ELECTED MEMBERS BRIEFING NOTE PARTICIPATORY BUDGETING COUNCIL OF GOVERNORS ELEC TED MEMBERS BRIEFING NOTE About this briefing note The Kenya Accountable Devolution Program (KADP) works with government both at national and county level to address key capacity gaps to ensure devolution responds to citizen needs. KADP has developed this County leader’s briefing note on Participatory Budgeting (PB) to support leaders to understand PB, why it is important, its pros and cons, as well as highlight a few successful case studies. Ultimately, this briefing note will support leaders as they fulfil their constitutional and legal requirement of involving citizens in decision making on policies, plans, budgets and monitoring of service delivery. What is participatory spending of public money. Studies have shown budgeting? that PB leads to increased pro-poor spending in health services, specifically reducing infant PB directly involves local citizens in making mortality rates. decisions on spending priorities for a defined public budget. PB involves several stages Why Use Participatory which ensure meaningful participation. The Budgeting? stages include; diagnosis, deliberation, collective decision-making sometimes via a Article 174 of Kenya’s Constitution vote; successful projects are then executed, states that the objective of the devolved and monitored. PB is viewed as a meaningful government is: and in-depth way of involving citizens in (a) to promote democratic and accountable decision-making compared to traditional exercise of power; (c) to give powers of self- consultative processes. governance to the people and enhance the PB is internationally recognized for its role in participation of the people in the exercise improving governance in a fair, effective and of the powers of the State and in making equitable manner. PB has been implemented decisions affecting them; (d) To recognize the in over 3,000 large and small, publicly right of communities to manage their own governed authorities. PB empowers citizens, affairs and to further their development” builds their trust in democracy and improves 2 PA R T I C I PAT O R Y B U D G E T I N G Further; the Constitution states in article 4. Technical analysis prior to Wananchi’s 196 (1) that a county assembly shall— final decisions, verifying project feasibility, and efficacy. (a) conduct its business in an open manner, and hold its sittings and those of its committees, By tying selected projects to a specific in public; and (b) facilitate public participation percentage of the development budget and involvement in the legislative and other (approximately 30%), PB helps manage business of the assembly and its committees. citizen expectations and enhances the overall credibility of the budget process. PB fosters (Kenya’s Constitution 2010) citizen understanding of the budget limitations and budgeting exercise, ultimately taking the The legal framework on devolution mandates pressure off the County government. PB helps Counties to allow reasonable access to to efficiently deliver community development, citizens, to the process of formulating as service delivery programs are based on and implementing policies, laws including Wananchi’s needs and priorities. budgets, projects, and development proposals. This should be done by facilitating the establishment of structures for citizen Advantages of adopting a PB approach: engagement including ICT based platforms, town hall meetings, budget preparation, 1. Harmonisation of priorities: PB improves validation and citizen forums. PB thus citizens’ understanding of the choices supports the good governance principle, that need to be made when spending public money. When budgets are tight, and the right for all citizens to participate in public debate on the budget can foster decision-making. consensus about what needs to be done. It also increases citizens’ understanding A key challenge for counties has been how to of the complex interactions between engage citizens in a structured and meaningful services, the role of public bodies, and manner while at the same time addressing what communities and families are better numerous proposals from budget meetings. placed to do for themselves. A key advantage of PB is that it provides clear 2. Integrating citizens’ knowledge makes rules for identification; selection, prioritization government more efficient: The input and validation of project proposals. A PB shared by citizens can be used to improve process at its most basic involves: - use of scarce resources. 3. Increasing problem-solving capabilities: 1. Wananchi at the local level (Sub- It is more likely for citizens, politicians and location/village) discussing their county staff to consider the interests of needs and making proposals on how others. It is possible to reduce conflicts a proportion of the budget should be of interest. spent. 4. Greater cost awareness: Discussing 2. Prioritization of the proposals different expenditure options creates through voting or other verifiable and awareness among citizens about budget transparent means. limitations, and the cost of various items. 3. Selected proposals progressing to 5. Mobilising citizen engagement: PB the next stage of decision-making, leads to citizens identifying more ultimately for inclusion into the strongly with their county. As they gain annual county budget. opportunities to shape budgets, citizens 3 ELEC TED MEMBERS BRIEFING NOTE are also more willing to contribute their 10. Increase in tax revenues: Empirical labour and resources such as land for studies undertaken in Brazil, Sweden building of government projects. The and other countries where PB has been result may be greater engagement with implemented, have shown that there the budget process, as well as feelings is a correlation between PB and tax of ownership and empowerment about compliance. Citizens are more willing to county governance. This is crucial for the pay taxes when they perceive that their sustainability of county investments. preferences are considered by public institutions. 6. Reducing political disenchantment and disillusionment with political parties: Citizens preconceptions can be challenged. PB gives politicians an The role of elected opportunity to become familiar with members in PB citizens’ interests, and develop personal The role of elected leaders to provide contacts. Political disenchantment can be leadership and enable those living within a reduced. county, to express their needs, is enhanced 7. Fostering of democracy: Citizens enter through PB. PB complements and supports mutual dialogue with each other and with representative democracy, and any public their county. PB entails a learning process budget setting process needs to be formally on how democratic institutions work and mandated and approved by an accountable about democracy itself. Anyone wishing body. This means the primary role of elected to achieve something must peacefully leaders to set the budget, approve, and hold persuade others, and seek working Government staff to account on behalf of the majorities. Wananchi is largely unchanged. 8. Improved image of and trust in County Elected County leaders and PB Processes: Government: PB creates opportunities i. Make sure that resources to run for promoting the credibility and profile effective PB process are in place. of County Government amongst citizens. Leaders approve resources to be spent PB increases trust between citizens, in carrying out and implementing PB elected representatives and officials who activities. The Governors in counties give them opportunity to make decisions. are the custodians of the county Ultimately it will lead to a vibrant, cohesive resources and the members of the and united community. A county can County Assembly play an important improve its image when creative forms of role in approving the Governor’s team participation attract regional or country- spending proposals. wide attention. ii. Ensure the process is inclusive and 9. PB can play an essential role in local people can participate in all redressing the inequalities that exist stages of the process. County leaders within the society: Evidence suggests are the custodians of community that participatory budgeting leads to interest. In exercising their essential significant shifts in priorities and policies, oversight role, they can pin point areas towards expenditures that directly benefit where inclusion and participation falls the poor. short of what could be achieved. 4 PA R T I C I PAT O R Y B U D G E T I N G iii. Provide clarity towards furthering What does good practice citizens’ understanding of and look like? engagement in the process. Leaders There are many good practices of PB across are trusted by community members the globe, that have been documented and and play a key role in mobilizing and are available online. In Kenya, the World Bank influencing the community to engage through the KADP has been providing training in the planning and budget process. and technical assistance to a few counties to iv. Approve decisions made by implement PB. There are a growing number of community members in the allocation counties participating in the Kenya PB Initiative of funding, through the most and employing participatory budgeting appropriate decision-making body models in their budget preparations. such as county executive committees The support provided to counties is through and assemblies. a two-tier training. The first training targets a v. Provide oversight in the small team of policy makers and implementers implementation of proposed from the budget and planning offices, as well projects, thereby ensuring that the as the office in charge of public administration. executive is held accountable and, The 2nd tier training is for a broader team where appropriate seeing that project of county officials that are involved in management committees are created budget meetings and this also includes to monitor the execution of projects. the Assembly members. Mentoring and documentary support is provided during the vi. Develop laws and legislation that implementation of actual budget meetings. support the implementation of PB By design the training and mentoring seeks processes. to foster a county-owned process with each county carrying out its own unique activities. 5 ELEC TED MEMBERS BRIEFING NOTE Counties must show interest by committing a Makueni County has also taken steps to ensure percentage of their development budget to voices of marginalized groups are heard fund projects directly proposed by citizens. during the budget meetings. Thematic group Though PB is a relatively new way of enhancing sessions are organized for youth, persons with planning and budgeting in Kenya; there are disabilities, persons living with HIV/AIDs, and good practices that have already emerged representatives of orphans and vulnerable from several counties from which lessons can children. PB meetings have also been held be derived. for Urban Planning whose specific needs (development of market and town centres) Below are some of the Kenyan examples: cannot be adequately addressed through the ward development funds. Makueni County Makueni was amongst the first counties to Makueni County has established an adapt technical evaluation of projects before elaborate framework for citizen engagement. the final decisions are made by citizens. Participatory Budget meetings start at the Projects proposed during the sub-ward village level; where problems are discussed forums are assessed by a team of county and project proposals to address them officials, and that assessment involves identified; these community representatives. Findings of project proposals the technical evaluation (viability, location, are subsequently Prior to the financial requirements) are presented during escalated for implementation of the Ward meetings enabling communities to deliberation and successful projects, retain direct say over selected projects. prioritization at the County convenes the village cluster community gatherings, Makueni continues to innovate its PB processes level; sub-ward where the community through improving its mapping techniques, level and the ward select the project by using GIS to inform future identification of level respectively. management committees projects and enhance oversight. The County At each of these that will work with adapted PB principles during the formulation stages, a team of the County, offering of the CIDP 2018-2022. One of the key 11 delegates are community oversight highlights was the presentation of projects selected to present by the Ward Development Committees the community’s representing the citizens. The presentations views at the were made to the governor and MCAs during subsequent meeting. Community members the County People’s Forum, which is the also accompany their representatives. At culmination of the citizen CIDP meetings. every stage prioritization is carried out to Since adoption of PB, Makueni allocated identify projects that progress to the next between 30-37% of the development budget level. The final projects are included in the to PB with a progressive increase each year. budget for approval by the Assembly. Prior to the implementation of the successful projects, the County convenes community gatherings, where the community select the project management committees that will work with the County, offering community oversight. 6 PA R T I C I PAT O R Y B U D G E T I N G Baringo County Other Counties making strides in improving their participation are: Baringo County has a delegates’ framework of representation. Community members from Laikipia County the sub location level discuss and propose projects within their regions. During public Laikipia County, a recent entrant into the KPBI, consultative exercises, a status report of allocates a total of Kshs. 2 million to fund previous projects is distributed and presented one project per sub-location. Community to the public for confirmation and to inform members propose several projects and in their project selections. The County budget cases where there is no consensus, voting officer then shares the resource envelope is carried out to identify the final project for indicating the amount of money approved funding. Upon assessing the various projects by the county assembly. The community then selected at sub-location level; the County retreat to their groups to propose projects. determined that their cost was much higher A long list is generated in order of priority than the originally allocated Kshs. 2 million and a team of seven delegates is elected to and increased the resources accordingly. present and lobby for adoption at the ward West Pokot County level. Deliberate measures are put in place to ensure gender and regional balance among During the consultative process for the elected delegates. Apart from the delegates, formulation of the 2016/17 budget; the other interested parties or members of the County held budget forums at the sub- public are free to participate in the meetings. location level, resulting in an increase from Final priorities are arrived at through dialogue, 20 forums in the previous year, held at ward deliberation, consensus and voting. In many level; to 168 forums. The outcome was more cases the delegates share the ward allocation inclusivity with 11,549 participants compared equally among the sub- locations. The county to 4,779 in 2015/16. Women representation technical team will review and cost these also tripled from 11% to 35% when meetings projects before coming back to the people were held closer to their homesteads at sub- for validation. location level. Similarly, during the preparation of the budget 2017/18; the county held Baringo County has also focused on inclusivity meetings at 222 sub-locations increasing of marginalized groups through the provision number of participants further. Whilst in of platforms to facilitate their engagement the last consultative process for the budget such as sign language interpretation. A 2018/19, the county reverted to ward level notable feature is the executive’s collaboration engagement to allow for an audit of the status with civil society (Center for Enhancing of implementation of previously selected Democracy and Good Governance – CEDGG) projects; they hope to resume meetings at in undertaking social audits of county sub-location level to preserve inclusivity of government projects. The findings of these the engagement process. projects are usually presented in a report to the County. Following deliberations a final Kwale County presentation of the social audit report is made Kwale holds meetings at the village level and to the community for residents to give their has a strong collaboration with civil society input and raise questions for County technical organizations, through their engagement in staff to respond to. the CBEF. Civil society facilitates the county 7 ELEC TED MEMBERS BRIEFING NOTE budget meetings and county officials are by using transparent voting mechanisms available to provide technical guidance and and trained facilitation at meetings to make respond to citizen queries. activity accessible and representative of communities. Elected leaders are crucial in The Kenyan cases have been documented encouraging new ways that reach out to the by the KADP and are also available online via people who often do not have voice. PB links below: is not about changing all responsibilities, it is about ensuring Wananchi help shape http://documents.worldbank.org/ decisions. Allocation of resources needs to curated/en/231501494574792952/ bear in mind that reducing long term social Inclusive-and-effective-citizen- inequality, alleviating poverty or raising basic engagement-participatory-budgeting- standards of living takes time. Having support Makueni-and-West-Pokot-counties of the leadership makes it more likely PB will continue long enough for positive impact to http://www.worldbank.org/en/news/ manifest. feature/2017/06/20/how-citizens-are- shaping-budget-priorities-in-a-kenyan- Actions to take as an county elected leader We hope this briefing is a useful introduction Key challenges for to a new technique for public participation consideration that is taking root across Kenya. Risks exist, but they can be successfully Below are some follow-up actions you may managed. The risks include: - consider: »» Cost of engaging citizens are too high »» Read and research more about in relation to the actual improvement in participatory budgeting quality of investments; »» Talk to senior officers and other elected »» Expectations are created among leaders about participatory budgeting citizens that cannot be met; and how to create opportunities for citizens to participate in PB »» With limited resources and great need, there is concern that vested interests »» Contact elected leaders from other will try to unfairly influence the decision- Counties undertaking PB and seek to making process; learn from them. »» Questions on whether the voting »» Support legislation and policies to process will be fair or open to entrench the practice of PB within your manipulation by people with hidden counties agenda, such as contractors influencing »» Inform, empower and support ordinary the selection of projects. citizens in carrying out participatory budgeting and being involved in the These risks can be mitigated through implementation of identified projects. adopting principles of good governance, This briefing note was jointly prepared by Johnstone Kotut (PB Consultant, World Bank) and Annette Omolo (World Bank) with inputs from Jeremy Hall (PB Specialist, PB Partners UK) and Rose Wanjiru (PB Consultant, World Bank). Special thanks to Susan Amu for editorial work and Evelyn Kagwanjah for administrative support. COUNCIL OF GOVERNORS 8