Social Budgeting - The African Child Policy Forum

Working with Governments: The

Tools and Role of Budget

Observatories…in Kenya

Isa Achoba, Chief, Strategic Planning Monitoring and Evaluation,

UNICEF Kenya iachoba@unicef.org

and

Godfrey Ndenge, Social Policy Advisor,

Ministry of Finance, Kenya gndenge@treasury.go.ke

Content of Presentation

Background to Social Budgeting in

Kenya.

History

Context

Progress to date.

Tools for enhancing Social Budgeting

Social Intelligence Reporting

Observatories in Social Budgeting.

Lessons to share and recommendations

The background to Social Budgeting/1

For many years in Kenya - budgeting was more preoccupied with Macroeconomic issues:

Generating higher growth (GDP), controlling inflation, exchange/foreign reserves, debt etc

Limited emphasis was given to human development

(poverty, health and education)

The need for a balance became imperative: to ensure that both macroeconomic targets and human development targets are coherently achieved

The background to Social Budgeting/2

Initial ideas- Trickle down theory failed

1.The Government of Kenya-UNICEF programme in

2005, conceptualized the

social budgeting initiative;

2.It is being spearheaded by the Ministry of State for

Planning, National Development and Vision 2030;In collaboration with:

1.

Ministry of Finance;

2.

SIDA (during the pilot phase)

3.The programme set up social budgeting observatories at the national level and initially in 3 districts (Isiolo,

Kwale and Turkana); These observatories;

1. Produced budgeting

2.

reports and;

Carried out an assessment of institutional and policy challenges facing programmes

.

Dual Budgeting Framework

Macroeconomic framework

Growth rate, inflation, fiscal deficit, public debt, taxation

Resource envelope

Harmonization

Process and

Negotiations

Human

Development

& rights framework

Quantitative targets to reduce child deprivation, namely in health, nutrition, housing, information, water, education, sanitation and protection.

Mandated expenditures

Infrastructure Security

HD/HR provisions

The Concept of Social Budgeting

social sectors

focusing on children and women

participatory approach

to budget preparation and monitoring

Women and marginalized populations

Budgetary decisions, allocations and utilization

The Concept of Social Budgeting

Priorities amidst competing needs

– best identified by the people

Development activities are inter-twined

– Human rights are holistic social sectors

focusing on children and women

Broader Participation ensures ‘equity',

'efficiency’ and

‘accountability’ in social outcomes

Policy and institutional hurdles - most visible nearer the ground

Ownership and sustainability of development participatory approach

to budget preparation and monitoring

Women and marginalized populations

Budgetary decisions, allocations and utilization

The Concept of Social Budgeting

Priorities amidst competing needs

– best identified by the people

Development activities are inter-twined

– Human rights are holistic social sectors

focusing on children and women

Broader Participation ensures ‘equity',

'efficiency’ and

‘accountability’ in social outcomes

Policy and institutional hurdles - most visible nearer the ground

Ownership and sustainability of development participatory approach

to budget preparation and monitoring

Women and marginalized populations

Budgetary decisions, allocations and utilization

Top Down vs

Bottom up

Balance

Addresses policy

Barriers

Evidence for Policy

Adjustment

Human

Rights

Resources means more than funds

Transparent

Decision

Children

Women

Media

Civil Society

Traditional Budgeting

– Institutional Structures

Traditional structures

Ministry of Finance:

Fiscal and monetary division

Budget office

Ministry of Planning

National Development and Vision 2030:

Sector Ministries

And Parastatals

District/County sector agencies

Social Budgeting

– Institutional Structures

Traditional structures

Social Budgeting

Structures

Ministry of Finance:

Fiscal and monetary division

Social Policy advisor

Budget office

Ministry of Planning

National Development and Vision 2030:

Sector Ministries

And Parastatals

National

Budgeting observatories

Sector Budget

Observatories

District/County sector agencies

District/County

Budgeting observatories

Social Budgeting Gains….

Social Policy Adviso r

Treasury embedded in the

Evidence-led influence on Budget for

Children;

Convening hub for dialogue with sectors;

Coordination of social policy brief into budgetary decisions;

Monitoring of budget flows and utilization

Social Budgeting Guidelines

Social Intelligence Reporting;

Observatories in Social Budgeting.

Progress and Opportunities

Ministry/Sector

Education

Education

Public health and

Sanitation

Pro-Child and/or Women friendly instrument

Free Primary Education

Early Childhood Development and child delivery services

Cash Transfer for Orphans and

Government Financial Year

(Millions of Kenya Shillings )

2008/9 2009/10 2010/11

6678 7546 9504

198 248

Nutrition

Output Based Approach (OBA) -

Voucher Scheme for Free maternal

147 163

Public health and

Sanitation

Gender, Children and

0 10

Social Development

State for Planning

National Development and Vision 2030

Vulnerable Children (OVC-CT) 579 770

Population Family Planning 110 120

State for Planning

National Development Constituency Development Fund and Vision 2030 (CDF) 10100

Source: Kenya Ministry of Finance, Nairobi

CDF is backed by law and applied in each of 210 constituencies to health, education, water sanitation and hygiene and others

On the average, 1 US$ is equivalent to 75 Kshs (2009), 80 Kshs (2010)

12300

446

276

9

817

234

14300

Are Budgets working for children and women?

Increasing Social Sector

Development Budgets

Social Policy Briefs

& Advocacy

No ‘real time

‘assurances’ of participation and ‘efficiency’

Are Budgets working for Children

And Women at facilities

And service outlets?

Social Inteliegence Reporting (SIR) in the context of human rights and development

An accountability tool prescribed in the Government of

Kenya Social Budgeting (SB) Guidelines to:

• Engage ‘Claim Holders’ in budget and social policy;

• Gauge the performance of key social policies for the realization of the rights of children and women in an environment of ‘equity’ , ‘participation’,

‘transparency’ and public ‘accountability’.

As originally coined by E.L. Thorndike (1920), the term Social Intelligence referred the person's ability to understand and manage other people, and to engage in adaptive social interactions

According to Cantor and Kihlstrom (1987), social intelligence is specifically geared to solving the problems of social life

Social Inteliegence Reporting (SIR) in the context of human rights and development

Social Intelligence Report summarizes and analyses data, information and evidence collected from;

1. Social networks,

2. Service points;

3. Community interactions, and;

Using the knowledge to inform management/actors and for more efficient and effective strategies and policies

….in the social sector

Why Social Intelligence Reporting (SIR)?

The Social Budgeting Guidelines prescribe SIRs as basis for convening Social Budgeting Observatories at

– local, sector and national levels

Citizen participation in realizing better social, political and economic outcomes, as contained in Kenya’s Vision 2030 and the first Medium

Term Plan

Social budgeting intelligence reports are vital in tracking how budgets are working for children and women at facility/community and devolved levels as well as stimulate actions and accountability by ‘duty bearers’

Eye on the Budget…

UNICEF Kenya invests less than 100mUS$ per annum vs

Government Budget of 11 billion US$

Keeping ‘Eyes, Ears and Nose’ on the budget is key to realization of the rights of the most deprived

Engagement and Awareness of Budget benefits

(or failures) for/by ‘Claim Holders’ engenders actions and accountability by ‘duty bearers’

Are Budgets working for children and women?

Increasing Social Sector

Development Budgets

Social Policy Briefs

SIRs generated, tabled and utilized by SB

Observatories...’ accountability tool’ for social equity

Are Budgets working for Children

And Women at facilities

And service outlets?

How is SIR Generated and Used?

Better

Social

Services

Policies

Better

Development

Results

SIRs in Practice… @ local levels

District or County

Development Office as Secretariat for

SIR

Participation in mutual

Accountability

District and/or County

Development (Executive) Committee

As Local Observatory

Social Intelligence

Reporting… a) Budget b) Policies

Education sector funds and Services

Health and

Nutrition services and funds

Social

Protection

Services and funds

Are Budgets

Working for

Children and

Women?

Water,

Sanitation and Hygiene services and funds

What ?

Who?

Why?

Where?

When?

Devolved

Funds

at

least 10 of such funds exist today

Follow up on

SIR key findings and recommendat ions

Hold sector offices and officials accountable

The Kenya Social Intelligence Reporting Tool and template

Education Sector

-

Facility Level Information

FE1: Facility ID ................................... FE2: Name .............................................

FE3: Urban........ (1) Or Rural........ (2)

FE4:

Is it Public (1).... or Private (2).... or

Other (3)....? Specify ------------------

2008/2009 2009/ 2010

Notes

/Remarks

FE5: Amount of Fund received (Ksh)

Kenya Kenya shillings shilling

FE5a:

ECD

Primary School Information

FE6a:

School Infrastructure Improvement

FE6b:

Most Vulnerable Children (MVC)

FE6c: Free Primary School

FE6ci:

School instructional materials

FE6cii:

General Purpose Account

FE6ciii:

Others

FE7: Secondary schools information

FE7a:

School instructional materials

FE7b:

General Purpose Account

FE7c:

Others

The Kenya Social Intelligence Reporting Tool and template

FE8: Enrolment figure by class and sex

FE8a:

One (1)

FE8b:

Two (2)

FE8c:

Three (3)

FE8: Enrolment figure by class and sex

FE8d:

Four (4)

FE8e:

Five (5)

FE8f:

Six (6)

FE8g:

Seven (7)

FE8h:

Eight (8)

FE8i:

KCPE Mean Score

Male Female Male Female

Notes

/Comments

Male Female Male Female

The Kenya Social Intelligence Reporting Tool and template

Male Female Male Female Comments

FE9: Facilities in Centres and

Schools

FE9a:

Number of toilets by gender

FE9b:

Number of water points

FE10:

Number of child pregnancy cases

FE11:

Notes of Parents Teachers

Association (PTA) minutes and usage of funds

FE12: School feeding Programme

Information

FE12a:

Is there a school feeding programme (Yes/No)

FE12b:

If Yes, Is it provided freely or charged?

FE12c:

If charged, at what cost?

Copies to:

The Facility Head, District, District Sectoral Heads, Sectoral Planning Directorate, Sectoral

Budgeting Observatory, National budgeting Observatory, Social Policy Adviser & UNICEF Kenya

Field Notes from Social Intelligence Reporting trials….

The SIRs field diagnostics have so far shown that …

1.

Vast ‘real time evidence can stimulate action… o

In a district, 21 children are reported pregnant in a primary school alone this year; o o o

Anti Malaria drugs are lacking , sometimes for months;

No toilet for ECD pupils in primary schools;

A former Head teacher & past PTA Chairman in a School could not account for Ksh

130, 000 (from CDF +MVC fund);…

CT-

OVC is keeping children in schools;…

2.

Obstacles on the path of budget removed…

 e.g. the use Constituency Development Funds for spring water development;

In a Primary school, 750 pupils were on roll call, but only half was captured in the Education sector database…

Social Intelligence Reporting and Human

Rights

Community

Claim Holder

Participation in mutual

Accountability

Entrenching the culture of accountability and productive engagement

District or

County

Fulfilling obligations ;

Learning for policy feedback

Taking the lead in

‘devolved governance’

Sector

&

National

Gauging impact of budgets and policies for children and women

Access to ‘real time’ information

Fast track to social equity

Role of Social Budgeting Observatories

Social Budget Observatories are useful if ‘facts and figures’ on the ‘budget at work’ is available;

The Social Intelligence Reports (SIR) ….’eye, ear and nose’ on budget working for children and women;

The social Budgeting observatories meet to;

Deliberate on the ‘real time’ findings from SIRs;

Take and/or ensure that remedial actions do address challenges are dealt with;

Hold duty bearers accountable;

Foster citizen participation;

Contribute to policy performance review, and;

Gather evidence for the next budget cycle.

What ‘s Next …in social budgeting in Kenya

1.

Revise the Social Budgeting Guidelines

– for use at county levels and with the additional devolution of political, administrative and fiscal powers and accountability in the new constitution;

2.

At least 23 districts (1 per county) assessed and trained to apply

SIR as tool for Social Budgeting; By March 2011;

At least 23 SIRs generated/analyzed;

Utilized for policy advocacy and;

To address real time challenges.

3.

Real time evidence available on the benefit of Government of

Kenya investments in social sectors of health, WASH, Education, protection etc

4.

By 2011, each of the 47 counties assisted to have at least one

Social Budgeting learning centre that applies the SIR routinely as part of their ‘SB’ practice of accountability.

Lessons and Recommendations…1

1.

Work towards sustained national capacity and integration of Social Budgeting into national policy, planning, budgeting and public accountability framework; a)

Assist Government to develop and disseminate a national Social Budgeting Guideline; it empowers the citizens and CSO to demand engagement with the budgeting process; b)

Support national and local capacity for implementing the budgeting guidelines; especially use of Social

Intelligence Reporting;

2.

Sector-specific Budgeting Observatories are vital to ownership and accountability for effective and efficient use and reporting (accountability) of the increased resources gained through social budgeting;

Lessons and Recommendations…2

3.

Gather evidence for increasing treasury allocations to pro-child and women friendly policies but also assemble facts on how budgets are working for children and women; a)

Consider the adoption and use of Social Intelligence

Reporting; b)

Support Government to publish simplified ‘public versions’ of the budget; c)

Facilitate CSO, public dialogue and engagement with (a) and (b);

4.

Donors and development partners to increase resources (funding, technical, knowledge sharing via south-south cooperation etc) to social budgeting