ISSUES RELATED TO DEVELOPING REQUISITE CAPACITIES FOR EFFECTIVELY IMPLEMENTING DECENTRALIZATION POLICIES IN AFRICA

Transcription

1 ISSUES RELATED TO DEVELOPING REQUISITE CAPACITIES FOR EFFECTIVELY IMPLEMENTING DECENTRALIZATION POLICIES IN AFRICA By George Matovu Municipal Development Partnership for Eastern and Southern Africa (MDP-ESA) Paper presented at the Ministerial Conference on: Leadership Capacity Building for Decentralized Governance and Poverty Reduction in Africa under the theme: From Policy to Implementation: Challenges and Strategies for Effective Implementation of Decentralized Governance in Africa, held at Palais des Congrès, Yaoundé, Cameroon May 2008.

2 ISSUES RELATED TO DEVELOPING REQUISITE CAPACITIES FOR EFFECTIVELY IMPLEMENTING DECENTRALIZATION POLICIES By George Matovu, MDP-ESA This is a working paper intended to promote dialogue and exchange of experiences at the Ministerial Conference on: Leadership Capacity Building for Decentralized Governance and Poverty Reduction in Africa under the theme: From Policy to Implementation: Challenges and Strategies for Effective Implementation of Decentralized Governance in Africa held at Palais des Congrès, Yaoundé, Cameroon May It is hoped that the paper will be will benefit from the insight of Ministers and other delegates present. INTRODUCTION The capacity to implement decentralisation policies continues to be under scrutiny. This is due to the realisation that despite perceived huge investments, local government performance in many African countries continues to be a matter of concern. This short paper attempts to examine some of the issues that are related to developing requisite capacities for effectively implementing decentralisation policies. Specifically, the paper will throw light on: (a) what capacities are needed for successful implementation of decentralisation policies in the context of Africa; and (b) How such required capacities are developed. The paper will end with a case of Uganda which is intended to illustrate, as a relative success story, towards developing capacity for implementing decentralization policies. At the outset, it is important to appreciate that the views expressed in the paper do not constitute a complete coverage of capacity building in with regard to decentralisation efforts. The paper only highlights with examples how countries in Africa are grappling with issues of political, economic, financial and social reforms. This challenge can best be appreciated with the recognition that decentralisation itself is a highly political, multi-dimensional and very complex reform process. WHAT IS CAPACITY? Capacity means having the aptitudes, resources, relationships and facilitating conditions that are necessary to act effectively to achieve some intended purpose. UNDP defines capacity as the ability of individuals, institutions and societies to perform functions, solve problems, and set and achieve objectives in a sustainable manner. The World Bank defines it as the ability to access and use knowledge and skills to perform a task, to act in pursuit of an objective". For purposes of the paper, capacity will be simply defined as the ability to achieve set goals. Thus capacity should be seen from the perspective of how decision-making processes are organized, what quality of services is provided, and what results and outcomes are being achieved. In operational terms therefore, capacity building is the process through which the abilities to achieve set goals are obtained, strengthened, adopted and maintained over time. In decentralised governance, the process includes the delegation of powers (e.g. revenue raising powers), the provision of resources (e.g. finance, manpower, capital assets) the establishment of relevant institutions, professional and technical training, and the promotion of an appropriate mindset and organisational culture through learning by doing. For this to happen, a number of principles apply. Box 1: Definitions of Capacity Development i) Capacity building is the ability of individuals, groups, institutions and organizations to identify and solve development problems over time. (Peter Morgan, 1996) 1

3 ii) iii) iv) Capacity development is a concept which is broader the organizational development since it includes an emphasis on the overall system, environment or context within which individuals, organizations and societies operate and interact (and not simply a single organization). (UNDP, 1998) Capacity development is any system, effort or process which includes among it s major objectives strengthening the capability of elected chief executive officers, chief administrative officers, department and agency heads and programme managers in general purpose government to plan, implement, manage or evaluate policies, strategies or programs designed to impact on social conditions in the community. (Cohen, 1993) "...capacity is the combination of people, institutions and practices that permits countries to reach their development goals Capacity building is... investment in human capital, institutions and practices" (World Bank, 1998) v) Capacity building is any support that strengthens an institution's ability to effectively and efficiently design, implement and evaluate development activities according to its mission (UNICEF Namibia, 1996). vi) vii) viii) Capacity building is a process by which individuals, groups, institutions, organizations and societies enhance their abilities to identify and meet development challenges in a sustainable manner,. (CIDA, 1996) Capacity development: "The process by which individuals groups, organizations, institutions and societies increase their abilities: to perform functions solve problems and achieve objectives; to understand and deal with their development need in a broader context and in a sustainable manner" (UNDP, 1997) Capacity strengthening is an ongoing process by which people and systems, operating within dynamic contexts, enhance their abilities to develop and implement strategies in pursuit of their objectives for increased performance in a sustainable way" (Lusthaus et al. for IDRC, 1995). Source: Charles Lusthaus and Marie-Helene Adrien. Capacity Development: Definitions and Issues and Implications for Monitoring and Evaluation. Universalia, July 1999 PRINCIPLES FOR EFFECTIVE CAPACITY BUILDING It is the view of the author that the following principles should underpin the effort to implement capacity building for successful implementation of decentralisation policies in the context of Africa. i. Identifying and correctly positioning champions in each sector to manage the process (and to be used as mentors in) of the transition from centralisation to decentralisation of management. They can be enjoined to motivate others and influence mindsets. ii. iii. iv. Adopting and applying the cascade approach (a process by which knowledge and information is passed on successively) with the aim of quickly and effectively equipping key people in the system with the skills and knowledge required to manage decentralised functions. Understanding and appreciating the distinction between environments because capacity building takes place in varied political, social economic contexts; each system must search for the most appropriate form or type of capacity building. Understanding the variations in performance by different municipalities due to their different sizes (large or small), locations (rural or urban), track records, and ability to take in innovative practices. 2

4 v. Capitalising on the concept of 'Resource Municipalities and Peer-to-Peer Learning' for purposes on mobilising hands-on innovations and expertise vi. vii. viii. ix. Premising capacity building efforts on solid and clear objectives which ought to be S.M.A.R.T. (Specific, Measurable, Attainable, Realistic, and Time-bound), bearing in mind that initiatives need to be specific about what aspects of capacity are being addressed, (technical, or organisational, or attitudinal) and should pay attention to results and outcomes Building new capacity on existing one so that efforts are expended on tapping, retaining and improving the appropriate institutional memory, as well as giving due respect the existing cultures and traditional as reforms get underway. Integrating ICT in capacity building. Making available service manuals detailing policies, procedures and rational for such procedures. x. Having an inclusive approach thus partnering with civil society and civil society organisations as central partners to effective decentralisation. xi. xii. Complementing competencies and technical knowledge with passion and compassion for the cause of decentralisation. Mainstreaming Monitoring and Evaluation in the capacity building process. These principles should be useful in designing an appropriate model for capacity building for decentralisation. TOWARDS A MODEL FOR CAPACITY BUILDING It is imperative for each country to formulate a comprehensive training policy and a strategy. The development of such a strategy should be based on team work and partnership among all relevant stakeholders and actors including: central and local government officials, local communities, non-state actors, national associations of local government authorities, development partners, donors, etc. One good example is Joint Annual Review of Decentralization (JARD) in Uganda. JARD aims to bring together all stakeholders 1 to: (i) discuss the status of implementing decentralization; (ii) develop proposals for a common position and way forward on the challenges that affect the implementation of decentralization; (iii) Develop a joint action plan to strengthen and consolidate decentralization and; (iv) draft a set of indicators and benchmarks for implementation of decentralization. It is also necessary in the same vain to have a well designed model that can cause relevant capacity building. (Figure 1 as an example). 1 The 2004 Review was attended by a cross section of key stakeholders of decentralisation which included Members of Parliament, Head of Public Service, Deputy Head of Public Service, Permanent Secretaries, Members of the Decentralisation Donor Sub-group, All Resident District Commissioners, All District Chairpersons, All Mayors, All Chief Administrators, All Town Clerks of Municipal Councils, Various officials from Local Governments, Chairperson, Local Government Finance Commission, Uganda Debt Network, NGO Forum, Executive Director, Plan for Modernisation of Agriculture (PMA), Uganda Local Government Associations, Urban Authorities Associations of Uganda, Executive Director, National Agricultural Advisory Services (NAADS), Executive Director, National Planning Authority, Executive Director, National Environmental Management Authority (NEMA), Commissioner-General Uganda Revenue Authority, Executive Director, National Planning Authority, President, Uganda National Chamber of Commerce and Industry, Executive Director, Uganda Investment Authority, Director, Uganda Management Institute, The Executive Secretary, Innovations at Makerere University I@Mak.com and Line ministry officials. 3

5 Figure 1: Capacity Building Model M&E Desired Outcome Change of Mindsets Empowerment of Local Communities Good Governance and Community Livelihood Transformation Investments Existing Capacity Traditional Capacity Self Governance Community Spirit Capacity Building Programs and Initiatives Training of Trainers Empowering laws Peer-to-peer learning Partnerships Gender considerations M&E Capacity Assessment Capacity diagnostics Resources / Capital Human, Social, Cultural, Physical, Institutional, Financial Enabling laws, partnerships, political will M&E Institutional Framework Legislation and Regulation Rules & procedures Interface with Non State Actors Civil Society Organisations Private sector Academics Political will Positive and Negative Organisational Ability Values and behaviour International Community Donor Support Terms of Aid 4

6 WHAT IS SO SPECIAL ABOUT CAPACITY BUILDING FOR DECENTRALISATION IN AFRICA In 2005, a survey of experts by the Economic Commission for Africa (ECA) revealed that despite the continued commitment to decentralisation supported with international good will, in only a few countries did local governments had the capacity to effectively manage their decentralised responsibilities as shown in Figure 2. A number of factors were cited including: inadequate human and institutional capacity, financial capacity, corruption, and widespread poverty. Figure 2: Capacity in % terms to implement decentralised responsibilities It also ought to be recognised that beyond the commonly recognised forms decentralisations namely devolution, deconcentration and privatisation there are five other different dimensions of decentralisation that need to be taken on board when considering issues of capacity for implementing decentralisation policies. These dimensions are: the types of functions decentralised; the types of powers decentralised in relation to those functions; the level to which the powers are decentralised; the institutions to which they are decentralised; and the method of decentralisation. For meaningful capacity building, these elements need to be identified, known and appreciated. CAPACITIES REQUIRED FOR SUCCESSFUL IMPLEMENTATION OF DECENTRALIZATION POLICIES IN THE CONTEXT OF AFRICA A range of capacities and competencies (abilities) are needed to be in place in each sector to achieve effective implementation of decentralization policies. For purposes of simplicity, it is possible to say that there are two types of capacities: technical capacities which are associated with particular areas of professional expertise or practice, such as public health or agricultural extension; and, crosscutting (multiple-process) capacity which pertain to good governance, development strategy and management. Examples include policy analysis, knowledge management, policy and program design and implementation, coordination and management of resources, review, monitor and evaluation. In a number of countries, technical capacities are widely available across sectors, thanks to concerted effort to invest in education, 5

7 training, and institutional development in post-colonial Africa. The challenge however is to create conducive environments to enable professionals stay home. The issue for many countries is the establishment of crosscutting capacity which requires appreciation of qualitative understanding of the challenges of decentralization. According to an undated report of the UN, the cross-cutting capacities that are essential for successful implementation of decentralization policies include: Capacity to engage in multi-stakeholder dialogue Capacity to analyze a situation and create a vision Capacity to formulate policy and strategy Capacity to budget, manage and implement Capacity to monitor and evaluate It is important to note that, capacity can be measured in quantitative terms. But, in the context of local governance and service delivery, it is more often seen from the perspective of how decision-making processes are being organized, what quality of services is being provided, and what are the results and outcomes that are being achieved. This implies that such 'qualitative' capacities require a lot of development and contextualization for the sake of relevance, quality and acceptance. WAYS OF DEVELOPING THE REQUIRED CAPACITIES Capacity Diagnostics Organizations such as the UN, EU, advocate for undertaking capacity diagnostics. The World Bank refers to the process as capacity enhancement needs assessment (CENA) This refers to analysis of current capacities against the desired future capacities, which generates an understanding of capacity assets and needs. The capacity assessment is the initial stage to define the capacity building strategy options that address those areas where sub-national or local capacities could be enhanced. The benefits of comprehensive and well-executed capacity assessments are significant and they help: Bring systematic method for assessing capacity needs, establishing priorities and sequencing of interventions; Identify the more profound systemic challenges; Identify strength and weaknesses, opportunities for and threats to capacity development; and Establish capacity baselines against which to measure, monitor and evaluate progress and performance in capacity development. It ought to be appreciated however that individual capacity enhancement alone is not sufficient in improving performance if the system within which the individual operates is dysfunctional. It is also important to recognise that lack of capacity for local governance cannot be pinned only on the community in question. The appropriate pre-disposition for capacity building for decentralisation is to assess each players capacity vis a vis their roles so that each one s capacity is strengthened to play that role effectively. In his paper on Local Governance Capacity Building for the Full range of Participation, Dr John-Mary Kauzya said: While in many countries central government authorities hesitate to embark on decentralized governance policies for reasons related to inadequate capacity at local level, it has been discovered that the same central governments do not possess adequate capacity to analyse, formulate, and effectively manage decentralized 6

8 governance policies. While many Donors and Development partners have a tendency of blaming local governments of having no capacities to implement local level development projects, it is often the case that the same Donors and Development partners do not have the requisite capacity in terms of understanding and working within local community cultural and social environments to promote community sensitive development. The real situation on the ground in many developing countries is that inadequate capacity is a problem found among almost all players involved in decentralized governance. The difference is in extent and degree to which the capacity is lacking 2. The World Bank had the following to say: Box2: Capacity building needs to begin at home: A Story of the World Bank. Unless the Bank has its own adequate capacity to understand how capacity can be built and sustained, it can hardly help others. There is concern due to lack of specialized technical staff on preparation and supervision missions. The lack of staff skilled in developing M&E systems has been particularly severe. The ability to help design and implement effective education and training programs is also not a skill widely available in the Bank. Source: World Bank Study on Capacity Building Institutional Reforms Institutions are instrumental in ensuring that whatever authorities and responsibilities transferred are effectively executed. In that regard, the key questions are: i. What institutional arrangements should be put in place at central government level to best plan, coordinate, and monitor the implementation of decentralisation policies? ii. iii. iv. What institutional arrangements should be put in place at local governance level to best create a sustainable forum for involving and strengthening civil society and civil society organisations into planning of development at grass-root level? What institutional arrangements should be put in place to ensure sustainable and equitable financing of development programs at grass-root level? What institutional arrangements and incentives should be put in place to attract and retain quality staff? It is often a matter of political decision whether the implementation of the decentralisation policies should be left entirely to the bureaucrats in the ministry responsible for local government or whether a relatively independent specialised unit should be put in place and given adequate capacity to solely do the work in collaboration with the ministry responsible for local government. In Uganda, the Government decided to establish the Decentralization Secretariat which was given adequate capacity (human resources, facilities, logistics, funds, etc) that was far beyond the capacity of the Ministry of Local Government. The decentralization secretariat did a 2 Local Governance Capacity Building for Full range Participation: Concepts, Frameworks, and Experiences in African Countries. John-Mary Kauzya. New York 7

9 commendable work that can be testified to by the relative success decentralization has witnessed in the country. In Malawi also, a Decentralisation Secretariat Unit was established with the requisite capacity to: Facilitate the creation of enabling environment for Decentralization. Ensure the efficient and effective implementation of the National Decentralization Policy Provide technical support to the Department of Local Government in all areas related to the implementation of the National Decentralization Policy. Ensure that there is adequate capacity at all levels of Government to plan and manage Decentralization. Another major institutional force in capacity building for decentralisation is the professional associations as well as associations of local governments. Institutions such as the United Cities and Local Governments of Africa (UCLGA) with its regional chapters together with national associations of local government have the potential to add value to capacity building for decentralisation. In Anglophone Africa, The following association stand out as excellent centre for capacity building through peer-to-peer learning: the South Africa Local Government Association (SALGA), the Urban Councils Association of Zimbabwe (UCAZ), Association of Local Government Authorities of Kenya (ALGAK), and the Uganda Local Government Association (ULGA). Apart from institutional reforms, it is important also to engage all stakeholders as highlighted in the section below. Stakeholders and Multi-stakeholder Engagement and Collaboration Effective decentralization cannot be handled by government agencies alone. It demands the contribution of various stakeholders and their individual and collective action to bring about the desired changes. The term multi-stakeholder processes describes processes which aim to bring together all major stakeholders in a new form of communication, decision making on a particular issues. In successful multi-stakeholder partnerships, partners share risks, pool resources and talents and deliver mutual benefits for each partner. As such, they develop collective commitment and capacity to turn ideas into action. The capacity to engage in multistakeholder dialogue requires skills that can handle people of different backgrounds, perspectives, interests, and cultures and to communicated and work together effectively. In light of the complexity of decentralisation, multi-stakeholder engagement and collaboration requires effective communication, listening, networking, dialoguing, negotiation, mediating divergent, views, motivating and motivating stakeholders, which collectively build trust, confidence, patience, and mutual respect among partners civil society, private sector, development partners, etc. Partnerships Establishment of mutually beneficial partnerships between central and local governments on the one hand and non-state actors (civil service organisations, private sector, and international agencies) one the other, is an innovative way of broadening and strengthening the capacity for effective decentralisation. Over the past 20 years or so, the civil service fraternity has increased its influence not only in policy formulation but also in policy implementation, monitoring and evaluation. The United Nations in various resolutions has argued member countries to open up and work closely with civil service organisations. In 1999, the former UN Secretary General, Kofi Annan said in a speech to the World Economic Forum that: 8

10 The United Nations once dealt only with governments. But now we know that peace and prosperity cannot be achieved without partners involving governments, international organisations, the business community and civil society. In today s world we depend on each other. 3 At the international level, the Commission on Global Governance had this to say: Global governance, once viewed primarily as concerned with intergovernmental relationships, now involves not only governments and intergovernmental institutions but also NGOs, citizens movements, trans-national corporations, academia, and the mass media. The emergence of a global civil society, with many movements reinforcing a sense of human security, reflects a large increase in the capacity and will of the people take control of their own lives. 4 Capacity building measures need to be considered to equip with both government officials and civil society leaders on how to engage in multi-stakeholder initiatives. There is often lack of knowledge and skills with regard to issues such as how to: facilitate dialogue with citizens, develop a shared vision, undertake city consultations, etc. It is important to identify capacities and skills that can empower stakeholders to meaningfully participate in governance processes. Such skills include: language skills, communication and negotiation skills, group decisionmaking skills, etc. Participatory Monitoring Participatory monitoring and evaluation (PM&E) is a process through which stakeholders at various levels engage in monitoring or evaluating a particular project, program or policy, share control over the content, the process and the results of the M&E activity and engage in taking or identifying corrective actions. PM&E focuses on the active engagement of primary stakeholders. P&M differs from the conventional, monitoring and evaluation which involve outside experts who come in to measure performance against pre-set indicators, using standardized procedures and tools. PM&E seeks to engage key project stakeholders more actively in reflecting and assessing the progress of their project and in particular the achievement of results. It builds the capacity of local people to analyze, reflect and take action. In countries with high levels of administrative corruption, reliable and objective monitoring by both providers and users of government services can significantly increase the likelihood of detecting and, thereby, discouraging misconduct. Study visits Participating in study visits is another way of building and broadening capacity. It helps those who are taking part to broaden their knowledge of specific areas of concern and helps them to know how other systems are working, what challenges and constraints they are facing and how they are addressed. Box 3: Study Visits as a Training Tool: the Case of Kampala City Council, Uganda As a way of building the capacity of Kampala City Council on specific issues of governance and management, KCC organised a study visit of some councillors to Kirklees Metropolitan Council in the United Kingdom. The specific objectives of the visit were to: - Facilitate exchange of experiences between KCC as KMC on challenges faceting cities. - Facilitate building networks between the two councils. 3 Minu Hemmati (2002). Multi-stakeholder Process for Governance and Sustainability: Beyond Deadlock and Conflict, p Ibid, p.27 9

11 On return from the study visit, the Town Clerk made the following observation. The politicians have come to see things differently. I remember on one of the tours that we sent the Council Speaker. When he came back he allowed the procedure of allowing the public to air their grievances on the floor of the Council Chamber to take place. At first some of us thought that was going too far, but it has become part of our standing orders and procedures. People come to do this. They send in their complaint and air it in the Council Chamber. It is open to the press who then scream big headlines. The impact of that process is that the public has come to view the Council as their Council, not something distant and closed. Testimony from the Town Clerk Government enablement Central governments in a number of African countries have put in place legislations and institutional frameworks that are designed to promote and enhance decentralization. In principle, citizens have the right to democratically determine how they want to be governed and make choices regarding the type and quality of public services they want and how resources including funds are allocated, utilised and accounted for in the production and delivery of these services. Civil society and Civil society Organisations (CSOs) also have the right to demand to play an active role in planning, budgeting, and setting priorities for their localities. However, these developments are faced with many challenges. Box4: Enabling Laws In Mozambique, Rwanda, South Africa, Tanzania and Uganda, the laws mention explicitly that people have a right to participate in local governance. - In Uganda, Chapter Eleven of the Constitution stipulates, amongst others, that decentralization shall be a principle applying to all levels of local government and in particular, from higher to lower local government units to ensure peoples' participation and democratic control in decision making 5. - In Mozambique, Article 186 of the Constitution allows for the organization of local communities to participate in local planning and governance. - In South Africa, the Local Government Act of 1996 contains information that allows communities to play an active role in the formulation of an Integrated Development Plan (IDP). - In Tanzania the Local Government (Urban Authorities) Act of 1982 and its amendment Local Government (Miscellaneous) Act of 1998 and Regional Administration Acts of 1997(URT 1997, 1998) provides for the establishment of Mtaaa, a structure of local governance that is intended to facilitate community participation in local planning and governance. - In Kenya, the Local Authorities Transfer Fund (LATF) under the Authorities Act No. 8 of 1998 seeks to strengthen participatory development by involving stakeholder participation in local authority activities. 5 In Uganda, the design of the decentralization policy and supportive laws was guided two key principles namely; the principle of subsidiarity and the principle of integration with non-subordination. The principle of subsidiarity requires that responsibilities for all tasks should be devolved to the lowest level that can effectively manage them. The principle of integration with non-subordination is to ensure that activities of higher local governments and those of lower local governments are consistent with national objectives. 10

12 Selection of Language Another important aspect of capacity building is the selection of language to be used. In Malawi, capacity building messages are conducted in three languages namely; in English, Chichewa and Tumbuka. This give the opportunity to public to know what is going on. Resource Municipalities as agents of Change After 20 or so years of decentralisation, one can safely say that knowledge, innovative ideas and best practices reside within reform minded municipalities. In this regard, MDP-ESA has attempted to classify municipalities into: (a) resource municipalities; (b) transforming municipalities; (c) uninformed municipalities; (d) sceptical municipalities. MDP-ESA has also made deliberate effort to increase the capacity of selected municipalities in the region to enable them become active agents of change with recognised expertise and tools in specified areas to assist deserving municipalities. Box5: Municipalities as Agents of Change Resource municipalities are those in Africa and around the world that have sectoral expertise and successful practices as well as sensitivity and willingness to share their new innovative experiences with others. Reforming / transforming municipalities are those that are willing to exchange ideas, learn from others, and take bold actions to transform municipal government to be more efficient, transparent, and equitable providers of services Uninformed municipalities in the past had limited information and exposure to new ideas and innovations but are undefined to take action. Sceptical municipalities have information but are not prepared to take bold steps to undertake reforms. These municipalities are generally unsure of the implication of reform. NEW TOOLS FOR CAPACITY BUILDING Linking Technology to Local Government Capacity Building The emergence of decentralization coincided with the information and communication revolution of the 1990 s. This coincidence has brought about remarkable and profound changes in the manner in which capacity building for decentralization processes can be strengthened and made more efficient and cost effective. It has created a space within MDP- ESA to establish an inter-municipal peer-to-peer training and learning program working closely with distance learning centres and universities. Distance learning can now effectively be carried out through internet services, community FM radio stations, videoconferencing, and mobile phones. The benefits of introducing technology to capacity building include: Extending the frontiers of capacity building Assuring homogeneity and symmetry in content Capturing and disseminating best practice at a rapid rate Establishing uniform quality of capacity building standards Creating mass outreach to identify best practice in an ongoing basis Promoting both interactive peer-to-peer group learning and collective action as participants listen together and share experiences and ideas; Generating a common set of purpose in large numbers of municipal governments Listening to voices of personalities who otherwise could not be heard (e.g. Ministers, Permanent Secretaries, Civic Leaders of International Organisations, Leaders, social; 11

13 Reducing capacity building cost liberating resources for content preparation rather than delivery Through distance learning technologies an atmosphere is created which permits reform minded resource municipalities to share their experiences and to enable learning municipalities to identify their own champions and mentors and develop their action plans for improving their respective systems. Of course like any other innovation, each one these technologies has its advantages and disadvantages. This is outside the scope of this paper. It ought to be recognized that distance learning technology does not compete with conventional methods of learning but rather, complements the process to make it more cost effective. It is advisable to use both conventional and new technologies in combination to ensure maximum synergy and impact. Further, it ought to be recognised that distance learning technologies do not improve the quality or impact of existing didactic material but it permits the rapid sharing of best practices which in turn can improve the quality and tempo of learning. Box 6: Videoconferencing Since 2000, MDP-ESA has made continuous effort towards strengthening capacity building through videoconferencing as a strategy to promote inter-municipal peer-to-peer training and learning. The Africa Local Government Action Forum (ALGAF) was initiated in 2000 following the Second Edition of Africities Summit which took place in Windhoek, Namibia. It was meant to provide opportunity to local government practitioners, policy makers, researchers, trainers and development partners to share experiences and expertise with regards to improvement and strengthening of decentralised governance. The Forum is held every first Friday of the month currently linking seven (7) countries - Ethiopia, Ghana, Kenya, Rwanda, Tanzania, Uganda, and Zimbabwe, through the Global Distance Learning Network (GDLN) with financial support from the World Bank. Sessions are dedicated to different topics such as participatory budgeting, urban planning, social accountability, local economic development, HIV/AIDS issues, gender issues, peace and security, tax administration, to mention a few. Each country takes responsibility for one or two sessions during the year, while the coordination is handled by the MDP-ESA. Since 2000, about 4500 people have taken part in ALGAF. After a satisfactory experience in Anglophone Africa, ALGAF has now been launched in the Francophone Africa to cover Cameroon, Senegal, Burkina Faso, Benin, Mali and Niger. Box 7: The use of Digital Radio to reach remote municipalities in Africa In 2003 the Malawi Association of Local Governments with assistance from the Staff Development Institute (SDI) at Mpemba, under the coordination of the MDP-ESA and with financial support from the World Bank, launched an 8 module pilot to test the feasibility of using digital radio for municipal capacity building in twelve (12) municipalities in Malawi. The program was designed for mayors, local public officials, members of local communities and representatives of the civil society. MDP-ESA partnered with the World Space Foundation to transmit the program under a digital format via satellite with a footprint covering all of Africa. The program included the production of a workbook as well as complementary readings which were downloaded wirelessly by learning sites. The 12 participating municipalities evaluated the program positively. In 2004, the program was scaled up to cover four more countries namely Ghana, Kenya, Tanzania, Uganda, and Zambia. Participants listened to voices, testimonies, and messages of personalities in local government and civil society who otherwise could not be heard due to distances. It promoted both interactive group learning and collective action as participants listened together, discussed and collectively developed action plans for tackling issues related to governance, poverty, and their livelihood. More than 93% of participants reported a high degree of satisfaction with the program. For MDP-ESA, the program offered a low cost solution for reaching large numbers with key messages. To date 2400 people have participated in the program. 12

14 Music and Arts Another commonly ignored but effective means of capacity building for local government officials and civil society is through popular music and performing arts. This approach enables local government official and the public at large to know what is on the mind of the ordinary citizens especially with respect to livelihood, attitude and behaviour of public officials. In many countries, performing arts have been used to illustrate whether people are happy or not with regard to delivery of services, rates and levies and taxation in general. The discussion above show that there is a wide range of approached that can be used to establish the required capacity for effective decentralisation. Critical to these approaches is the capacity to engage multi-stakeholder and to forge partnerships. Equally important is the capacity to integrate modern technology with conventional methods of capacity building to ensure maximum synergy and impact. In the next section, we review some of the factors that influence the implementation of decentralisation policies. FACTORS INFLUENCING IMPLEMENTATION OF DECENTRALISATION POLICIES Problem Areas There is a wide range of problems associated with the implementation of decentralisation policies and these include: Conflicts over, and delays in, the approval of proposed policies; Modification of the original proposals before or after their approval; (A recent case in South Africa, whether traditional leaders should be part-time or fulltime) Long delays in the process of implementation; (The case of Zambia) Failure to implement some or all components of the programme; and Failure of the institutions to which powers are decentralised to exercise these powers efficiently and effectively. Diana Conyers identifies four institutional aspects that determine the extent to which decentralisation policies can be implemented as planned and, therefore, achieve the intended objectives. These are: the political context; the organisational capacity at national level; the capacity of local institutions; and the macro-economic environment. Political Context The political context within which decentralisation occurs has a major impact on the implementation process. This point is widely recognised, but the nature of the impact is often poorly understood. Various studies indicate that many decentralisation policies and programs falter during implementation because they are introduced with political hesitation and bureaucratic resentment and suspicion or incomprehension from the general society. In 1983, Cheema and Rondinelli concluded that lack of political will was the main reason for the disappointing record of many decentralisation initiatives in the 1970s. This was mainly because national politicians did not was to empower grass-root politicians who were considered potential rivals. This resulted into lukewarm decentralization policies with unclear objectives. 13

15 Diana Conyers points out that the issues of political will needs to be broadened to appreciate the fact that governments as institutions are composed of numerous groups with diverse interests, each with its own views regarding the form decentralisation should take, and what policies, laws and regulatory frameworks should be adopted. Moreover, it is often not in the interests of many individuals and groups who constitute the government to decentralise power, hence, disempowering them. Box 8: The cost of not reaching out Honourable Kwamena Ahwoi, a former Minster of Local Government in Ghana and now a Consultant based at the Ghana Institute of Public Management and Administration (GIMPA) in Accra, Ghana is of the view that policy reforms in Africa would remain difficult to implement as long as political parties in power do not reach out to their counterparts in opposition to involve them in initiating policy reforms. In 1998 after attending a workshop on participatory budgeting organised by MDP-ESA went back with zeal and fired up to introduce participatory budgeting in all districts and city assemblies. Three years down the line, his party was voted out of power. He helplessly saw all his innovations including the introduction of participatory budgeting being reversed by the new government. To this effect, he admitted that it was a great mistake on his part for not including members of the opposition into matters of national policy reform. Capacity of Local Institutions A lack of professional, technical or political capacity at local level is a common problem which can seriously hamper the effectiveness of a decentralisation programme. This does not mean that functions should not be decentralised, although central government agencies which are opposed to decentralisation for other reasons often try to argue to the contrary. What it does mean is that decentralisation must be accompanied by specific measures to enhance the capacity of local institutions, so that they are able to perform the functions decentralised to them. This capacity building programme should be an integral part of the implementation process. Zimbabwe provided an interesting example of a case where a concerted effort was made to develop the capacity of local government councils. In this case, the capacity building initiatives, which were supported by a consortium of external agencies, began before there were serious plans to decentralise functions. The main objectives at that time were to facilitate the implementation of a major reorganisation of rural local government and to enhance the capacity to administer the increased amount of donor funding channelled through local authorities. Macro-Economic Environment In the early 1980s many countries in Africa experienced severe macroeconomic problems, including low rates of economic growth, cutbacks in government expenditure, and increases in unemployment, poverty and inequality. These problems had a major effect on the implementation of decentralisation. The main motive for decentralisation was more of passing the buck. Many governments started implementing decentralisation policies because they wanted to divest themselves of the increasingly difficult task of providing the quantity and quality of services demanded by the electorate. Consequently, the decentralisation of functions was seldom accompanied by a corresponding increase in the financial resources or revenue raising powers of the institutions to which these functions are transferred. This in turn meant that there was little chance that decentralisation would result in any improvement in the quantity or quality of service provision, particularly for those who could not afford such services as private education and health care services. 14

16 Organisational Capacity at National Level Decentralisation is a complex process, even if it is confined to one sector or agency, but particularly if, as is often the case, it involves a number of different sectoral activities and, therefore, ministries or departments. Consequently, the implementation of decentralisation policies requires detailed planning and co-ordination, which in turn requires the establishment of organisational structures and procedures designed specifically to facilitate the implementation process. Failure to do so tends to result in very slow implementation progress, piecemeal decentralisation, and/or the decentralisation of functions without a complementary reorganisation and contraction of central government activities. Box 9: Capacity Building only as an Input Capacity building for decentralization has suffered from lack of a clear systematic approach and evaluation. Up to now, most policy makers regard capacity building a just a means or input for attainment of project objectives. There is very little attention paid to capacity building as an objective in its own right and therefore to evaluate its impact on ground. According to a World Bank Report on Capacity Building, there has been a tendency to treat capacity building simply as an input, or means to achieve project objectives. As such, there are no targets, indicators or mechanisms to trace progress or assess accomplishments against goals. There are no tracer studies of completed training or professional development programs. There is no assessment of the effectiveness of specific technical assistance interventions. To overcome the omissions, it is important to treat capacity building as an objective, not just as a means to other goals. If capacity building is an objective, it would be governed by the same analytical requirements as other project goals. As such, there would be need for adequate: Preparation: which will involve a diagnosis of current capacity, needed capacity and mechanisms to achieve the competence, output indicators, and benchmarks. Supervision: entailing regular supervision, monitoring and reporting of the results, and effectiveness of capacity building initiatives as a project component. Evaluation: which is a systematic review of the impact and outcomes of different capacity building initiatives. THE ASPECTS OF CAPACITY BUILDING FOR DECENTRALISATION IN UGANDA In Uganda, the policy of decentralization is entrenched in the Constitution as one of the principles of democratic governance adopted. Decentralization was adopted to achieve certain objectives including: (a) transferring real power to local councils; (b) promoting the people feeling of ownership of programs and projects executed in their local councils; (c) freeing local managers from central constraints; improving financial accountability and responsibility; and (d) improving the capacity of local councils to plan, finance and manage the delivery of services to their areas of jurisdictions. The decentralisation policy devolved many important fiscal, political and administrative responsibilities to local governments. This process was phased but rapid and broad-sweeping, giving local governments a significant amount of authority and autonomy over a short period of time in comparison to other countries who have implemented decentralization more incrementally. According to the National Constitution, decentralization shall be a principle applying to all levels of local 15

17 government and in particular, from higher to lower local government units to ensure people s participation and democratic control in decision making. 6 The Decentralization Statute ended the control the Ministry of Local Government had exercised over the District Executive Secretary (DES) who became answerable to the district council. Line ministries lost their control over district-level civil servants who in turn became answerable to the DESs. District Service Commissions (DSCs) acquired the responsibility to appoint, discipline, and dismiss all civil servants including the DES. Village and County chiefs were removed. Their parish and sub-county counterparts became answerable to elected officials in their localities, although as civil servants they accounted to the DES and were appointed by DSC 7. Additionally, the Ugandan Constitution allows space for civic participation, stating that every Uganda citizen has the right to participate in the affairs of government, individually or through his or her representatives in accordance with law. 8 In order to allow for effective facilitation, coordination as well as monitoring and evaluation of the implementation of the decentralization policies, the Government of Uganda put in place independent and specialised agencies to play separate but mutually supporting role. These included: The Decentralization Secretariat was established to promote and provide capacity to decentralised processes. The Local Government Finance Commission (LGFC) was established as an independent statutory body to advise the President on the distribution of revenue between and local governments and between local governments themselves, and also on conditional and equalization grants and local government sources of revenue and revenue potential. The Ministry of Local Government (MLG) itself was restructured to reform its role and become more focused on policy formulation and advice, standard setting and monitoring, mentoring and capacity building. In addition, several systems, procedures and institutions were put in place to ensure transparency and accountability in the management of public funds. The systems and procedures were elaborated in the Local Governments Financial and Accounting Regulations; the District and Urban Tender Board Regulations; and the Local Governments Public Accounts Committee Rules and Regulations. Beyond state agencies, the Government of Uganda also put in place pieces of legislations that facilitated the participation of civil society organisations in decentralisation efforts and delivery of services. National associations of local government the Uganda Local Government Association (ULGA) and the Urban Authorities Association of Uganda (UAAU), contribute to the institutional framework that ensures empowerment of local authorities in policy making. 6 Constitution of the Republic of Uganda The Republic of Uganda. September 30, 2005, Article 176-2b 7 Fredrick Golooba-Mutebi (2008). Politics and Local Government in Uganda, in Fumihiko Saito (eds) Foundation for Local Governence: Decentralisation in Comperative Perspective, p Constitution of the Republic of Uganda The Republic of Uganda. September 30, 2005, Article