afford to construct
their own pit latrines share with neighbours or resort to unsafe methods of human waste disposal such
as using polythene bags that end up in refuse skips or bushes. The consequences of such practices are
definitely ominous for the health of the residents. The sanitation situation is further exacerbated by
poor disposal of solid waste including plastic bags, and ingression of foreign matter such as stones
into the sewers which can clog them.
2.3.4 Solid Waste Management With the increasing population, the volume of solid waste in the municipality is increasing at a very
fast rate beyond the capacity of the municipality to handle. Waste generated in the municipality
comprises organic material mainly from households, raw vegetable matter from markets,
commercial/industrial waste from offices, retail shops, ware houses and hotels, and special waste from
hospitals and the central medical stores, slaughter houses and the cesspool waste.
Only 20% of the refuse generated is stored and collected for disposal. The rest is put in gardens or
composed on sites or compounds. Solid waste management problems include insufficient transport as
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well as insufficient supply of containers/skips. As a result of this unsatisfactory method of work, the
public is constantly exposed to pathogens and bad stench emanating from over filling and spillage at
the collection centres.
2.3.3 Access to Electricity Electricity is provided by a national and monopoly service provider but private operator, UMEME.
Out of the 7.5 MVA at the sub-station, the municipality consumes less than 5 MVA. The main
consumers are the hotels, the airport and medical stores.
2.3.4 Education infrastructure. According to the Education Census carried out in 2003, 1029 children are enrolled in pre-primary
schools, 13,425 in primary schools and 6009 students in secondary schools. Private involvement in
provision of both primary and secondary education is strong. The central government provides funds
for the provision of infrastructure for both primary and secondary schools but the Municipality is not
receiving such funds.
2.3.5 Health Infrastructure. The Municipality has one health centre (Level 3) and other lower level health facilities under its
jurisdiction, providing primary health services. In addition, there is one hospital directly under the
Ministry of Health, provides tertiary health services to the residents of Entebbe.
2.3.6 Land Use Land use falls under different categories. Some of the important uses include the following:
residential (9%), commercial (1%), institutional (7%), infrastructure (10%), small scale farming
(30%), swamp (16%), built up area (16 %). Some of these uses offer the municipality an opportunity
to collect rent and rates.
2.4 The Budget. Based on the 2006/7 and 2007/8 budgets, the bulk of Entebbe budget is in the form of recurrent
transfers from central government, constituting about 70-80% of its budget. In addition, 85% of the
transfers from central government are earmarked, giving the Municipality very limited space to
allocate these funds to finance the local priorities. Moreover, the 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. Revenues of the Municipality are derived from licenses, rent of property, property and ground
rents and fees. The local revenue was 26% of the total revenue of the Municipality in 2006/7. It
declined to 22% in 2007/8 and is expected to decline further in 2008/9. The decline of local revenues
in all local governments in Uganda is due to abolition of graduated tax in 2006. This has been the
main source of revenue for local governments.
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It is evident from the overview that Entebbe Municipality has many challenges. One such challenge is
to increase own revenue to finance local priorities that are not funded from the transfers of central
government. The second challenge is to ensure that services offered from earmarked funds received
from central government are improved in a manner that fulfils the Memorandum of Understanding
(MOU) signed by each local government and sector Ministries (Health, Education, Water and Public
Works). The MOU commit all the local governments to deliver services based on the sector
performance indicators2 upon receiving the sector conditional grant. The other challenge in the
delivery of services is how each local government can organise the citizen to participate in the
service delivery chain: planning, implementation and monitoring. The participatory process adopted
by a local government should not put too much demand on staff time and that of citizens, as is now
the case with the Budget Outreach in Entebbe Municipality. It should fit within the budget calendar
generate inputs for planning, implementation and the improvement of services. A framework that
addresses these challenges is presented later in the report.
3. An Overview of Budgeting and Participatory Budgeting in Uganda.
This section presents an overview of budgeting and accountability in Uganda, the legal and regulatory
framework supporting the budget process and highlights how participation is incorporated into the
budget cycle. The presentation is based on the document review, the interviews with the staff of
Entebbe Municipality, sector ministries of Education, Health, Water and the Ministry of Finance. It is
also based on the participation of the Consultant in two public events organised by the Ministry of
Finance for the preparation of the 2009/10 budget; the Local Government Regional Workshop, held in
Mbale and the National Budget Workshop held in Kampala.
3.1 Legal framework for Budgeting and Accountability. 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. In addition, there are a
number of laws that promote and regulate the space for civic engagement, participation and
association. These include: NGO registration Act, Access to Information Act, Communications Act,
Press and Journalism Act, Public Procurement Act and the Political Parties and Organizations Act. To
promote accountability and transparency among civil society organizations, an NGO Quality
Assurance Certification Mechanism was created for self-regulation of members. For specific
2 Each sector conditional grant received by a local government from central government has a set of performance indicators to ensure national standardization of performance indicators within each sector. The performance indicators are used for all planning and measuring progress in service delivery and reporting purposes.
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countries, it important to review the legal framework so as to identify reforms needed to enhance civic
engagement in the budgeting and accountability.
In addition to the legal framework, there is a defined timeframe for various activities in the budget
process and submission by both the central ministries and the local governments to the Ministry of
Finance, Planning and Economic Development, the Executive (President) and the Parliament.
While the statutory dates for the key budget activities are stipulated in the Budget Act of
2001, delays are often experienced, which in turn affect other budget preparation activities
including mobilising the participation required. For example, in local governments where
participation is not well founded, PB is rushed to fulfil mandatory requirements. Instead of
organising several budget conferences for stakeholders at different levels of the local
government as required by law, a one-day budget conference is held for the entire local
government. Such arrangements undermine PB as a means of empowering citizens in all
stages of the budget process. Consequently, many stakeholders otherwise excluded in the PB
process are being left out.
3.2 The Budgeting Process at the National level. The budget process is a cycle that runs through the entire financial year, with varying degrees of participation. The key stages of the budget process at the national level are described below.
3.2.1 The Medium Term Expenditure Framework. This stage involves the review and updating of the Medium Term Expenditure Framework (MTEF), and a country Portfolio Performance Review between July and August each year. This is a technical stage involving the Ministry of Finance, sector ministries and the development partners.
3.2.2 Issuing the Budget Call Circular. The Ministry of Finance, Planning and Economic Development kick-starts the budget cycle process
by issuing a Budget Call Circular to all central and local government accounting entities, of which
Entebbe municipality is one. The Circular outlines indicative expenditure ceilings for each accounting
entity; deadlines and formats for preparing Budget Framework Papers; policy and administrative
guidelines as well as budget strategy and priorities; and preliminary national estimates of revenue and
expenditure for the three year medium term. The Circular thus urges the sectors (education, health,
agriculture, etc) to convene sector working groups, and the local governments to organise budget
conference meetings for the purpose of preparing the Budget Framework Papers.
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3.2.3 Budget Consultative Workshops. These are participatory workshops and for the 2009/10 budget preparation, the Local Government Regional workshops preceded the National Consultative Workshop. This change was aimed at consulting citizen representatives and the implementers of government programmes at the grassroots level so that the national budget reflects the views, aspirations and national priorities of all Ugandans through a fully participatory process.
3.2.3.1 The Local Government Regional Workshop (LGRW).
This workshop is organised by the Ministry of Finance, Planning and Economic Development. Recurrent and development grants ceilings are communicated to local governments, alongside changes to sector policies and guidelines. By law, this first workshop is to take place between in November. However, there were delays and these workshops were held on December 15-19, 2008 and January 5-9, 2009. 3.2.3.1 The National Consultative Budget Workshop Conference.
Following the Local Government Regional Workshops, the Ministry of Finance, Planning and Economic Development organises the National Consultative Budget Workshop Conference. In the past, this workshop preceded the LGRW. This change, starting FY 2009/10, was aimed at consolidating participation by consulting citizen representatives of people and implementers of government programmes at the grassroots level before the allocation and utilisation of public funds. For the preparation of the 2009/10 budget, the focus of the workshop was to draw strategies to improve efficiency and effectiveness of public spending and service delivery. To bring in the citizen participation into this stage of the budget process, participants from the civil society organizations and the private sector from the regions were invited. A representative of the Uganda NGO Forum made a presentation during the workshop. During the workshop, the Ministry of Finance was particularly concerned about undue requests for more resource allocation by all accounting entities without evidence of corresponding improvement in service delivery across all sectors. The concern here was that however well intentioned and organised any budget cycle and PB may be, the focus should be on the results (outputs and outcomes) expected out of spending the budget funds. However, the scope of discussion during the workshop was skewed towards policies, indicative budget figures (expenditures and anticipated revenue) and operational budget issues, with inadequate time dedicated to service delivery issues, monitoring and evaluation to improve service delivery3. In fact, the civil society organizations wanted sufficient time dedicated to share their experiences in service delivery. An opportunity was thus lost to discuss and address issues related to service delivery at the national level by the participants. In any event, it would not have been possible to discuss
3 Following, the completion of the National Conference and Regional Workshops, the Ministry of Finance, Planning and Economic Development on 27 April 2009 organised a workshop on monitoring and evaluation drawing only Resident District Administrators (RDCs), District Intelligence Officers (DISO) and Sub-county (Gombolola) Intelligence Officers (GISO) as participants. These categories of employees are under Presidents Officer. There were no other stakeholders.
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these issues during the two-day workshop without a definite slot within the timetable of the workshop. This meant that the main implementers of government programs, the local governments, must find time to organise citizens at the local government level to address service delivery issues specific to their areas and circumstances. The participatory monitoring framework presented later in this report is aimed at assisting the local governments to organise citizens and service providers to dialogue on service delivery issues. The participation in these workshops was limited to political leaders and heads of departments drawn from 80 local governments and 13 municipalities (see invitation published in a national newspaper in Annex 2), with no representation from other stakeholders such as civil society and private sector. The participation of these organisations was brought in later during the national budget conference. This is a serious drawback to participation in these workshops, leaving out many NGOS and civil society organisations working closely with various local governments in the service delivery chain.
3.2.6 Preparation of Budget Framework papers All Sector Working Groups and Local governments begin the preparation of the Budget Framework Papers (BFPs). The Executive Committee of the Local Council convenes a meeting to determine intersectoral priorities identified for potential budget reallocations and flexibility. The participation is limited except that some civil society organizations have been included to participate in some sector working groups but this is not uniform across all the sector ministries. Inclusion of these organizations into all sector working groups would enhance participation.
3.2.7 Sector Budget Framework Paper Ministerial Consultation This stage also limits the participation of the civil society organisations and the private sector. The consultation process involves ministries that fall within each sector. The social services sector would bring together the ministries of education and health. There is still an opportunity to include organisations that are active in the various sectors in this consultation process to bring in their expertise and experiences with citizens in the provision of services in various services.
3.2.8 Preparation of the draft National Budget Framework Paper. This is a very restricted stage of the budget process as it involves the Ministry of Finance consolidating sector Budget Framework Papers into a Draft national BFP for submission to the Cabinet, under the chairmanship of the President for scrutiny and approval.
3.2.9 The Public Expenditure Review Meeting. The draft national BFP is presented to a National Budget workshop called the Public Expenditure Review Meeting. Again here the participation is restricted and content is more on balancing budget figures for presentation to Parliament for approval. There is also opportunity to include civil society organisations at this stage.
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3.2.10 The Final Budget Framework Paper. It is submitted to Parliament by April 1, of each year. Citizen and other civil society organizations can still provide their input at this stage if formal time and space is provided.
3.2.11 Preparing the Background to the Budget and Development Budget Estimate.
This stage involves the development of the Background to the Budget and the detailed development of budget estimates by each Ministry and institution.
The Ministry compiles these into the draft estimates of revenue and expenditure with consultation with the Parliamentary Budget Committee.
3.2.12 The Budget speech This is finally followed by the preparation of the Budget Speech, which must be presented, to Parliament by the 15th day of June of each year. It was presented on 11 June 2009.
In summary, there are opportunities for participation in the budget process beyond the National Budget Conference. These opportunities exist during LGRW, Sector Budget Framework Paper preparation and ministerial consultation, Public Expenditure Review Meeting, and preparing Final Budget Framework Paper. However, the participation needs to be defined in terms of time, format (written reports and/or by invitation) and persons/representative organisations invited. These stages of the budget process are summarised in Table1.
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Table 1: CHRONOLOGY OF EVENTS IN THE PREPARATION OF 2009/10 BUDGET
Review and updating the Medium Term Expenditure Framework.
Budget Call Circular (Issued by Ministry of Finance on 11 December 2008).
Sectors and Local Governments convene Sector Woking Groups and Budget Conference Meetings respectively to start preparing Budget Framework Papers.
Ministry of Finance, Planning and Economic Development organised Local Government Budget Framework Paper Regional Workshop (held on 15-19 December 2008 and 5-9 January 2009 ).
National Consultative Budget Workshop for 2009/10 (held on 29-30 January 2009).
Preparation of Budget Framework Papers.
Sector Budget Framework Paper Ministerial Consultation.
Preparation of the draft National Budget Framework Paper.
The Public Expenditure Review Meeting.
The Final Budget Framework Paper.
Preparing the Background to the Budget and Development Budget Estimate.
The Budget speech (11 June, 2009).
4. Participatory Budgeting Activities in Entebbe Municipality
This section gives an overview of Participatory Budgeting in Entebbe Municipality based on the
review of documents and several interactions with the Town Clerk and the key staff of Entebbe
Municipality. In addition, the presentation highlight how the PB activities will be restructured to fit
into the participatory monitoring proposed in the report.
Entebbe Municipality is one of the local governments in Uganda at the forefront of using Participatory Budgeting. It benefitted from the collaborative arrangement with Municipal Development Partnership
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for Eastern and Southern Africa, which provided extra funding for the budgetary activities of the Council to support the active participation of a wider cross section of stakeholders in the budget process4.
For purposes of the study, the PB activities in Entebbe are presented to fit into the four distinct stages of participatory budgeting5. However, all the local governments in Uganda follow a budget cycle related to the national budget cycle presented earlier in the report. The Budget calendar for local governments is Annex 2.
4.1 Preparatory Stage. In Entebbe, this stage starts with a process called Budget Outreach whereby 30-40 people headed by the Mayor and accompanied by councillors, heads of department and representatives of civil society organizations visit each of the 24 villages and sub-ward for a day. The tour involves visiting homes, talking to residents and identifying their problems and needs. At the end of the visit, a well attended public meeting for each village is held to discuss problems and needs, where officers from the Council respond to issues raised. Proceedings of the meetings are video recorded and a list of issues compiled. The involvement of political leadership in the outreach program is significant. The budget outreach is inclusive, as it brings in a whole cross section of the population required for effective participatory budgeting. The public meeting gives a platform for citizens to participate and interface with political leaders, technocrats and civil society organizations. Finally, priorities and needs of the population are determined and used for the next stage of the PB and the budget cycle.
The thrust of this stage is citizen mobilisation- not only to identify their needs and priorities but also offer opportunity to build citizen organization and readiness to participate in the budget process; implementation, monitoring and evaluation. The Budget Outreach innovation in Entebbe provides the best opportunity for stakeholders to interface but is has been restricted to initial stages of the budget process namely the preparatory and formulation. It is now also felt that it is time consuming and costly in terms of citizen and staff time. In fact, participation has declined to a level requiring review.
To address this concern in the context of platform arrangements (presented later in the report) while retaining the valuable aspects of the Budget Outreach process, the political leaders will now operate at the Division level by mobilising citizens, service providers, NGOs, CBOs and the media to participate in the three platforms soon after the budget is presented to the Council. To get the best out these new arrangements, advance preparation is needed.
The key activities for this phase would now include sharing simplified information on:
The Council Budget presented to the Council (simplified in presentation).
Performance of the Council in mobilising local revenue.
Performance of the Council in the delivery of various services using Performance Indicators
4 Participatory Budgeting in Africa, A Training Companion Volume II, UN-Habitat and MDP
5 As compiled by MDP.
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Proposals for organising the citizens, service providers, NGOs and CBOs to participate in the Dialogue Platforms.
Following the mobilisation of the population by the political leaders and the staff of the Municipality and the Division, arrangements are made for meetings for:
Platforms for service providers meet in each of division.
Platform for the consumers meet in each division.
4.2 The Participatory Budget Formulation. To generate specific priorities and needs, the lower local governments of the municipality (the two Divisions, their respective Wards and Sub-Wards) participate in the Division Joint Platform and use the outputs as part of the background information to prepare their budgets. The Division budget submissions are analysed by the Technical Planning Committee of the Council for prioritisation (annual and three-year medium term plans) to accommodate them within the available resources.
It is at this stage when the participatory budgeting activities through the platform meet and the top - down participatory budgeting process at the national level. The technical staff and political leaders, invited to participate in the Regional Local Government Workshops and the National Budget Workshops, will use outputs from the platforms for their presentations in these Workshops, as well as preparing the Budget Framework Paper (BFP) for submission to the Ministry of Finance. The platform outputs will thus feed into the budget process both at the central government and local governments.
The Division budget submissions either get scaled down or postponed because of budgetary constraint and low local revenue. The central government transfers are earmarked and would not be available for local needs which are not consistent with the national priorities. The scaling down of the priorities underscores the importance of including local revenues as part of the agenda for the platforms. Political leaders at all level of the local government must be at the forefront to market the options for mobilising the local revenues. As noted above, revenue issues are put on the table by political leaders as they meet at each Division (sub-national government).This is crucial in countries like Uganda and others, where earmarked transfers from central government are dominant in the budgets of local governments.
After submission of the Budget Framework Paper, the Municipality continues with a detailed estimate of the budget, submitting it to the Executive Committee of the Council and thereafter presenting it before the entire Council for approval. During these stages of the local government budget process, outputs from the platforms will be available to inform the process. Annex 2 presents activities of the budget process where participation is possible.
4.3 Participatory Budgeting Implementation. As noted earlier, most public works in Entebbe are provided by the national providers which enjoy monopolies, as is the case with portable water, electricity and the sewerage system. However, there is room for the Council to expand these services by working closely with the providers especially in provision of portable water and waste management. Currently, public works in Entebbe are severely affected by to low own revenues following the abolition of graduated tax. The Classroom construction program came to a close two years ago. PB in countries where it well established is based on
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investment in public works. This is in complete contrast to Entebbe and other local governments in Sub-Saharan countries, where the bulk of the budget is for recurrent. It means that PB has to be applied to recurrent activities with a view to improving the services.
There is scope during this stage for citizens to actively participate in the implementation of the Council programs funded through the central government recurrent transfers. Education, health, water and sanitation services form the major areas of the poverty reduction initiatives in Uganda. For instance, universal primary education is allocated 31% of the national discretionary recurrent budget every year. In Uganda and likely other Sub-Saharan countries, there are user committees (School management Committees, Health Management Committees etc.) established to represent consumers in the delivery of services. Notwithstanding their current weaknesses, the user committees have potential to participate effectively in the consumer platform and the joint platform.
It is important to stress here that application of PB especially in encouraging regular dialogue between service providers and citizens in their geographic areas on the services provided would make so much difference in the quantity and quality of services in Uganda and other Sub-Saharan African countries as they strive to achieve millennium development goals. The results of a study in Uganda6 (conducted over 4 year period) showed that strengthening social accountability relationship between policy makers, service providers and citizens can improve service delivery (quantity and quality). This form of social accountability is noted to be lacking in not only Entebbe Municipality but also in other local governments in Uganda (most likely in many countries). The accountability in place is the formal one (or from the supply side of governance) involving presentation accounting and auditing, administrative reporting. For these to be effective, they generally require that citizens and civil society demand accountability through various forms of civic engagement.
The implementation phase in most local governments is focused on activities aimed at spending the allocated budget. Limited effort is made towards maximising the outputs and outcomes from available public funds. The platform offers the opportunity to resolve non-financial issues constraining provision of good services such as absenteeism of students and teachers. This stage also offers citizens opportunity to following up and monitoring what has been decided during budget formulation. It requires access to simplified budget information and performance indicators. The framework proposed in this report addresses this concern by building and strengthening relationship among the various stakeholders in their geographic areas to improve service delivery through the dialogue platforms. This will allow PB to focus on outputs and outcomes instead of restricting it to soliciting citizen views on needs.
6 The World Bank Report 2004 emphasised that strengthening relationship between policy makers, services providers and clients is critical in improving access and quality of basic services for the poor. The empirical research entitled “Power to the People” by Martina Bjorkman and Jacob Svensson demonstrated through a randomised experiment how it can be achieved by strengthening social accountability between providers of health services in sampled health centres and the communities served in Uganda (using community based monitoring that uses citizen report card at the community level). The positive impact on the access and quality were noted in this randomised experiment: 16% increase in utilisation of outpatient services, 68% increase in deliveries, 20% increase in patients seeking antenatal services, 68% increase in visits for family planning; and 33% reduction in child death under five years. This is what PB may achieve if modifications as proposed in this study are made to strengthen the accountability relationship between service providers and clients/beneficiaries.
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In the course of interacting with Entebbe Municipality and attending the National Consultative Budget Conference and one Regional Local Government Budget Workshop, the following issues emerged as challenges affecting the implementation of PB at the local government level. These issues may be different in other countries, but they need to be appreciated and considered. These have taken into account in developing the monitoring indicators. They include:
Late communication and continuous change of Indicative Budget Planning Figures, thus constraining and delaying the completion of the planning and budgeting process of local governments within mandatory timelines. It also means that local governments have to work with tentative resource envelopes at the budget formulation stage.
Allocation formulae are not taking into account peculiarities of different local governments, thus affecting service delivery.
Inadequate funding of approved staff structures, implying absence of critical staff to ensure good service delivery.
Failure of some local governments to attract and retain qualified workers in hard- to- reach areas.
Delays in release of funds by the central government and low absorptive capacities of local governments.
Lack of initiative by local governments to introduce viable local revenue sources.
All of these issues occur at the central government level (except the issue of local revenue) and are characteristics of countries where central government transfers are dominant in the budgets of local governments.
4.4 Participatory Budget Monitoring and Evaluation. There are many independent efforts by various stakeholders to monitor the budgets of both the local governments and the central government, but they lack participatory elements and a forum7 that would significantly compel changes in the delivery of services. Nevertheless, the Uganda NGO forum has made some efforts to articulate its monitoring findings to change public expenditure management at the central and local government levels.
The Entebbe Municipality, like all other accounting entities, prepares quarterly reports providing both financial and physical accountability of the capital and recurrent funds received in every quarter specifying each planned output against the planned budget and the actual expenditures. These are mandatory requirements for subsequent releases of funds by the central government. However, these initiatives need to be taken a step further by organising local communities in their geographic settings and presenting them with simplified information from the quarterly reports to facilitate the monitoring and evaluation of services which receive both recurrent and capital funds.
7 The Budget Monitoring Unit of the Ministry of Finance, Planning and Economic Development, in collaboration with the Office of the President, is currently engaged in recruiting community representatives for a country-wide network to monitor public programmes on a full time basis and partial volunteer basis.
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With regard to the scope of monitoring given the few capital expenditures in local governments, it will encompass both capital and recurrent expenditures. The distinction between capital and recurrent budget is no longer pronounced as many countries and donors opt for budget support financing. For example, while the communities in a typical PB setting would monitor the construction of classrooms, health centres, water points, etc, the quality and quantity and other aspects of services derived from the new and the existing facilities will also be monitored in a participatory manner. This is because the improvement in service delivery does not only depend on the expansion of physical facilities but more importantly on the subsequent use of these facilities to meet the needs of the citizens. Hence, the monitoring will be for both the physical infrastructure and the services derived from these facilities.
To assist in matching the activities of the platform with the existing budget calendar, the last column (Table 2) has been introduced to specify how platform activities fit into the local government cycle. Platform activities start soon after the presentation of the budget to the Council, which is latest 15 June of each year. The three months of July to September are dedicated to preparation of financial accounts for submission to Auditor General and the respective Parliamentary Committee. This is an ideal time for platform activities in preparation of next budget. In any case, most of the information on revenue, expenditure as well as monitoring reports for the previous year will be available for presentation.
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Table 2: LOCAL GOVERNMENT BUDGET CALENDAR
Timing Activity/event Responsibility Centre
Output
Proposed Participatory Activities by Local Government
September 1. Local Governments Budget Committee agrees the rules, conditions & flexibility of the coming planning & budgetary process
LGBC Agreement about the overall planning & budgetary framework before start of budget process
Service Providers, the Council and the Division compile all service indicators for previous financial year and status reports of services. (July to August). Technical staff of each sector facilitate client platform at division level of the Municipality to compile perceptions of clients on the delivery of various services (July to August). Joint Platform for service providers and clients to develop Joint Action Plan for all services for the coming year (September).
October 2. Holding of Local Government Framework Workshop
Ministry of Finance, Planning & Economic Development
Recurrent and development grants ceilings communicated to local governments, alongside changes to sector policies and guidelines
Local Governments include outputs from the platforms for workshop. Use additional information on service delivery from NGOs, CBO operating in their areas.
October 3. Holding of National Budget Workshops
Ministry of Finance, Planning, & Economic Development, sector Ministries
National priorities, resources & inter sector allocations communicated to local governments.
Session on service delivery to be included and presented by civil society organizations and local governments.
Early November
4. Executive Committee meets to determine intersectoral priorities as identified in previous DDP and to fix intersectoral allocation %
Executive Committee Intersectoral priorities identified for potential budget reallocations & & flexibility
Outputs from the platforms to be used by Executive Committee to inform determine prioritization.
Early November
5. Budget Desk prepares Local Government Budget Call and circulates it to Heads of Department and Lower
Local Government Budget Desk, Executive Committee
Draft activity & time schedule for the entire budget process, and indicative budget allocations for LLGs &
Circulate outputs from the platforms to Heads of Departments.
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Local Governments. HoDs, etc.
November 6. Sectors start preparing input to budget framework paper, reviewing performance and prioritising planning & budgeting for future programmes.
Heads of departments & lower local governments
Draft inputs to budget framework paper to be presented to sector committees and development plans to be considered by LLG councils.
Use outputs from the Platforms to inform the preparation of budget framework papers.
November 7. a: LLGs identify investments and prepare draft development budgets and plans. b: Planning Unit compiles LLG development activities into DDP, and presents them to Heads of Departments (HODs) who propose district level Sector investments which are compiled in sector BFPs. These include full and complete work plans and budgets for all district level activity linked directly to DDP
Planner District Technical Planning Committee
Draft District/Municipality Development Plan & detailed work plans and budgets for each an every activity LG intends to undertake, no matter how funded.
Use outputs from the Platforms.
December 8. Draft Sector BFPs and development plans complete. Sector committees examine sector inputs to the budget framework paper
Sector committees Sector priorities and draft work plans & budget estimates ready for compilation by the Budget Desk
Use outputs from the Platforms for each sector; education, health, water. e.t.c.
December 9. Budget desk compiles/prepare draft budget framework paper, and the planning unit the development plan. The District Technical
Budget Desk Draft budget framework paper and development plan ready to be presented to Executive Committee
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Planning Committee reviews them.
December 10. A meeting of the Executive Committee, Chairpersons of Sector Committees, HoDs is held to examine draft budget framework paper, and prioritise sector expenditures and programmes,
Executive Committee, Chairpersons of Sector Committees, HoDs
Draft budget framework paper and development plan ready for Budget Conference
December 11. Holding of Budget Conference
Full council, NGOs, Civil Society.
Budget input (i.e. priorities, re-allocations & preliminary budget estimates) ready for incorporation in draft budget by the Budget Desk
Presentation of the outputs from the Platforms to inform the conference.
December 12. Budget Desk incorporates input from budget conference in budget framework paper and draft budget. Executive Committee approves budget framework paper & draft budget.
Budget Desk Final budget framework paper and draft budget ready to be presented to Finance- or Executive Committee Draft budget ready for submission to MoFPED
January to May
13. MoFPED & line ministries examine local government budget framework paper & draft budgets
Central Government Revised grant ceilings & comments ready to be communicated to LGs
May 14. Budget Desk incorporates grant ceilings & comments received from MoFPED in annual work plan & draft budget.
Budget Desk Final draft budget and work plan ready to be presented to sector committees
Beginning of
15. Sector committees review final annual work plan &
Sector Committees Final input from sector committees to annual
Include representatives of local NGOs working in the key
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June
budget.
work plan & budget
sectors in the sector committees.
Beginning of June
16. Finance- or Executive Committee examines final draft budget.
Finance- or Executive Committee
Final draft budget (including annual work plan) ready to be read by council
Before the 15th of June
17. Reading and approval of Budget.
Full council Approved budget to be signed by chairperson and submitted to MoFPED/MoLG/LGFC & Auditor General
Representatives of local NGOs, consumers of services and private sector to be included. Preparation of Platform activities for the following year start. Local Government prepare and issue schedule for Platform activities and announce during the full council meeting.
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5. Monitoring Indicators for Participatory Budgeting.
5.1 Conceptual Framework. Public managers routinely present information on the administrative details surrounding their area of responsibility (inputs, activities and outputs) with limited evidence of the end results that are to be achieved. Indicators developed should assist in showing the citizen participation in the budget process and how the bureaucratic efforts translate into improvements in actual service delivery and progress. This means that monitoring and evaluation should go beyond the bureaucratic process (inputs, activities, output8 and reach) to some aspects of development effects as illustrated below.
The concept of reach9- a measure of the extent to which government efforts meet the needs of clients/beneficiaries, usually expressed in terms of relative coverage, access to or use of programmes, services or facilities. It also brings the notion of the degree of client/beneficiary satisfaction with these outputs and services. For both parties, the service providers and the clients/beneficiaries, to have some form of agreement and consensus on coverage, access, use, satisfaction, quality of a service have been realised participatory dialogue must take place not only to understand bureaucratic efforts but results from such efforts. Participatory budgeting as applied in Entebbe Municipality now does not offer the platform for this to take place.
Outcomes represent the intermediate change or response that follows from outputs and their reach. Outcomes are a desirable and necessary change along the road to intended ultimate developmental goals, e.g. the creation of skills and employment opportunities as one means to achieve poverty eradication. The establishment of quantifiable targets and the monitoring indicators of change at the reach and outcomes levels can help bridge the gap between bureaucratic action on the one hand and the tracking of progress with long-term development goals on the other. Monitoring and Evaluation must therefore extend beyond tracking levels of expenditure, bureaucratic activities and adherence to administrative requirements and procedures, but also show progress with actual results on the ground. Monitoring seen in that context will assist in moving the PB agenda towards results and outcomes.
8 Outputs represent the immediate product or completion of administrative activity-for which managers can be held objectively accountable, such as completion of boreholes or classroom construction or distribution of medicines to health facilities. But only if these facilities and services are used adequately can we then speak of having achieved outcomes and development goals.
9 ECD Working Paper Series, Evaluation capacity Development-No.8 : January 2001
Input Activities Output Reach Outcome Development Goals
Bureaucratic Process ( Efforts) Development effects (Results)
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Monitoring will therefore involve the continuous tracking of different input, activities, output and assessing reach and outcomes of services using dialogue platforms. The most critical role of evaluation is to improve understanding of the interrelationship between the efforts (i.e. inputs, activities and outputs) to deliver services on the one hand and reach and poverty outcomes on the other. To develop monitoring and evaluation with these considerations in mind, which at same time supports and complements PB process, the study presents a participatory monitoring methodology and a set of indicators that track both changes in participation in the budget process and improvements in the performance indicators of various services. The methodology is applied to the administrative structure of a local government, which may vary within a country and between countries.
It is also important to stress that these indicators should be easily understood by even the disadvantaged communities and should relate to the services provided. The study introduces a framework for the proposed participatory monitoring approach and was discussed in detail with the technical team of Entebbe Municipality to determine how best it can be adopted in its administrative structure.
5.2 Citizen Participation in the Budget Process. As noted earlier, several laws provide space for citizens to participate in the budget process. In reality,
there are few opportunities for civil society and end-users of services to exercise voice on the various
aspects of the budget process both at the national and local government levels. Space is also limited
for civic engagement to assess the effectiveness, quality, timeliness/reliability and equity of service
delivery. One reason for limited civic engagement is that there are not many open platforms for
expressing such voices. The user committees (School Management Committees, Health Management
Committees, Water Committees), which have the mandate on behalf of the citizens to enforce and
demand accountability, have poor knowledge of their roles and responsibility and over time have been
so ‘bureaucratised’ that their voices are not effective. Participation of citizen is thus critical for the
effectiveness of the platforms and efforts should be made by political leaders to spur it and support.
5.3 Platforms for Engagement on service delivery. The crucial element in participation is strengthening relationship among three stakeholders; policy
makers, service providers and consumers of various services. In the context of Entebbe Municipality
(applicable to any other local government), it was noted that participation could be simplified into
three platforms; one for service providers, another for consumers and/or their representatives by
location, and the third one as a joint platform bringing together the service providers and consumers.
5.3.1 Platform for service providers The platform for the service providers would focus on assessing services provided from their
perspective, clearly showing how a service provider has performed in accordance with the
Performance Indicators agreed and signed with central government, poverty reduction initiatives
and the Millennium Development Goals. In addition, simplified presentation and analysis of the
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financial, material, human and infrastructural resources available for service delivery as well as the
factors affecting the delivery of services would be appropriate agenda for this platform. The products
of the platform should be prepared in a simplified manner that can be shared and discussed during the
joint platform with consumers. The technical staff of the local government should play active role to
facilitate the platforms to build their ownership of the process as well as and capacity.
5.3.2 Platforms for consumers This platform is for discussion of service delivery from the perspective of consumers with regard to
the effectiveness, quality, timeliness/reliability and equity and other considerations as may be defined
by the participants. This platform needs a good facilitator to assist the consumers on the details and
standards of service delivery as well as understanding information provided by the staff of the
Division and the Municipality on budget and service delivery. The role of the staff of the Council is
important in facilitating the process with support of an outsider, when necessary to build confidence
between consumers and service providers. As the confidence in the process builds up, service
providers and consumers can use their own cadres to facilitate all the platforms.
5.3.3 Joint Platform. The third platform brings together consumers and service providers to agree on key issues affecting
the various services, actions that can be taken to resolve, persons responsible, timeline for the actions
and mechanism for monitoring. This will constitute an Action Plan; a contract between the users and
service providers, that can be used to monitors changes made in service delivery chain.
The details of the platforms and how they relate are shown in Table 3. The framework can be applied
to a local government. Division can be replaced with a sub-national local government that has
corporate characteristics. Often service providers fall under the sub-national governments. In cases
where the service providers fall under the Council, the service providers are placed under their
geographic locations within the Council. The users should always fall under the geographic locations
of the service provider/facility from which they receive the services. Outputs from the platforms
provide quick feedback to participants as well as the Council.
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TABLE 3: FRAMEWORK FOR PARTICIPATORY MONITORING USING ENTEBBE UNICIPALITY
Inputs
Inputs
5.4 Methodology for developing monitoring indicators and participatory monitoring methodology.
1.Entebbe Municipality
Provides inputs for services.
Oversees planning and delivery of services.
Receives and consolidates feedback for planning and shares it with central government.
3.SERVICE PROVIDERS
Health
Education
Public Works
Water and Sanitation
3. Users/Clients
By
*Division
*Ward
*Village
OR clients/users
*Student
*Citizen
*Patients
Services
Provides
7. Joint action plan to improve services
5. Platform of Service Providers
To self assess services they provide, prepare information and issues to share with clients to improve service delivery. Use Performance indicators. Facilitated by third party
4.Platform for clients /users.
To assess services provided using Performance and self generated indicators. Facilitated by a third party.
6.Joint Platform for service providers and clients/users.
An open platform for dialogue on each service delivery based on the results from the platforms of service providers and clients to identify critical areas for intervention by either and/or both parties but also issues that the municipality and
central government can attend to improve service delivery. Facilitated by a third party.
Feedback
Feedback Feedback
Inputs
2. DIVISION
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5.4 Methodology used for developing monitoring indicators and participatory monitoring framework.
i. Following up and documenting the budget cycle experience of Uganda and Entebbe Municipality during the preparation of the 2009/10 budget to ascertain the quality and quantity of participatory budgeting.
ii. Attending budget workshops (Regional Workshops and the National Budget Conference) to appreciate a full range of issues pertaining to participation in the budget process in Uganda in general and Entebbe in particular.
iii. Documenting the participatory budgeting experience of Entebbe Municipality, as a learning case so as to appreciate the strong points, the challenges and how improvements can be made to contribute to better service delivery.
iv. Use of literature on PB experiences and community based monitoring concepts.
v. Use the Entebbe experience in a way that allows other participating peers to the study in Tanzania and Senegal (and others in Sub-Saharan Africa) to reflect and review their country experiences to determine the applicability of the monitoring indicators being developed.
vi. Hold meeting with technical team of the Municipality and the two Divisions.
vii. Present inception and the draft report to the technical staff of Entebbe for their comments.
viii. Conduct one to one interview with the heads of departments with staff of Entebbe Municipality.
ix. Review of sector indicators for conditional grants.
5.5 Monitoring Indicators In developing indicators to monitor the PB process, consideration was given to the need to monitor
participation during the different stages of the budget process, and track progress in the delivery of
services. Hence, two types of indicators are required. The first set of indicators measure the
participation in the budget process (Process Indicators). The second type of indicators track progress
made in the delivery of services (Performance Indicators). Another set of indicators related to
process are the Context Indicators, which address issues arising from the overall budget and PB
process and are likely to affect the success of participatory budgeting process10. These indicators
focus on the context within which the budget and PB is being implemented.
10 Ministry of Finance is keen on these type of indicators
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TABLE 4: THREE SETS OF MONITORING INDICATORS FOR PB AND BUDGET PROCESS
SET ONE: Context Indicators (Central level context);
1. Legal Framework and other institutional issues related to budget cycle and PB.
2. Information on resources availability for budget preparation and PB at local government level.
3. Resolution of Issues arising from the Platform by central government and highest level of local government).
SET TWO: Process Indicators (Monitoring Indicators for participation in budget process)
1. Indicators to analyse participation: Numbers, categories and quality (profession, education levels etc) of participants by platform. Record profiles of participants at each platform.
2. Indicators to track and analyse the content/scope of what participants discuss in the platforms: Policies, Revenues, Expenditure, Needs and Priorities, Monitoring and Evaluation. Use a checklist in each platform and collate for all platforms.
SET THREE: PERFORMANCE INDICATORS.
These indicators vary from country to country depending on whether they have been developed by the sectors (education, health, water, roads etc) and used at the central level as well as local governments. In Uganda each sector ministry has developed Performance Indicators for application by stakeholders as in Annex 3.
In the study and following the discussion with Entebbe, the strong feeling was that these Performance indicators be used for monitoring service delivery as it gives the local governments opportunity to assess how they are performing in relation to these indicators. However, there are other indicators (Qualitative Indicators) of local concern which should be included to give a correct assessment of the services provided. These will be generated by the platforms. Each platform may use the following indicators: Performance Indicators from the sector ministries and additional qualitative indicators developed by service providers and consumers to assess service delivery.
5.5.1 Context Indicators
5.5.1.1 Legal provisions supporting PB (Legal Indicator). A legal framework is a healthy setting for the development and sustainability of PB especially in view of the fact that in some countries civil liberties are curtailed. In view of the importance of PB and the legal implications arising from the decisions that arise from its application, it should be supported by legal provisions. Legal provisions also protect and guarantee space for participation as well as access to information for the proper functioning of the platforms.
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The indicator will assess the legal framework for the PB, and from year to year, monitor and evaluate it for any changes and modifications that may occur in the framework. It will also prompt countries and local governments where the legal framework does not yet exist to examine possibilities to introduce it and thus move the PB agenda forward.
Table 5: Legal Indicator in the Uganda and Entebbe case.
Level of Government Legal Instrument Status
Central government Constitution; Budget Act, 2001 Partially practised
Local Governments Local Government Act Partially practised.
Local and central government Access to Information Act Partially practised
5.5.1.2 The Resource Assurance Indicator. From the catalogue of operational issues raised by local governments during regional workshops, it became evident that even a well intentioned participatory budgeting can severely be hampered by operational issues such as delays in release of funds and organising budget activities, persistent low revenues, unwarranted budget cuts etc. if they remain unresolved. In fact, PB can be reduced to making investment proposals for which there are no assured resources to plan and implement, and from experience this is counter-productive to promoting PB. This observation underscores the need for Resource Assurance Indicator at some point of the budget cycle (4-5 months before budget time).
Assurance of resources will facilitate PB, irrespective of sources of funding, to start with some knowledge of resources available. In the case of Uganda, it involves a record of date and month when local governments received Indicative Planning Figures (IPFS) by sector or other categorisation as may apply in other countries. Often the local governments start the preparatory stage of PB with no clear idea as to what resources are available and thus engage citizens in a process of identifying needs and priorities that end up as a wish list from year to year. In time, PB is reduced to an ordinary event. The earlier the local governments receive communication on resources, the more time local governments have to plan and organise PB activities. In a simple way, an indicator would show when indicative resources by sector and type of resources were communicated to local governments. It could also be an aggregate figure. Table 6 below illustrates the presentation of the indicator.
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Table 6: Resource Assurance Indicator (Applicable in Uganda and Entebbe but can be one single figure and different sector categorisation elsewhere).
DATES Sector
Expected Date Actual date Delayed period (Days/Months)
Health
Production
Education
Works and technical services
Statutory Bodies
Unconditional Grant
Equalization grant
5.5.1.3 Indicator measuring how action points agreed at Joint Platforms are being resolved (Follow-up mechanism/Tracking mechanism) by consumers, service providers, local government and central government.
In a typical PB processes as observed in Entebbe, many budget and PB issues arise and are often left pending or assigned to different stakeholders and still remain unresolved. The follow-up mechanism for issues discussed and agreed at different fora is weak and undermines participation in PB and the budget process. The Monitoring Indicator proposed is the Resolution Indicators
This indicator will be used to track and review progress made in resolving action points arising from the Joint Action Plan by the stakeholders responsible. Reviewing the performance of this indicator would be part of the agenda for the preparatory stage and would go a long way in instilling confidence among all about participation that there is an effective follow-up system for the Joint Action Plan. Action point is deemed resolved by participants agreeing collectively that the concern has been addressed. This implies that past Action Plan will be reviewed at the start of a Joint Platform. The matrix Table 7 illustrates the presentation of this indicator.
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Table 7: Resolution Indicator by different Stakeholders.
Central Government
Entebbe Municipal Division
Division
Service Provider
Consumers
Total Actions assigned to stakeholder.
10 20 15 12 8
Total Successful Actions resolved by stakeholder.
4 15 9 8 8
% Resolved 40% 75% 60% 67% 100%
5.5.2 Process Indicators. These monitoring indicators are used to track participation during platforms and other budgetary activities at the local government level.
5.5.2.1 The Indicators to analyse participation. As noted earlier, PB is a process with definite stages of activities. Entebbe carries out its PB within the context national budget and local government cycle. Its PB activities support the budget process through participation of citizens within its geographical areas (2 divisions, 4 wards and 24 villages). Participation of all including those who are traditionally excluded is important for evolution and sustainability of the PB process. Accordingly, an indicator assessing how PB is promoting participation is proposed in terms of numbers of citizens involved and the different categories of participants is illustrated in Table 8.
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Table 8: Hypothetical data for participation indicators, by number and categories of participants used.
*A Municipality/Local will need to establish accurately the profile of participants.
5.5.2.2 The Indicators to analyse content/theme of PB Related to participation is the issue of content/theme of what is discussed especially during preparatory and formulation stages. PB is well known for citizen engagement in budget formulation, implementation and execution of public works, in order to contribute to poverty reduction by redistributing available resources away from powerful groups to the poor and marginalised. The transfers from the central government earmarked for specific activities dominate local government budgets. Proposals and studies on prospects to enhance local revenue exist but are not being tried and often not a part of the agenda in public meetings of local governments.
To keep the participation focused in a platform, it is good practice to define the scope of discussions. Based on the experience of Entebbe Municipality, four areas of focus are proposed here but these could be increased and/or changed depending on the issues at hand for a local government. In case of Entebbe, the discussions are around the following areas; Policy, Revenues and Taxes, Expenditures, Monitoring and Evaluation. The analysis of the frequencies would assist in evaluating discussions by platform across the local government. For instance, platform 2 (consumers) in division 2 did not discuss revenue but handled expenditure. In division 1, platform 2 discussed revenue and not expenditure. Facilitators in their reports should obtain reasons for such variations.
Policy affects service delivery in many ways and may need to be reviewed from time to time by local governments who implement policies. Revenues are critical in provision of services and many local governments are facing serious revenue related problems which have not been given adequate
Indicators on Participation Joint Platform
Service Provider Platform
Consumer Platform
Budget Activity
1. Number participating 2009 13 15 17 18 2008 8 12 10 11 2007 5 10 10 10 2. Categories participating * 2009 2008 2007
Public Organizations 30 21 16
Private Business organizations 18 12 11
Civic organizations 14 8 9
Political Leaders 25 14 13
Informal Organizations 4 7 5
Others 2 2 3 Total 93 64 57
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attention. Expenditure of public funds are source of tension within government and a major concern of the tax payers, who feel that they are not getting value for money. Monitoring and Evaluation are processes that give an insight into what is taking place in the areas of policy, revenue, expenditure and service delivery. These areas are at the heart of service delivery. However, little attention is given to these areas by the local governments and by citizens in their deliberations. With the proposed platforms, these should receive adequate attention. Tracking the deliberations of the platforms in will reveal the key issues in the service delivery chain. It will also restrain the platforms from degenerating into talk shows. It will prepare the bureaucrats to communicate with the citizens on these key areas. Table 9 illustrates how deliberations of the platforms can be recorded. For each theme discussed, the facilitators will: identify the key issue, how it is affecting service delivery, what appropriate actions are recommended to address the issue, who will is responsible and timeframe to address it.
Table 9: Illustration of presentation of the indicator on content/theme of PB discussion for Entebbe Municipality.
ENTEBBE MUNICIPLALITY
DIVISION 1 DIVISION 2
Themes
Platform 1 Platform 2 Platform 3 Platform 1 Platform 2 Platform 3
Policy by Sector
Revenues
Expenditures
Monitoring and Evaluation
Needs and Priorities
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Table 10: Illustration of how local revenue generation can be analysed and presented for platform use.
Current Revenue Sources for Entebbe *
2007
Planned
2007
Actual Collected
2007
Difference
200
Planned
2009
Actual
2009
Difference
Taxes on goods and services
Administration Fees&Licences
Rents and rates
Taxes on goods and services
Administration fees and licences
New taxes
Service tax
Hotel tax
* These revenue sources can further be broken down by individual taxes within the broad categories and by the administrative levels (sub-national entities) of the local government.
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5.6 The Service Delivery Indicators (Performance Indicators). Another set of indicators for monitoring service delivery are the Service delivery/Performance Indicators. These indicators refer to those which are part of the contract between every local government and the central government for each service sector; education, primary health care, water and sanitation, roads. They are the indicators which local government sign for upon receiving sector conditional grants from central government. These indicators are used to measure sector performance. They are indicators in the Poverty Eradication Action Plan, a general policy framework for public expenditure management and derived from the Millennium Development Goals (MDGs), which many countries in Sub-Saharan Africa are committed to. Bilateral and Multilateral organizations use them. These indicators measure access, equity, gender parity and efficiency etc. They vary from sector to sector but uniform throughout local governments. Table 11 illustrates how performance Indicators may be presented for all stakeholders to benefit and engage in a platform discussion. The Municipal, Division and individual school can relate its performance to the national figure.
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Table 11: Performance Indicators for Education Sector in Uganda.
Primary Education sector Indicators
National Level
District* Municipality Division School
EFFICIENCY INDICATORS
Pupil: Classroom Ratio
79 57
Pupil: Book Ratio
1.56
Pupil: Teacher Ratio 54 41 ACCESS INDICATORS Gross Enrolment Ratio
113.1 71.5%
Net Enrolment Ratio
93.3 1
Gross Intake Ratio
128.5 54.1
Net Intake Ratio
57.4 24.5
Boys: Girls Ratio in total enrolment
.5 .48
% of pupils reaching defined competency in literacy in English
45.5 (P3) 49.6 (P6)
% of pupils reaching defined competency in numeracy
44.8 (P3) 41.4 (P6)
Other indicators generated during participation and of local concern.**
Sanitation and Hygiene in schools
Transistion rates from one class to another
Repitition rate Inspection of schools Absenteeism of teachers and students
Source: Ministry of Education Statistical Abstracts 2007 (actual figures from the abstract). *Wakiso District in which Entebbe Municipality is located. ** Other Qualitative indicators captured during platforms can be added to this list.
To be filled by service providers and the staff at the Division and the Municipality where applicable and data exists. Information on performance indicators.
6.0 Baseline Data for measuring changes in service delivery. As the platforms get established, issues affecting service delivery may be resolved in varying degrees and changes in the delivery of services are likely to be realised over the years. To measure such changes, it is necessary to establish baseline indicators. At the moment, some of the baseline data for the indicators are available as shown in Table 11 especially for the
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key sectors education, health, water and sanitation and roads, which at the moment are the areas of focus and public spending within the Poverty Eradication Action Plan. These secondary sources can be used to establish baseline figures for the Performance Indicators.
Related to baseline figures is the need to generate information citizen perception about the various aspects of the services they are provided. Surveys are ideal instruments but cost considerations may not allow local to carry out such surveys. To resolve this issue, it would be appropriate during consumer platforms to use sometime to engage participants on how they rate the various aspects of services they are provided using participatory methodologies. Information obtained can be used to establish baseline data but also measure the changes over time that participatory budgeting is impacting on the service delivery.
7.0 Building Capacity for Participation. PB is depends on participation of different stakeholders. There are many challenges to getting
stakeholders to participate. A number of initiatives would be required to spur citizen
participation in the service delivery chain. These would include: simplify and popularise
mechanisms and tools for civic engagement; increased citizen access to simplified
information on budgeting and service delivery to promote and facilitate monitoring of service
delivery, creating a strong partnership between civil society organizations and government in
monitoring service delivery trough engagement, creation and support of open platforms
throughout the local governments to promote citizen participation, promote community-based
development approaches, and build capacity in the government, civil society, Parliament
and the media to promote good service delivery.
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8.0 PROPOSED TOOLKIT FOR ESTABLISHING PARTICIPATORY MONITORING IN A LOCAL GOVERNMENT
Step Example
1. Establish the administrative structure of a local government identifying those structures that have corporate status.
Entebbe Municipality has 2 Divisions* with corporate status.
2. Profile the delivery system of various services within the administrative structure.
Entebbe Municipality delivers services directly to consumers but also through the two divisions
Entebbe Municipal has a definite budget calendar as a local government ( Table 2).
Some proposals to enhance participation contained in the last column of Table 2.
The period of July to September has been identified for platform activities as this would coincide time when data for previous financial year will be available but before the preparation of the following budget starts.
3. Establish the stages of the budget of a local government, identifying actual participation of stakeholders during each stage, and opportunities for additional participation by a variety of stakeholders. Identify the most suitable time for participation, which allows the outputs of the participation to be fed into the budget process.
Timing allows outputs of the platform can be fed into the budget process for the local government which start around September of each year.
4.Establish platform based on the corporate sub-national levels of a local government
The two divisions of Entebbe are corporate entities. The three platforms are established in each of the two divisions so that these influence budgeting not only at the sub-national government level but also at the local government level.
5. Identify all the service providers, NGOs, consumer Service providers for health and education exist. User committees for health and
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organizations, user committees to determine how participants can be organised and mobilised to participate in the three platforms.
education exist. There are some NGOs and CBOs operating in Entebbe in different sectors which have participated in PB process. Citizen by wards can be mobilised to participate in the platforms.
6. Identify Performance indicators in use by different sectors There are sector performance indicators as in Annex 3.
7. Identify Context Indicators based on issues that are likely or affect PB and budgeting.
Context Indicators proposed for Entebbe are based on the Ugandan experience with budgeting and PB.
8. Identify Process Indicators These are proposed for Entebbe and may be adopted by a local government with modifications on the profile of participants in a local government.
9. Establish baseline data for each service to facilitate measuring progress in service delivery overtime as participation in platforms proceeds.
Table 11 presents baseline data for some performance indictors in education in Uganda.
10. Identify capacity building initiatives to promote participation Proposal given for Entebbe and local governments in Uganda. These may be adopted and modified by a local government
*A Division can mobilise its own revenue, prepare and execute its own budget as well as implementing other activities of the Council.
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Annex 1: The Local Government System and the Structure of Local Councils The system of Local Government in Uganda is based on the District as a Unit under which ere are lower Local Governments and Administrative Unit Councils. Elected Local Government Councils which are accountable to the people are made up of persons directly elected to represent electoral areas, persons with disabilities, the youth and women councillors forming one third of the council. The Local Government Council is the highest political authority in its area of jurisdiction. The councils are corporate bodies having both legislative and executive powers. They have powers to make local laws and enforce implementation. On the other hand Administrative Unit Councils serve as political units to advise on planning and implementation of services. They assist in the resolution of disputes, monitor the delivery of services and assist in the maintenance of law, order and security.
The Local Governments in a District rural area are:
The District The Sub-county
The Administrative Units in the rural areas are:
County Parish Village
The Local Governments in a city are:
The City Council The City Division Council
The Administrative Units in the urban areas are:
Parish or Ward Village
The Local Governments in a Municipality are (Entebbe Municipality falls under this category):
The Municipal Council The Municipal Division Council
The Town Council is also Local Government
The Local Government Act of 1997 gives effect to the devolution of functions, powers, and services to all levels of Local Government to enhance good governance and democratic participation in and control of decision-making by the people. The law also provides revenue and administrative set up of Local Governments as well as election of Local Councils.
The powers which are assigned to the Local Governments include powers of making local policy and regulating the delivery of services; formulation of development plans based on locally determined priorities; receive, raise, manage and allocate revenue through approval and execution of own budgets; alter or create new boundaries; appoint statutory commissions, boards and committees for personnel, land, procurement and accountability; as well as establish or abolish offices in Public Service of a District or Urban Council.
The central Government is responsible for national affairs and services; formulation of national policies and national standards and monitoring the implementation of national polices and services to ensure compliance with standards and regulations. Line ministries carry out technical supervision, technical advice, mentoring of Local Governments and liaison with international agencies. ( Source: Ministry of Local Government ).
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ANNEX 2 : Invitations to the Regional Local Government Budget Framework Papers FY 2009/10
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ANNEX 3: Sector Performance Indicators. SECTOR INDICATOR
Roads Length of road in number of kilometres rehabilitated compared with planned.
Length of road network in numbers of kilometres maintained in a year as compared to planned, including the timing and regularity of the maintenance Condition of the roads rehabilitated or maintained evaluated as follows: Good condition: road surface can sustain a comfortable average ordinary car driving at a speed of 50 kph. Fair condition: road surface can sustain a comfortable average ordinary car driving at a speed of 30-50 kph . Poor condition: road surface cannot sustain an ordinary car driving in excess of 30kph. Visual assessment of road presentation (ie clean drains, clean culvert outfalls, no bush in the road verges, no potholes or gullies on the carriageways Presence of adequate compacted gravel on the road surface, no broken culverts, culvert headwalls or bridges) Percentage of the network in a fair to good condition compared with the total length of the network within the local government area
Health Percentage of disbursed PHC conditional grants that are expended.
Proportion of health facilities complete Health Management Information
System (HMIS) monthly returns to MoH on time.
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Percentage of the population residing within 5kms of a health facility (public, or private not for profit) providing the National Minimum Health Care Package (NMHCP) by district.
Percentage of facilities without stockouts of Cloroquine, measles vaccine, ORS and cotrimoxazole. Percentage of children < 1yr receiving 3 doses of DPT according to schedule by district. Proportion of approved posts that are filled by trained health personnel Contraceptive Prevalence Rate (CPR). Proportion of surveyed population expressing satisfaction with the health services. Percentage deliveries taking place in a health facility (GOU and NGO). Deliveries supervised by a Health Worker
Total Government and NGO OPD utilisation per person by level and age group.
Gender, Labour and Social Development
Proportion of Tuberculosis cases notified compared to expected. % of fever/uncomplicated malaria cases (all ages) correctly managed at health Facilities Adult literacy rate by socio-economic group
Employment rate of the poor and vulnerable
Proportion of women in strategic decision making positions at all levels within local government.
Percentage of women in gainful employment
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Percentage of local government budgets allocated to social development activities Percentage of women and men forming and participating in development groups. Number of industrial disputes reported and settled. Percentage of the population accessing essential services by socio-economic group. Percentage of workers and employers accessing labour services. Percentage of population aware of child nutrition
Level of stunting in under-three-year olds. Level of awareness of rights among the population. Level of utilization and maintenance of sanitation facilities and safe water sources
Enrolment and drop out rates for the disadvantaged children.
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REFERENCES 1. Participatory Budgeting in Africa, A Training Companion (With case studies from eastern
and southern Africa), Volume II, UN-Habitat and MDP.
2. Participatory Budgeting in Africa, A Training Companion (With case studies from eastern and southern Africa), Volume I, UN-Habitat and MDP.
3. Evaluation Capacity Development, World Bank Operations Evaluation Department, ECD Working Paper series- No.8: January 2001, Arild Hauge
4. The Review of Private partnership in Local Revenue Mobilisation, The Local Government Finance Commission, Dec 2006, Republic of Uganda
5. Incentive System Framework for Local Revenue Collection and Mobilisation, The Local Government Finance Commission, October, 2005, Republic of Uganda.
6. Guide for Prioritizing Local Revenue Enhancement Best Practices, How to select Best Practices for Local Government, Nov 2005. The Local Government Finance Commission, Dec 2006, Republic of Uganda.
7. Brazil, Towards a More Inclusive and Effective Participatory Budget in Porto Alegre, Main Report. January 2008, World Bank.
8. Towards a more Inclusive and Effective Participatory Budget in Porto Alegre, World Bank, February 2008.
9. Shah, Anwar: Participatory Budgeting, World Bank, 2007, http://siteresources.worldbank.org/PSGLP/Resources/ParticipatoryBudgeting.pdf
10. Power to the People: Evidence from Randomised Field Experiment of a Community- Based Monitoring Project in Uganda, July 2007, Martina Bjorkman and Jacob Svensson.
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