RESTRUCTURING PAPER ON A PROPOSED PROJECT RESTRUCTURING OF THE WESTERN KENYA COMMUNITY DRIVEN DEVELOPMENT AND FLOOD MITIGATION PROJECT (WKCDD FMP)

Transcription

1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Document of The World Bank RESTRUCTURING PAPER ON A PROPOSED PROJECT RESTRUCTURING OF THE Report No: KE WESTERN KENYA COMMUNITY DRIVEN DEVELOPMENT AND FLOOD MITIGATION PROJECT (WKCDD FMP) CREDIT NO: KE BOARD APPROVAL: MARCH 27, 2007 TO THE REPUBLIC OF KENYA JUNE 29, 2012

2 ABBREVIATIONS AND ACRONYMS CDCs CDDCs CDD CDDO CIG DFA DSG DS&PA FEWS GAP GoK IFR IIFARA M&E MATs MCAP MIS MoU PCU PDO RP SCCU SCFA SCPA SCPC SCSG SLD ToT UNEP UN-OCHA WKCDD FMP WRMA WRUAs Community Development Committees Community Driven Development Committees Community Driven Development Community Driven Development Officer Common Interest Group District Finance Assistant District Steering Group District Supplies and Procurement Assistant Flood Early Warning System Governance Action Plan Government of Kenya Internal Financial Reports Independent Integrated Fiduciary and Accountability Review Agency Monitoring and Evaluation Mobile Advisory Teams Micro Catchment Action Plan Management Information System Memorandum of Understanding Project Coordination Unit Project Development Objective Restructuring Paper Sub-County Coordination Unit Sub-County Finance Assistant Sub-County Procurement Assistant Sub-County Project Coordinator Sub-County Steering Group Support to Local Development Training of Trainers United Nations Environmental Programme United Nation Office for the Coordination for Humanitarian Affairs Western Kenya Community Driven Development and Flood Mitigation Project Water Resources Management Authority Water Resource Users Associations Regional Vice President: Makhtar Diop Country Director: Johannes Zutt Sector Manager / Director: Martien Van Niewkoop/Jamal Saghir Task Team Leader: Nyambura Githagui ii

3 REPUBLIC OF KENYA WESTERN KENYA COMMUNITY DRIVEN AND FLOOD MITIGATION PROJECT P CONTENTS Page A. SUMMARY... 1 B. PROJECT STATUS... 1 C. PROPOSED CHANGES... 4 ANNEXES ANNEX I: RESULTS FRAMEWORK AND MONITORING ANNEX 2: REALLOCATION OF PROCEEDS ANNEX 3: SUMMARY OF AGREED GOVERNANCE ACTIONSERROR! BOOKMARK NOT DEFINED. iii

4 WESTERN KENYA COMMUNITY DRIVEN AND FLOOD MITIGATION PROJECT A. SUMMARY RESTRUCTURING PAPER 1. This Paper seeks to propose the following changes to the Western Kenya Community Driven Development and Flood Mitigation Project; (i) Changes in the institutional arrangements prompted by the new Kenya Constitution that would enhance implementation; (ii) Changes prompted by the Governance Action Plan (GAP) which was agreed between the Bank and the Government of Kenya (GoK) due to project challenges in fiduciary aspects as outlined in the Kenya Government Audit of September 2009 and subsequent Financial Management Reviews by the Bank to validate Kenya Government Audits; (iii) Fine-tuning and refining of outcome and performance indicators in project s arrangements for results monitoring to ensure that they capture all project results; (iv) Reallocation of credit proceeds within categories mostly to the flood mitigation activities where the initial allocations were not sufficient to fund activities that would have significant impact on the development objective; (v) Absorption of the unallocated credit proceeds into the flood management component, operations and maintenance to enhance project implementation and; (vi) Modification of project sub-components under flood mitigation to enhance achievement of the development objective. Project Restructuring is expected to adjust outcome indicators and results so that they are: realistic and within the control of and can be delivered by the implementing agencies of the project and in line with the baseline data while taking stock of current status of project implementation; achievable through and within the remaining life of the project which is expected to close on June 30, This restructuring will also reflect clearly monitorable actions as agreed in the GAP. B. PROJECT STATUS Background 2. Western Kenya Community Driven Development and Flood Mitigation Project (WKCDD FMP) became effective on August 7, The project has three Components: (i) Community Driven Development (US$37.1million); Flood Mitigation Component (US$32.9million) and; Implementation Support (US$15.7million). Soon after the Board approval, the project was affected by the post election violence of December 2007 through March This caused implementation delays during and after this period but some project intervention areas, such as Mt. Elgon, remained volatile and was not accessible due to internal ethnic conflicts for prolonged periods before and after the post-election period. This and the Kenya post election violence that followed, affected many parts of Western Kenya and complicated project supervision in the months of early 2008 through June In addition, project gains were undermined as community associations particularly under the Water Resources Management Authority were dismantled. Most serious was the fact that project rules particularly in financial management were not fully adhered to during this period and hence a call to audit the project in November 2008 after the Bank supervision same year. The Audit was completed in June 2009 and project was informally suspended and a Governance Action Plan 1

5 agreed upon that would address all the issues identified as critical to achievement of implementation results. 3. In February 22, 2011, the Bank acknowledged the efforts by the implementing agencies and partially lifted suspension with the understanding that project resources would be spend in the subsequent months to fully address governance actions that had been agreed to while continuing to keep regular project activities on hold. Full lifting of the suspension was effected on March 15, This restructuring therefore takes into consideration all the actions under the Governance Action Plan that may have resulted to differing arrangement from the previous provisions under the Financing Agreement. Implementation Progress 4. The project is in its fifth year of implementation. To-date, the project has disbursed US$$22, 438, which is 30 per cent implementation performance. This implementation lag is due to the informal suspension. The following are the achievements towards meeting Project Development Objective. 5. The project has demonstrated the benefits of empowering communities to plan development interventions, manage the implementation of micro-projects, and directly manage the funds for those projects. Presently, 269 projects have been implemented under the Community Driven Development (CDD) Component through micro grants ranging from US$5000 to US$15,000 per community. This has improved the livelihoods of these beneficiaries. On the institutional side, the implementing community bodies have been effective. However, some bottlenecks have been identified including the need to safeguard against elite capture through enhancing disclosure, community participation, and knowledge exchange across communities, the need to ensure value for money through providing guidelines on cost of items at all levels, and the need to ensure that vulnerability is well defined and there are measures to monitor inclusion. The component has spent US$3,435, Under Flood Mitigation activities, the key achievement has been the reduction in the frequency of flooding in the floodplains of Nzoia River, Budalang i, namely: (i) River Training: Three sections of river training were completed of total length 1.3 km; this has tremendously increased the discharge capacity of the river. After the river training was implemented the frequency of the annual flooding has significantly been reduced. Since completion of these flood protection structures only one flooding event happened on December 3, 2011; it is worth noting that even this flooding happened the last day of rainfall season after the dykes had held for the entire rainfall period. It should also be appreciated that the amount of rainfall received during this period was the highest since 1935; (ii) Community Radio (Bulala FM): The Project collaborated with the Kenya Meteorological Department and the community in putting up a community radio that broadcast in local language - Kinyala. The radio has radius coverage of 100 km and adequately covers the entire floodplain. The main objective of this radio was to transmit the flood bulletins. However, apart from broadcasting the flood watch bulletins the radio keeps 70,000 persons informed on the current issues as well as making coordination development activities by various institutions easy. The Ministry of Agriculture uses the radio to inform people on farming methods during planting time and other various issues related to 2

6 farming both crop and livestock production; (iii) Flood Early Warning: One of the key achievements is the formulation of the Flood Early Warning System (FEWS). This system is complete with a clear dissemination channel (community radio) and gives daily bulletins, such that even if floods occur community members are warned early enough and evacuation is initiated before any loss of life or property happens. This FEWS is used by the District Disaster Management Committee and other Humanitarian and Government Agencies and Departments to make informed decisions on Flood Disaster Preparedness and response; (iv) Repair of breached dyke section: After the breaching of the dyke at Makunda in the year 2008, the project funded the rehabilitation and repair works. This assisted in flood mitigation for the people living in the Makunda and Mukhobola areas from any flooding and this section has held on to-date; (v) Community engagement in disaster management: In order to build disaster-resilient communities, the Project formed a community based Disaster Risk Reduction Extension Service Provider group comprising of 40 members. This group undertook an exchange visit to India where they learnt from other communities on community based flood management. They participate in disaster response activities i.e. assessment, relief distribution and evacuation mission. The group is a Training of Trainers (ToT) based whereby they - to train the wider community members; the Project provided them with bicycles for ease of transport during their interventions. The Group has networked with other organizations like United Nation Office for the Coordination for Humanitarian Affairs (UN-OCHA), World Vision and Map Action in undertaking its activities. The community has been able to undertake hazard and vulnerability mapping of the flood plain area; (vi) Prevention of Economic Loss emanating from flooding: Government of Kenya and United Nations Environmental Programme (UNEP) (2003) estimate that in the Nzoia flood plain area (especially Budalang i), the average annual cost of the damage is in the order of US$800,000 plus a further US$1million to provide emergency relief and rehabilitation for approximately 12,000 people. Since 2009, there has been only one flooding event (2011) and no fatalities from flooding. Hence roughly a total of US$ 1.8 million has been saved every year floods have been mitigated. 7. In the mid catchment, the project has constructed 3 weirs on 3 rivers, supported the sensitization and establishment of Water Resources Users Associations (WRUAs), developed 15 (Micro Catchment Action Plan) MCAPs, and supported the rehabilitation of other flood mitigation structures. A sediment load measurement laboratory has also been completed and is functional under the Water Resources Management Authority (WRMA) in Kakamega. In addition to the above, final designs a multi-purpose flood protection structure whose primary purpose is flood control are 50 per cent completed and has a full completion dates of March The first phase of the dyke studies which involved detailed assessment of the current conditions of the existing structure, this included undertaking geotechnical, geomorphology, hydraulic modeling, analyzing historical hydrological and rainfall data etc - this is has been successfully been completed. The other two phases are progressing well and will be completed by December US$4,184,919 has so far been spent on this component. Implementation support 8. This component has achieved the following baseline data collected and report completed, impact evaluation framework in place, all dated covenants implemented. A new project implementation staff have been recruited and decentralized sufficiently for effective 3

7 implementation. Given the challenges encountered in fiduciary management an Independent Integrated Fiduciary and Accountability Review Agency (IIFARA) will together with the project team monitor and review all performance, procurement and financial operations of the Project. US$7,527,867 has been spent on this component. Implementation of the GAP 9. The project has been proactively addressing governance and accountability issues during the period of informal suspension during September 2009 March At the project level, the GAP included focus on strengthening of compliance and monitoring systems through appointment of additional staff at the field level, functioning of (Management Information System) MIS, and clarity of staff accountability and reporting roles, procurement inspection committees, as well as finance management oversight enhancement. Geo- mapping, asset tagging and tracking These are measures taken within the framework of GAP actions. C. PROPOSED CHANGES Project Development Objective (PDO) 10. The Government of Kenya has not proposed any change to the PDO however there is need to align the PDO in the PAD with the one in the FA. This is also consistent with the understanding of the Recipient. At the moment, the PDO in both documents reads as follows: The objective of the Project is to empower local communities to engage in wealth creating activities, lower the incidence of poverty and reduce the vulnerability of the poor to adverse outcomes associated with recurrent flooding. The PDO in the PAD reads as follows: The objective of the project is to empower local communities of men and women to engage in sustainable and wealth creating livelihood activities and reduce their vulnerability to flooding. The PDO in the FA should be incorporated in the PAD. Results/indicators 12. Proposed changes have been introduced to ensure the results, indicators and targets are realistic, within the control of and can be delivered by the implementing agencies of the project. Some of the indicators and targets have - now been informed by the baseline data collected in the first years of the project as well as stock taking conducted on the current status of project implementation. The results included here are those that can be achieved through the life of the 4

8 project and those aligned to the development objective details are as specified in Annex 1 of this Restructuring Paper (RP). Components and Subcomponents 13. The Project design remain the same however, there will be change in scope for components and sub components aimed at modifying scope and expenditures to allow better focus on activities that will enhance coverage and implementation progress. The changes proposed will ensure that implementation delays that the project has experienced will minimally affect the achievement of the development objective within the life of the project. All changes have been appraised and discussed with counterpart and all implementing entities including communities that were part of the restructuring mission. 14. Component 1: Community Driven Development. Subcomponent 1.1 Prioritized Investments and Capacity Building at Community Level - The key changes in this subcomponent are: (i) Greater focus and resources devoted to strengthening community institutions to practice and operationalize participation, inclusion, and accountability; and (ii) Measures in place to enhance performance of CDD and Support to Local Development (SLD) sub-projects including: (a) revision of criteria for selecting communities and micro-projects, and SLD projects, based on stocktaking of all CDD/SLD sub-projects and mid-term review; (b) development of a project system to monitor and compare performance across CDD and SLD sub-projects including their compliance with core governance measures (record-keeping, reporting, disclosure, participation, complaints/redress mechanism) and to suspend funding to communities and districts that have not fully complied with governance requirements; (c) inclusion of measures (in project manuals, job descriptions, and annual project planning and budgets) to incorporate mapping and ICT measures that enhance visibility and information exchange between community sub-project implementers, and accountability to and feedback from communities on sub-project implementation; (iii)selection criteria and implementation procedures in place for CDD/SLD subprojects that differentiate between public and private goods. This would require more technical assistance and continuous facilitation at the community level and therefore, additional full-time field level Mobile Advisory Teams (MATs) is needed to support the community development and monitor compliance to rules and guidelines. 15. Community interventions to counter malaria are integrated in the CDD approach. The current design is to combat the pandemic through many approaches including source reduction, lavicidal measures and indoor residual spraying. However, interaction with communities has shown that results will be achieved if the project focused resources on community capacity building through information and communication support for behavior change. This will be the main activity and focus under this intervention. 5

9 16. Under the same component, one Community Foundation for Western Kenya was envisaged; however, feasibility study conducted suggested a different approach given the fact that Western Kenya is not homogeneous and this activity require a bottom up approach for community ownership and support. The project therefore aims at providing support in setting up more than one small community foundation at a much lower level. 17. There will be no change in the budget under this component and the proposed changes only enhance the achievement of development objective of the project while ensuring sufficient community ownership for sustainability. 18. Component 2: Flood Mitigation - The focus on flood mitigation was spelt out for Nzoia and Yala Basin. However, the resource allocation was for activities under catchment management and flood protection was for the Nzoia basin with technical support for catchment management coordinated and supervised by Lake Victoria North Water Resources Management Authority (LVNWRMA). To achieve project development objective, this ambiguity would need to be minimized and focus the project resources to geographical areas that will ensures maximum impact. This restructuring proposes reduction in scope and intensity in approach and resource engagement to the Nzoia Basin and in Western Kenya geographical areas, the new World Bank proposed Water Resources and Climate Change resilient project will be sensitized to cover areas that the WKCDD/FM Project is not able to stretch due to resource constraints. 19. Subcomponent 2.1: Catchment Management - This sub-component was designed to improve management of the Nzoia and Yala rivers catchments through assistance to communities that would enable them take advantage of resources allocated for catchment management. The current focus is on the 10 core and 6 non-core districts which has so far had little to no significant impact due to the thinly and widely spread resources and interventions. It is therefore proposed that the restructured Project would focus on the micro-catchments within the 10 core districts for catchment management activities along the Nzoia River. The 6 non-core districts will thus be dropped. In addition, all interventions in the Yala River basin will be dropped since it has been determined that this river and associated activities do not contribute to the flooding at Budalang i. Consequently, this sub-component will only support on farm and off farm activities in the Nzoia Basin and will not cover any protected areas. Sediment load is a key indicator for assessing the impact of catchment protection and soil erosion control/management measures under this Project. Furthermore, the subcomponent targeting will be enhanced for greater impact by focusing on the sediment erosion hot spots in micro - catchments of Western Kenya which are mainly located in Bungoma and Mt Elgon along the Nzoia River. Specifically, the restructured Project will enhance upstream and downstream impacts by selectively focusing investments on the Kuywa and Terem sub-catchments due to their high degradation ( sediment erosion hot spots ) status and contribution to sediment loading in the Nzoia River. The proposed changes will not affect the original PDO as well as the specific component objective. Some of the resources in this subcomponent will be re-allocated to Sub Component 2.3 Flood Management given its urgency and importance in enhancing project development objective of reduction in vulnerability, social and economic cost of flooding in the flooding plain of Budalang i and build on the gains so far realized in the flood plain by the project. Finally, the 2008 partnership Memorandum of Understanding (MoU) between WKCDD/FM Project and the WRMA governing the implementation of the Catchment Management Sub-Component will be 6

10 revised to take into account the (a) changes outlined above, and (b) need to align with the governance structures under the new Constitution. 20. Sub Component 2.2: Multi Purpose Flood Management - There will be no change in this sub-component 21. Sub-component 2.3: Flood Management - This sub component was designed to support flood plain management in Budalang i in Western Kenya through rehabilitation and strengthening of the existing dykes. Studies were initiated with the objective of assessing the integrity of the existing dykes and these are now completed and the cost elements determined. This component has the highest potential to enhancing achievement of the objective of reduction of vulnerability of communities caused by floods. However, on assessment of the current funding levels under this sub-component, it has been found limited and therefore some reallocation warranted. This restructuring proposes a reallocation of US$6,767,183 within component and reallocation of the unallocated credit proceeds of US$4,704,205. Total reallocation to this component of US$11,471,388. This re-allocation will support rehabilitation and strengthening of approximately 20km length of the existing dykes. 22. Sub-component 2.4: Flood Early Warning System - There will be no change in this subcomponent 23. Component 3: Implementation Support 24. Sub-component 3.1: Support to Policy Analysis, Advocacy and Local Development - There will be no change in this sub-component. 25. Subcomponent 3.2: Management Monitoring and Evaluation - To achieve expected outcomes, the key changes in this subcomponent involves: (i) relocation of the National level Project Coordination Unit from Nairobi to the Project intervention area as a cost reduction and governance enhancement action; (ii) Project implementation structures will be aligned with the new Constitution. Project support committees are named in line with the new Constitution Structures at the County level. To enable national level communication and networking, a maximum of 5 staff members of the national coordinating unit will remain in Nairobi. 26. In addition, the project will take the following measures to enhance monitoring and evaluation: (i) ensure that (MIS) is aligned with revised (Monitoring & Evaluation) M&E framework, data fully populated and updated, (ii) core set of MIS management reports developed and produced that reconcile project activities and financial data by project component and that meet internal and external project reporting requirements, including quarterly sub-county/district (Internal Financial Reports) IFR; (iii)mis fully operational, data regularly updated, required reports generated. 7

11 Overall, the project management would continue to be the responsibility of the existing implementation agency at the national level, which has undertaken an internal capacity review and agreed with the Bank on a revised staffing structure at the national, regional and field facilitation level. Additional positions have been created at the field level, technical engineering support and information dissemination and monitoring. The fiduciary tasks of procurement and financial management detailed in the Project Implementation Plan and Operational Manual have been further strengthened through additional staff and technical assistance. 27. Given the challenges on integrity issues in fiduciary management that the project encountered during its initial years of implementation the Government Kenya will bring on board Independent Integrated Fiduciary and Accountability Review Agency (IIFARA). That will continuously monitor and review all performance, procurement and financial operations of the Project. Institutional Arrangements 29. At Community Level: Implementation of the project at the Community level remains under a multi-purpose Community Driven Development Committees (CDDCs) assisted by Mobile Advisory Teams to build capacity of Communities. As a governance measure, the CDDCs are elected by communities and will not under any circumstance implement projects on their own. Their functions remain as before but a separate Social accountability Committee will be established outside the CDDCs to ensure that rules and procedures are followed. 30. At District Level: District Steering Group (DSG) will be replaced by structures in line with the New Constitution. Sub-County Steering Group has been adopted although it is not specified in the Constitution. The functions and membership of this Sub-County Steering Group remain the same. County Coordinator position has been created for purpose of coordination of all the sub-county units that are grouped together to form a county. This has a cost reducing effect to the project. The former District Project Coordinator has been replaced Sub County Community Driven Development Coordinator as the head of each sub county. 31. Regional Level: The office has been created as a governance, cost reduction as well as project impact enhancement measure. The team at this level is the former national level (Nairobi) decentralized except for limited key functions of consultations and networking that would require Nairobi presence. 32. At National Level: The project is coordinated by the Office of the President, Special Programmes Ministry. The national level office remains with very limited functions after establishment of the Regional Office. Project institutional structures will be subject to further revision throughout project implementation phase in view of the potential institutional or constitutional mandates related to decentralization and a change in government structure. 33. In line with the above institutional arrangement changes, the following changes in titles will be used 8

12 i. Community Driven Development Officer (CDDO) to Sub-county Project Coordinator (SCPC). ii. District Finance Assistant (DFA) to Sub-County Finance Assistant (SCFA) iii. District Supplies & Procurement Assistant (DS&PA) to Sub-County Procurement Assistant (SCPA). iv. District Steering Group (DSG) to Sub-County Steering Group (SCSG). Financing 34. Financing Plan: During the restructuring mission, the GOK proposed that IDA financing be effected 100 percent on all Categories to include taxes. The mission deliberated on this proposal and concurred based on the need to scale up and speed up project activities within the reminder of the implementation period the project would benefit uninterrupted disbursements. The mission also discussed the implication of this to the PDO and concluded that there will be no adverse effect on the achievement of the PDO. 35. Disbursement arrangements: Change on review and approval by CTR. 36. Reallocation of Credit Proceeds: This restructuring proposes to reallocated funds under and within the Flood Mitigation Component and the allocation of the unallocated Category of funds to Sub Component 2.3 Flood Management. This reallocation will address the underestimated cost for rehabilitation and strengthening the existing dykes. ii) The consultant investigating the dyke s integrity will propose a set of options which will provide a reasonable degree of protection from flooding to community. The proposal and design of civil structures is at an advanced stage. This restructuring therefore proposes a reallocation of US$6,767,183 within component and reallocation of the unallocated credit proceeds of US$4,704,205. Total reallocation to this component of US$11,471, The remainder of unallocated resources of US$D 3,780,570 to be allocated to Operations and Maintenance category to specifically support: implementation of Governance Action Plan, further decentralization of implementation support in line with the Constitution and recruitment of additional MATs which will facilitate achievement of project outcomes and impacts. This is in line with recommendations emanating from the aide memoire of September 28 October 8, 2010 between the GoK and The Bank(see Annex 2 on this proposed reallocation of proceeds). 9

13 ANNEX 1: Results Framework and Monitoring Kenya Western Kenya Community Driven Development and Flood Mitigation Project Project Development Objective: is to empower local communities to engage in wealth creating activities, lower the incidence of poverty and reduce the vulnerability of the poor to adverse outcomes associated with recurrent flooding. Revised Project Development Objectives: PDO remains unchanged PDO level Results Number of men and women actively participating in decision making at community and district levels Percent of community and youth investment projects rated satisfactory or better by participating communities Percentage increase in real income of households in project intervention areas Percentage reduction of financial cost induced by average annual flooding in the Budalang i flood plain Percentage increase in income of target households members of CIGs ( Direct beneficiaries) Proportion of households affected by floods D=Dropped C=Continue N=New R=Revised Baseline YR1- YR5 Cumulative Target Values Data Collection and Reporting intervals YR6 YR7 YR8 Frequency Source/Instrument Responsibility on information gathering D 0 61, , , ,900 Annually Records PCU/DSG D Bi-annually Records/Survey PCU/MAT teams HBS for D individua l districts $1.5 D 1 million per year 10% increase 20% decrease 17% increase 40% decrease 20% increase 25% increase 40% decrease 50% decrease After 2 years N 0 3% 10% 15% 25% Annually R 27.8% 20% 15% 10% 5% Annually Impact survey reports, HIS reports, HIS PCU/ WARMA/SCCU SCCU, PCU, SCCU, PCU, Total number of people in the project target area benefiting from project interventions (of N 0 702,000 1,000,000 1,500,000 2,000,000 Annually reports which at least 34% are female) 2 Intermediate Results SCCU, PCU, CDDCs 1 Dropped but recommended to be retained at project operations level 2 Benefits include access to improved infrastructure, livelihood, knowledge, information, skills, attitude change and confidence 10

14 Intermediate Results: Community Driven Development Component Sub-component 1.1 Percent of community members actively participating 3 in overall decision making (of which at least 34% are female) Number of CDDCs managing development priorities identified in the CAPs and YAPs Proportion of the most vulnerable 5 community members participating in implementation of the project N 39.4% Not available 4 50% 60% 70% Quarterly District records/ Quarterly MIS Progress reports, And HIS N Quarterly reports N 0 5% 10% 12% 15% Quarterly reports SCCU, PCU,, Social audit committees SCCU, PCU,CDDCs SCCU, PCU, CDDC,PMCs Number of CAPs developed and operationalized. Number of YAPs developed and operationalized. D Annually Progress reports SCCU, PCU D Annually Progress reports SCCU, PCU Proportion of the population of under 5 children who sleep under the ITNs within project intervention areas. R 31.9% children < Quarterly reports, HIS SCCU,PCU,CDD Cs, PMCs, MITs,CIGs Proportion of the population, pregnant women who sleep under the ITNs within project intervention areas. R 33.5 % Pregnant women Quarterly reports, HIS SCCU,PCU,CDD Cs, PMCs, MITs,CIGs 3 Active participation means regular attendance of meetings that is Community General Assembly,, and CIGs during planning, implementation, supervision, and social audits. 4 Not currently captured 5 Vulnerable include the needy widows, needy single mothers, orphans, marginalized youth, homeless, displaced, physically challenged and no-income households as identified by the general assembly. 11

15 At least two Community Foundations established and operational 6 in the project intervention area. R 0 One ( 1 )CF Establishe d & operationa l CF remains operational Two(2) established Two (2) CF remains operational Quarterly reports SCCU, PCU, CDDCs Sub-component 1.2 Number of men and women within the project intervention areas that are benefitting from the infrastructure SLD projects Number of men and women within the project intervention areas that are benefiting from the value added livelihood SLD projects (at least 34% are female) N 0 50, , , ,000 Quarterly reports N 0 30,000 50,000 80, ,000 Quarterly reports SCCU, PCU,CDDCs SCCU, PCU,CDDCs,PM C Number of DSGs established with the capacity to identify appropriate community investments D 10 DSGs established 10 DSGs remain operationa l 10 DSGs remain operational 10 DSGs remain operational 10 DSGs remain operational Annually Progress reports SCCU, PCU Number of locally identified investment plans implemented according to the annual work plans. D Annually Progress Reports SCCU, PCU Percent of SLD projects that have included CDDCs/communities in planning, implementation and monitoring N 0 5% 50% 70% 80% Quarterly Reports SCCU, PCU, Intermediate Results: Flood Mitigation and Natural Resource Management Component Sub-component 2.1 Percent of households adopting recommended soil and water conservation practices within the targeted microcatchments. R 33.7% 24% 50% 60% 80% Quarterly HIS, Annual progress reports WRMA, PCU, SCCUs, WRUAs 6 Operational means covering its management and maintenance costs. 12

16 Number of appropriate soil and water conservation projects undertaken. C Annually HIS, MIS Annual Progress reports WRMA, PCU, SCCUs, WRUAs Percent reduction in the sediment load in the rivers in the targeted micro catchments. C Semi-annually Sediment load monitoring reports, WRMA, PCU, SCCUs, WRUAs Number of MCAPs prepared, approved and financed in the targeted micro-catchments. R Monthly Reports WRMA, PCU, SCCUs, WRUAs Sub-component 2.2 Percent completion of long-term multipurpose flood management option preparation up to but not including detailed design C 0 50% 100% 100% 100% Annually Reports, PCU, WARMA Sub-component 2.3 Proportion of households protected from the effects of annual flooding in the Budalang i flood plain Length (km) of dykes rehabilitated and maintained to recommended standard in the Nzoia River Basin. Sub-component 2.4 Flood early warning system established and functional R 0 Percent completion of establishment of a disaster management and communication system. Sub-component 3.1 D Semi-annually R D Annually Quarterly Semi-annually Intermediate Results: Implementation Support Component Records and progress reports reports, Reports, Record, progress reports WRMA, PCU PCU, WARMA PCU, WARMA PCU, 13

17 Number of policy-related studies relevant to local socio-economic development and the environment completed. D Annually Progress reports PCU, SCCU Number of policy advocacy forums conducted. C Quarterly Reports, PCU, WARMA, SCCU, Rate of compliance with environmental and social safeguards 7 N 0 76% 100% 100% 100% Quarterly reports SCCU, CPCs, PCU, WARMA, Sub-component 3.2 Proportion of external project impact evaluation that are rated satisfactory or above. D Bi-annually progress reports, Records DSG, PCU Percent of community investment projects rated as satisfactory or above by participating communities 8. Proportion of the DSGs whose data base are complete every year. Proportion of the M&E indicators that are included in the semi-annual progress. R 0% 0% 60% 70% 80% Annually reports SCCU, CPCs, PCU, WARMA, D Annually progress reports PCU, DSG D Annually Progress reports, records MIS established, functioning and used to produce status reports at every level. N Quarterly Progress reports Proportion of IIFARA recommended actions that are implemented within the specified time N 0% 0% 80% 80% 80% Quarterly Reports DSG, PCU SCCU, CPCs, PCU, WARMA, SCCU, CPCs, PCU, WARMA, 7 Compliance includes screening at entry, disclosure, monitoring during implementation and auditing upon completion on environmental and social aspects as defined in the project safeguards instruments. 8 Rating criteria are included in community scorecards. 14

18 Grievance Redress system established and complaints tracked, reviewed and resolved as per the GRM service standards 9. N 0% 0% 75% 85% 90% Quarterly Proportion of Social Audits Committees functioning in the project intervention areas N 0 5% 60% 70% 80% Quarterly Percentage of sub projects including financial information updated and disclosed N 0 60% 90% 100% 100% Quarterly on mapping platform Proportion of timely and accurate financial management reports submitted by districts and PCU N 0% 85% 90% 95% 95% Quarterly Percent of disbursements realized Results based management and staff performance contract system in place and revised HR Manual implemented Staff meeting project implementation targets 10 as included in the Quarterly Work Plans (in %) D 0% 18% 70% 85% 90% Semi-annually Complain register & MIS progress reports Reports MIS progress reports Reports Submission register progress reports, Records SCCU, CPCs, PCU, WARMA, SCCU, CPCs, PCU, WARMA, SCCU, CPCs, PCU, WARMA, SCCU, CPCs, PCU, WARMA, DSG, PCU N Annually MIS reports PCU, PS N 0% 30% 80% 80% 90% Quarterly MIS reports NPC/HR/PS 9 Service standards (which include timeliness on registration, validation, reporting, response and resolution) as included in the PIP. 10 Targets include Results, physical and financial targets. 15

19 ANNEX 2: Reallocation of Proceeds Kenya Western Kenya Community Driven Development and Flood Mitigation Project Restructuring Paper 1. Proceeds for Kenya, Western Kenya Community Development Driven and Flood Mitigation Project, Credit Number: KE, P will be reallocated as follow: Category of Expenditure Allocation % of Financing Current Revised Current Revised Current Revise 1. Civil Works 8,978,598 20,449,985 24% 2. Goods & Equipment 8,529,668 8,529,668 10% 10% 3. (a) Grants for Micro projects (i) CDD Micro- Projects 10,624,674 10,624,674 12% 12% (ii) Community Foundation 299, ,287 0% 0% (iii) Youth Microprojects 748, ,216 1% 1% (iv) Malaria Micro- Projects 1,795,720 1,795,720 2% 2% (b) Catchment Management Micro-Projects 4. Consultants' and Audit 5. Training & Workshops 6. Incremental Operating Costs 13,767,183 7,000,000 16% 8% 10,923,960 10,923,960 13% 13% 8,978,598 8,978,598 10% 10% 3% (a) - Vehicle Operations Maintenance 2,244,649 2,244,649 3% (b) Other Operations & Maintenance 10,624,674 14,405, Refund of Project Preparation Advance 8. Unallocated 8,484, % 0% Total Funds US$ 86,000,000 86,000,000 12% 17% 16