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REPUBLIC OF KENYA
THE JUDICIARY
JPIP FIRST QUARTER PROGRESS WORKSHOP
REPORT, JUDICIARY TRAINING INSTITUTE
NAIROBI, KENYA
26- 27TH
NOVEMBER 2013
Prepared by: Fredrick Ombwori, Joseph Osewe and Victor Lumumba
2
TABLE OF CONTENTS
1.0 INTRODUCTION ............................................................................................................... 3
1.1 Goal and Objectives ...................................................................................................................... 4
2.0 OPENING REMARKS, Mr. Kakai kissinger, Ag CRJ ....................................................... 5
3.0 JPIP 1ST
QUARTER PROGRESS REPORT, Kennedy Mugonyi ...................................... 6
3.1 Procurement .................................................................................................................................. 6
3.2 Financial ........................................................................................................................................ 6
3.3 Implementation structures ............................................................................................................. 6
3.4 Project Management Unit ............................................................................................................. 6
3.5 Integrated fiduciary agent ............................................................................................................. 7
3.6 Challenges ..................................................................................................................................... 7
3.7 Suggestions ................................................................................................................................... 7
3.8 Plenary Discussion ........................................................................................................................ 7
4.0 PROCUREMENT, Michael Obuya ..................................................................................... 8
4.1 Procurement procedures for JPIP .................................................................................................. 8
4.2 Procurement for Training Workshops and Seminars .................................................................... 9
5.0 CIVIL WORKS, Arch John Okello ................................................................................... 10
5.1 Scope of Infrastructure works ..................................................................................................... 10
5.2 Works in progress ....................................................................................................................... 10
5.3 Rehabilitation projects initiated .................................................................................................. 11
6.0 COMMUNICATION, Nicholas Simani ............................................................................ 11
7.0 FINANCIAL MANAGEMENT AND STANDARDS, Jackson Karanja ......................... 12
7.1 Role of IFA ................................................................................................................................. 12
7.2 Processing of payments ............................................................................................................... 12
7.3 Staff payments ............................................................................................................................ 13
7.4 Imprest ........................................................................................................................................ 13
7.5 Proposals/requests ....................................................................................................................... 13
7.6 Ineligible expenses ...................................................................................................................... 13
8.0 ROLES AND RESPONSIBILITIES, Mbuba Mbungu ..................................................... 14
8.1 Specific roles and responsibilities ............................................................................................... 15
9. ROLE OF M&E IN JPIP, Kennedy Mugonyi ..................................................................... 16
10. ANNUAL WORK PLAN 2014/15, Mbuba Mbungu ........................................................ 17
10.1 Proposed time lines for 2014/15 JPIP Work plan preparation .................................................. 17
11. WAY FORWARD, Beatrice Kamau ................................................................................. 18
ANNEXES ............................................................................................................................... 19
Annex 1. Progress as at September 2013 .......................................................................................... 19
Annex 2: Planned Activities for Q2-Q4 That Commenced In Q1 .................................................... 20
Annex 3: List of Participants ............................................................................................................ 21
3
ABBREVIATIONS
Ag Acting
AO Accounting Officer
AWP Annual Work plan
CUC Court Users Committee
CRJ Chief Registrar of Judiciary
DF Directorate of Finance
DPAC Directorate of Public Administration and Communication
DSCM Directorate of Supply Chain Management
DCRJ Deputy Chief Registrar of Judiciary
HC High Court
IFMIS Integrated Financial Management System
IDA International Development Association
IU Implementing Units
IPMAS Integrated Performance Management Accountability system
ICT Information Communication Technology
IFA Integrated Fiduciary Agent
JPIP Judiciary Performance Improvement Project
JTF Judiciary Training institute
JSC Judiciary Service Commission
LPO Local Purchase Order
LSO Local service Order
M&E Monitoring and Evaluation
NCAJ National Commission of Administration of Justice
OCRJ Office of the Chief Registrar of Judiciary
PC Performance Contracting
PMU Project Management Unit
PM Performance management Directorate
PWC Price Water house coopers
Q1-4 Quarter one to four
TOR Terms of Reference
WB World Bank
4
1.0 INTRODUCTION
The Judicial Performance Improvement Project (JPIP) is financed through a credit from the
International Development Association (IDA). It is a six year project estimated to cost
US$120m. The objective of the project is to strengthen the capacity of the judiciary to deliver
justice expeditiously, effectively, transparently and in an accountable manner. The project
became effective on 30th
April, 2013 and officially launched on 30th
July, 2013.
The JPIP 1stquarter report workshop was held on 26-27
th November, 2013 at the Judiciary
Training Institute, Nairobi. It was organized and facilitated by the JPIP, Performance
Management Unit (PMU), Integrated Fiduciary Agent (IFA) and attended by JPIP
implementing units.
Mr. Mbuba Mbungu, Operations and Procurement Consultant welcomed participants to the
workshop and asked them to individually introduce themselves before inviting Ag Chief
Registrar of the Judiciary for his opening remarks.
1.1 Goal and Objectives
The workshop was organized to share a draft report on the status of implementation of JPIP
for the 1st quarter of 2012/2013 Financial Year, discuss operational issues and understand
roles of various implementing units. The specific objectives were as follows:-
Presenting first quarter M&E draft report to stakeholders for review and comments to
enable finalization of the report.
Identifying whether planned and implemented activities are producing the intended
results
Providing early warning of any potential problems/challenges encountered and
recommending mitigating measures
Discussing operational areas that are not very clear that for example lead to late
submission of requests from the implementing units
Capacity building for the implementing units on requisite project skills (procurement,
financial operations and Monitoring and Evaluation
The workshop demonstrated clear links and synergies between implementing units.
5
2.0 OPENING REMARKS, Mr. Kakai kissinger, Ag CRJ
Mr. K Kissinger, Ag Chief Registrar of the Judiciary, during his opening remarks expressed
gratitude to all the implementing units for their continued resilience in rolling out the planned
activities of JPIP. He underscored the importance of the review meeting of the project in
enabling the implementing units assess their performance and identify areas of improvement.
He noted with concern that the progress made in the first quarter of implementation of the
project is not impressive keeping in mind the annual targets. He asked the implementing units
to make concerted efforts to ensure timely requests for approval for purposes of proper and
speedy implementation of the project.
He implored participants to understand project objectives, components and activities and
relate them to Judicial Transformation Framework. He informed members that
implementation of the project as well as planning and budgeting will be coordinated by PMU
and will be supported by IFA. He asked the participants to support the units in providing
information and liaising with them in order to ensure smooth implementation of the project.
Communication which is vital in any program implementation needs to be enhanced and
sustained according to the Ag CRJ.
The progress report will be shared with the JSC and all implementing units who were
encouraged to give timely comments to enrich the process. He emphasized that the PMU is
the engine of the project and should always be consulted in the event of any constraints.
Additionally, he reminded the units that the program is supposed to run for six (6) years and
that one year has elapsed and the performance of the implementing units assessed and ranked
accordingly. Some of the worst performing units include Supply Chain Directorate, Office of
the Chief Justice, office of the Deputy Chief Justice, Office of the Chief Registrar of the
Judiciary (OCRJ), Judiciary Transformation Framework (JTF) secretariat and
Ombudspersons Office while some of the best performers include, Performance Management
Directorate, National Commission on Administrative Justice (NCAJ), and Office of the
Deputy Chief Registrars of the Judiciary (DCRJ’s).
According to the report of Ksh2.1 billion allocated for the first year, only Ksh63 million
representing 0.3 % has been spent hence the conclusion that overall implementation process
is not on track as intended.
The poor performance according to the Ag CRJ can be attributed to operational challenges
including the length of time taken by World Bank to give the No Objection, the lengthy
procurement process, operational issues and the lengthy time taken to access funds from
Treasury.
In conclusion he urged all the implementing units to continually engage and consult the PMU
and amongst themselves when faced with challenges.
6
He noted that some of challenges that have greatly impacted the implementation of JPIP
programs include the recruitment of the Project coordinator with continued objection from
the World Bank.
3.0 JPIP 1ST
QUARTER PROGRESS REPORT, Kennedy Mugonyi
According to the annual work plan the Judiciary committed to implement 154 activities in 9
key result areas and 13 indicators. The Court Administration component had 87 activities,
case management 6, Judiciary Training and Development 18, Court infrastructure 39 and
Project management 4.
Sixty eight (68) activities were scheduled to be implemented in the first quarter, of which 52
are under court admin & case management, 7 under judiciary training and development, 5
under court infrastructure; and 4 under project management. 9 activities (13%) were planned
to be completed in quarter 1 out of which 7 were completed. Activities started and scheduled
to complete in Q2, Q3 and Q4 are 19, 14 and 26 respectively.
Overall 48% of the work plan activities have commenced in which 44% are at less than 25%
implementation. Only 4% were achieved that is development of Court Users Committee
(CUC) policy and Guidelines, designing and implementing a training curriculum in change
management, streamlining of registry systems processes and structures of the High Court’s,
establishment of PMU and IFA, development of transformation magazine and one capacity
building for IUs.
3.1 Procurement
Seven (7) contracts were at bid preparation stage, 3 contracts were at bid evaluation stage and
1 contract for technical assistance to develop Integrated Performance Management and
Accountability System (IPMAS) and an Annual Staff PerformanceReview system was in the
short listing stage.
3.2 Financial
The total budget for 2013/14 is Kshs2,601,688,302 out of which 27% is allocated court
administration, 13% case management, 11% judiciary training and staff development, 44%
infrastructure and 5% Project Management. A total sum of US$ 619,339 of the project
financial advance has been spent since the project started. Consisting of US$ 484,349 used on
preparatory technical assistance, and US$ 134,990 used on training and development in the
design of the project. These funds had not been expended on goods.
3.3 Implementation structures
The Project Technical Committee has been set up and has been providing quality assurance
and overall technical guidance for the project. It approved the 2013/14 JPIP work plan and
budget and transmitted to the World Bank and is overseeing the implementation of the project
in line with the finance agreement.
3.4 Project Management Unit
It was established and coordinates day to day implementation of the project and provides
monitoring, evaluation, reporting, communication as well as technical guidance on civil
engineering and architectural matters relating to court construction.
7
3.5 Integrated fiduciary agent
It was established however, has been understaffed. Required to have 5 staff but only 2 are
currently in the project. The WB has cleared PWC’s request to substitute 3 IFA staff that
were not able to take up their positions in June 2013. The IFA staff are expected to report in
December, 2013
3.6 Challenges
Delays in approvals - It is noted that the project has initiated processing of major contracts
that are also subject to World Bank approval. Unfortunately, approvals and review takes time,
making it difficult for the Project to live up to the timelines on the Work plan and
Procurement Plan.
Internal constraints - On the other hand, internal constraints also cause delays; these include
late submission of specifications, TORs, and cost estimates by implementing units to supply
chain management, formation of various committees, completion of evaluations, and
approvals by Tender committee.
Financial Bottlenecks - Bottlenecks in disbursement and thereby accessing funds result into
delays in project implementation. It is therefore critical that any future deadlocks that could
delay disbursement and thereby utilization of funds be resolved quickly.
3.7 Suggestions
Timely Planning - Timely planning remains critical in improving implementation and
absorption rates. Therefore, there is need for project implementing units and agencies at all
times to undertake timely planning in order to ensure early commencement of activities.
Capacity building - Weaknesses in capacity particularly on requisite project skills can pose a
challenge on timely implementation of activities. Therefore there is need for capacity
building in critical project skill areas of planning, budgeting, implementation, reporting and
M &E.
Focus on judicial performance - Activities proposed for work plan should be well thought
out and prioritized based on how they contribute to the project objectives. Careful planning,
sequencing of activities is critical to ensure performance and improvement.
Increased dedication and commitment - Participatory approach in implementation and
cooperation among the implementing units is key in the success of the project. To promote
this, there is need for constant dialogue among the players in the project.
Communication and flow of information - To facilitate improved project implementation
and coordination, continuous communication and flow of information between implementing
units, PMU, IFA and the World Bank should be enhanced and speeded up.
3.8 Plenary Discussion
Inadequate communication on implementation of the project by various implementing units
especially supplies chain management, finance and accounts. It was resolved that finance
should generate a summary of utilization of funds and circulate to all units every month.
8
It was noted that the indicators in the annual work plan were not understood as well as were
not widely consulted. It was agreed to have a meeting on 24th
January 2014 to engage the
indicators.
On procurement participants agreed to initiate the process in time especially those with no
financial implication. in time so that they can utilize the funds
4.0 PROCUREMENT, Michael Obuya
Procurement forms a major part of JPIP and must carried with due care. Failure in this area
means failure of the whole project. It should be carried out with due attention to economy,
efficiency and transparency. To effectively conduct this process, we need to be committed,
motivated and knowledgeable. In JPIP context it involves procurement of goods, works and
services. Contract packages in the procurement plan are linked to units work plan.
Procurement is only done as per procurement plan except items for training and other
operations. A procurement contract is between the Judiciary and a supplier a contractor or a
consultant. It is done by competition, negotiation or direct purchase.
4.1 Procurement procedures for JPIP
World Bank procedures - Are used for all Goods contracts over US$ 500,000 (SH 42.50
Million], all works contracts over US$ 5.00 million (SH 425.00 Million], all Procurement of
Consultants.
National procurement procedures- Are used for all Goods contracts between US$ 80,000-
500,000 (SH 6.8-42.5 million], all works contracts between US$ 80,000- 500,000 (SH 6.80-
425.00 million], request for quotations to be used for all contracts below US$ 80,000 [SH
6.80 Million].The National procurement procedures are guided by the public procurement
and disposal act (2005), regulations (2006) and a general procurement manual. The
exceptions are provided in the PAD Page 51 &51 and Financing Agreement Page 13.
Information required for procurement
i. Schedule of requirements – goods, works, services
ii. Cost estimates - every contract package
iii. Specifications - Goods
iv. Drawings and Tender Documents- works
v. Terms of reference – consulting services
Procurement stages requiring attention i. Short-listing consultant firms
ii. Bid and proposal evaluation
iii. negotiations
iv. Contract supervision
v. Payments
vi. Disputes
Important Documents in procurement
i. Annual work plan and Procurement plan
ii. Internally generated project progress reports
iii. Latest project supervision mission reports, including aide memoirs
iv. Communications from project management
v. Newspaper and other JPIP-related reports
9
Because procurement process is so lengthy, there is need for Planning, by preparing annual
work plans and procurement plans. There is also need for budgetary adequacy and cash
releases, cooperation with others. The roles of Judiciary staff are to prepare procurement
plan, prepare and issue bidding documents, inviting bids/proposals, receiving and evaluating
bids/proposals, awarding contracts and supervising implementation of contracts.
The role of the World Bank in the process is to supervise the process by reviewing
procurement plan, advertisement notice, bidding documents [goods/works] and request for
proposals, bid and proposal evaluation reports – proposed contract awards, draft contracts,
contract amendments, performance on contracts and other procurement matters to ensure
compliance with credit agreement and ex-post procurement.
4.2 Procurement for Training Workshops and Seminars
Procurement is one of the most important processes that will ensure the JPIP is successful.
80% of the activities involve procurement which is governed by the procurement Act that
describes procurement cycle. This cycle includes Need Recognition; Referring to the Project
AWP/Procurement Plan; Funding Approval; Service Provider Selection; Procurement
Evaluation; Contract Award; Placement of a Purchase/Service Order; Contract Management;
and Record Maintenance.
According to the work plan each implementing unit has a number of trainings lined up to
conducted within the first year of implementation of JPIP as listed below; DPAC-
2;OCJ/ODCJ-2; OCRJ-2; ODCRJ-3; JSC-3; JTI-3; DF- 3; DSCM-2; CAO-2; HC-1; *PMD-
1; ICT- 1; RMC-4.Consequently all procurement requests should be done in conjunction with
JPIP procurement specialists.
Before any implementing unit makes any procurement request, the following needs to be
adhered to avoid any delays. First, the requisition must include the type of training, number
of participants, location (town), duration and facilitators’ names. This should be submitted in
two or three weeks for local and international training respectively to the project coordinator.
Secondly, the budget for the training should be broken down and comply with the JPIP
annual work plan.
The procurement rules that have been put in place allows only for the requisition of the
venue, transport, training material and facilitators/ consultants. The government owned
venues must be legally and financially autonomous, operating under commercial law, and
should not be dependent on the government.
After the conclusion of the training, for payment to the suppliers, the implementing unit in
conjunction with IFA and PMU must have the following Approved Requisition; Invoice;
Signed daily attendance list; Daily room list from hotel; Activity report; quotations and
comparison report and Signed minutes of the Tender Committee or Procurement Committee.
In addition to this , per diem will only be payable in events that are more than one day and
will be governed by the respective judiciary and government payment rates that are eligible
under the world bank guidelines. The anticipated reimbursable expenses should be included
in the budget or will not be reimbursed at all. For all these to be successful, the implementing
units need to make timely and planned requests that take into consideration their preferences
10
5.0 CIVIL WORKS, Arch John Okello
Civil works is covered under Judiciary Transformation Framework 2012-2016 Pillar 3, on
provision of adequate financial resources and physical infrastructure and Pillar 4, on
harnessing technology as an enabler for Justice since the Courts have to be fully equipped
with adequate ICT infrastructure. Court Infrastructure means buildings and permanent
installations necessary to modernize the Judiciary. This includes constructions of ten new
courts, rehabilitation of thirty courts, inclusion of ICT in sixty eight courts, and setting of a
building unit.
The main reasons why Courts are constructed are to better functional performance, enhance
security, comfort, health and access, improve efficacy and rationalization of space, greater
strategic, transparency and management capacity for capital investments. The infrastructure
work for the World Bank project covers the below mentioned areas
5.1 Scope of Infrastructure works
SNo. Scope Type of court Number Cost
1. Construction High Courts 8 US$
277.2m/Court Magistrate Courts 2
2. Rehabilitation Magistrate Courts 30 US$ 9m/Court
3.
Existing Courts for installing ICT and
Refurbishment of demountable
buildings
-
20 US$ 6m
4 Building services unit - - US$ 2m
5.2 Works in progress
Location Type of
court Contract sum
Start
date
Due end
date Remarks
Kangema Magistrate
Court Kshs17,093,631.00 8/07/2013 16/12/2013
45 % complete,
Additional Works to
accommodate fencing and
a new Administration
Block are to be tendered
separately
Kitui County
High Court Kshs57,581,327
Work done 0%,
Additional Works to
accommodate: Fencing
are to be tendered
separately
Projects to be constructed which have been initiated include Siaya, Kakamega, Olkalau, Nanyuki,
Nakuru, Kajiado, Mombasa, Wajir, Garissa High Courts, and Kabete, magistrate Court
11
5.3 Rehabilitation projects initiated
Cluster A
LOCATION COURTS CHAMBERS
Engineer 2 2
Kigumo 2 2
Chuka 4 4
Cluster B
LOCATION COURTS CHAMBERS
Molo 3 3
Nyando 3 3
Vihiga 4 4
Cluster C
LOCATION COURTS CHAMBERS
Oyugis 3 3
Muhoroni 2 2
Nyamira 4 4
Cluster D
LOCATION COURTS CHAMBERS
Makueni 4 4
Makindu 3 3
Mukurueini 3 3
Kibera 10 10
The following are the court facility problems identified in 2009
i. Lack of space for important court functions in many buildings
ii. Inadequate number of courtrooms and size
iii. Inadequate storage space for evidence and records
iv. Lack of space for libraries
v. Inadequate space for remanded defendants, including lack of separate facilities for females,
males, and juveniles
vi. Inadequate space for services such as help desks, court-annexed mediation, small claims
courts
vii. Inadequate building capacities for automated and sound recording equipment
viii. Inadequate security, including lack of separated internal building circulation for judges,
public, and defendants in remand
ix. Lack of public amenities, such as handicap accessibility and restrooms.
x. General building deterioration and structural problems affecting functionality, health, and
safety
xi. Long distances and travel times to available courts for many citizens
6.0 COMMUNICATION, Nicholas Simani
Communication is the life line of an organization and must at all times be credible. The cornerstone of
credibility is integrity and the foundation of integrity is constant and complete consistency of flow of
relevant communication and performance. The Judiciary must be an organization that is seen, heard
and felt as an institution that is geared at improving quality of service at all times.
12
Recent surveys indicate that 70% of Kenyans have confidence in the Chief Justice while 84% still
believe that the courts are dispensing justice with 77% preferring to use the courts to resolve their
disputes. This however is coupled with some dislikes including delay in handling cases, easily
corruptible staff and poor working environment. This therefore calls for a good communication
strategy that will help disseminate information about the progress of JPIP to both the internal and
external publics.
This can be done using media briefs to enhance relationships with the media houses, Infomercials,
documentaries, features, brochures, periodic e-magazines and calendars. Other activities that are being
undertaken to enhance communication include the revamping of the Judiciary Website to be all
inclusive and comprehensive, development of Judiciary Cooperate service charters from which all
other directorates can draw their respective from and the use of Mahakama football club in
communication and advocacy. All these are supposed to enhance corporate ownership, commitment,
trust, access to information, accountability, transparency and availability of feedback on the
implementation outcomes.
The scope of work of the communication consultant include; Identifying events on JPIP that require
packaging for dissemination to the media and to the public; Advice the Judiciary on the best media
practices which promote good Judiciary relations; Gather information on the project’s success story
and the themes that can be used in communication campaigns; Enhance Media
relations/briefings/press releases; and produce appropriate infomercials, documentaries, features
articles on Judiciary programmes and activities with the hope of improving the visibility of JPIP on
improving service delivery by the judiciary.
7.0 FINANCIAL MANAGEMENT AND STANDARDS, Jackson Karanja
7.1 Role of IFA
IFA is responsible for the procurement and financial management of the project, on behalf of
the Judiciary. It assists in capacity building, support and knowledge transfer to judiciary staff.
It also assists in preparing annual budgeting, based on the AWP, manage the project’s bank
account, preparing the annual financial statements, IFRs and IDA credit withdrawal
applications for submission by the Judiciary to World Bank through Finance. Processing
disbursements, expenditure control, reconciliation of project bank account, and overall
expenditure control systems for the project, preparing regular financial reports for auditing on
timely basis and prepare appropriate financial procedures.
7.2 Processing of payments
Implementing units will be required to raise requests or proposal to the Project Coordinator
for approval. Once approved will be submitted to IFA for onward submission to procurement
and Accountants for imprest processing. In case of goods and services procurement will
requests for bids or quotations. Procurement will oversee the bidding process and will notify
successful bidders. It will raise LPO/LSO for successful bidders for the Project Coordinator
and head of IFA approval. The successful bidders will raise invoices, which the IFA
accountant will validate and payment will follow the normal process of voucher preparation,
examination, vote book etc. Finally payment will be forwarded to G-Pay 1 and 2 for approval
and payment. Once payment is made IFA accountant informs suppliers, stamps the invoice
PAID and files the PVs. IFA accountant posts Payment Voucher to the cash book.
13
7.3 Staff payments
Staff submits claim/request to Project Coordinator approval. Once approved it is submitted to
IFA accountant. IFA accountant checks and sends it to the invoice. Payment goes through the
same stages listed above as for the suppliers.
Per diems - Per diems will be processed as imprests. Judiciary staff travelling outside Kenya
will be paid as per memo ref. JSC 1/2 of 23.12.2011 and within Kenya will be paid as per
letter ref. JSC 1/2 of 9.8.2011. Non judiciary staff will be paid as per the relevant GoK
circulars.
Workshop support and travel - Venue invoice, LPO/LSO, Signed daily attendance list,
daily room list from hotel and Activity report are required. On transport a work ticket for
local transport and boarding passes and copy of passport required showing exit and entry.
Trainings - The AWP must specify the type of training, Purpose, Personnel to be trained,
Institution or individual who will do the training, Location and duration and cost. Staff
trainings should follow the internal procedures and approvals
7.4 Imprest
Imprest is a cash advance or float authorized by the Accounting Officer (AO) to be issued to
officers whose payments cannot be conveniently be made through the cash office. Holder of
temporary (safari) imprest should account for it within 48 working hours after return to duty
station. Foreign travel should be supported by the boarding pass or passport copy and receipts
for ground transport. Local imprest (other than per diem) should be supported by receipts of
the actual costs and work tickets. Perdiem should be supported by the work tickets
Processing of imprest - User requests vide proposal/ budget. PC approves. IFA checks and
forward for processing. Imprest warrant filled and signed by holder, Warrant is signed by
Accounts section. Imprest invoiced in IFMIS. Imprest is validated and forwarded for payment
and Imprest paid via G-Pay.
7.5 Proposals/requests
Should be submitted to PC two weeks in advance. PC approves and forwards them to IFA.
Directorates should ensure that the activity is in the approved AWP & B. For workshop
venues, the facilities required should be stated. Venues, unless there is adequate justification,
should be at the JTI.
Contents of proposal - Should have an introduction, objective(s) of the activity, expected
outputs, budget. It should also indicate TORs for consultants/facilitators, proposed dates and
itinerary and travel dates. Component and Name of imprest holder should be provided.All
procurements should be ready two days before start of activity and Imprest should be ready
one day before start of activity.
7.6 Ineligible expenses
Salary top ups. Sitting allowances (for attending workshops, project steering committee
meeting, other committee meetings, etc). Honorarium (payments for services performed in
committees, meetings, workshops, etc) and Internal consulting of public and civil servants
currently on government payrolls.Sitting allowances, honorarium etc to consultants financed
under a project.
14
8.0 ROLES AND RESPONSIBILITIES, Mbuba Mbungu
The roles and responsibilities of implementing units was made by Mr. Mbuba Mbungu,
Operations and Procurement specialist, JPIP. He underscored the fact that procurement forms
the major part of JPIP in terms of financing and activities. In this regard, it must be done with
due diligence and in a transparence manner. This therefore calls for development of annual
procurement plan. Failure in procurement is actually failure in the whole Project.
Procurement must be negotiated and done competitively. However, we have instances where
it can be done through individual sourcing. World Bank rules will apply for All Goods
contracts over US$ 500,000 (SH 42.50 Million], All Works Contracts over US$ 5.00 million
(SH 425.00 Million]. National procedures will apply for Goods contracts between US$
80,000- 500,000(SH 6.8-42.5 million], all Works Contracts between US$ 80,000-500,000
(SH 6.80-425.00 million]. Request for quotations will be for contracts below US$ 80,000 (SH
6.80 Million).
Information required for procurement include schedule of requirements, cost estimates,
specifications, works and terms of reference. The Procurement processing stages requiring
attention are Short-listing consultant firms, Bid and proposal evaluation, negotiations,
Contract supervision, Payments and disputes.
The major challenge facing procurement is the long procedures. In order to address this there
is need to ensure timely planning, reduce internal bureaucracy, institutional rules and
procedures, arrangements, ensure budget adequacy and cash releases and ensure cooperation
with others.
Role of judiciary staff - solely responsible for procurement, prepares procurement plan,
prepares and issues bidding documents, invites bids/proposals, receives and evaluates
bids/proposals, awards contracts and supervises implementation of contracts.
On the other hand the role of world bank will include supervision of process, assists borrower
in preparation of projects, provide procurement training, review of procurement plan, bidding
documents, Bid and proposal evaluation reports, draft contracts, Contract amendments,
Performance on contracts and other procurement matters to ensure compliance with credit
agreement.
In addition it verifies withdrawal applications prior to disbursements, monitors procurement,
addresses complaints from firms on procurement matters and declares misprocurement.
Plenary
In order to fast truck procurement of goods and services participants proposed that the
tender committee of the Judiciary should meet more often than twice a month.
Participants suggested to having feedback on the status of procurement of their
requests monthly by PMU.
15
DAY TWO
Day two begun by having a recap of roles and responsibilities of implementing units on
procurement.The session was designed to allow participants time and opportunity to reflect
on the purpose or definition of their role, their role within the project team and interactions
with key stakeholders.
8.1 Specific roles and responsibilities
S/NO ACTIVITY RESPONSIBLE PARTY
START-UP OPERATIONS
1 Prepare Schedules of requirements and Budget IMPLEMENTING UNIT
2 Prepare General Procurement Notice if need be IFA
3 Preparation of the Procurement Plan IFA
4 Open and keep a procurement file for each contract IFA
PRECONTRACT OPERATIONS
5 Prepare specifications, TORs, cost estimate of the contract
package and send to Procurement
IMPLEMENTING UNIT
6 Prepare and have approved Bidding/Proposal
Documents
a)Goods IFA
b)Works contracts IFA/ PMU
c)Consulting Services IFA
7 Advertise for bids or Expression of Interest or
Prequalification
PIFA
8 Constitute Bid/Proposal Evaluation Committee IFA
IMPLEMENTING UNIT
9 Prepare a short-listing report for selection of consultants IFA
IMPLEMENTING UNIT
10 Prepare a shortlist of suppliers for an RFQ contract IFA
11 Prepare a shortlist of contractors for a small works contract PMU Engineer
12 Open bids/Proposals IFA
Evaluate Bids/Proposals IFA
IMPLEMENTING UNIT
13 SUBMIT APPROVAL REQUESTS TO:
a)HEAD OF IMPLEMENTING UNIT IFA
b)TENDER BOARD IFA
c)WORLD BANK PMU
14 Approve proposed contract award Tender Board.
Which one?
15 Prepare notification of proposed contract award IFA
16 Issue notification of proposed contract award Secretary to the tender
committee
17 Prepare contract documents IFA
18 Contract Negotiations IFA/ Tender Processing
Committee
19 Signing of Contracts Accounting Officer
CONTRACT MANAGEMENT
20 Mobilize Supplier, contractor, Consultant IFA
21 GOODS:
Place orders and supervise delivery
IFA
Receive goods and certify delivery Tender processing committee
Certify invoices/payments IMPLEMENTING UNIT/IFA
Deal with Disputes IFA
16
IMPLEMENTING UNIT
Certify Contract completion IMPLEMENTING UNIT/IFA
19 WORKS: Supervise works PMU ENGINEER
Approve valuations and Payment certificates PMU ENGINEER
Deal with Disputes IFA
PMU
IMPLEMENTING UNIT
Certify Contract completion PMU ENGINEER
IMPLEMENTING UNIT
20 CONSULTANT SERVICES: Supervise assignment IMPLEMENTING UNIT
Receive, evaluate and certify consultant’s deliverables IMPLEMENTING UNIT
Certify payments IMPLEMENTING UNIT
Deal with Disputes IMPLEMENTING UNIT
IFA
Certify Contract completion IMPLEMENTING UNIT
MAKE PAYMENTS
21 Receive and certify invoice IMPLEMENTING UNIT
22 Make Payments IFA/ ACCOUNTS
CONTROLLER
23 Prepare a performance evaluation Report IFA
IMPLEMENTING UNIT
9. ROLE OF M&E IN JPIP, Kennedy Mugonyi
The presentation covered what M&E is all about including definition of key terms. The M&E
approach for the project was presented. Results Based Monitoring and Evaluation will be
used to track implementation of the project. This is guided by the development of a results
chain. It was emphasized that focus will be on achievement of outcomes and results as
activities and outputs do not necessarily imply that the desired outcomes and results have
been realized. The process will include stakeholders in setting targets and indicators. The
stakeholder involvement will assist in gathering of information and increased understanding
of their roles and expectations.
The M&E report will assist in planning and clarifying the objectives of the project, drawing
lessons from activities implemented, providing early warning of any potential problems,
feedback on performance of project, establishing whether planned and implemented activities
are producing the intended results.
The following steps will be followed in undertaking M&E. Readiness assessment, agreeing
on the outcomes to monitor and evaluate, selection of key indicators to monitor outcomes,
establishing baseline data for the indicators identified, selecting results targets, monitoring
results, midterm evaluation, reporting findings, using findings and assistance on sustaining
M&E system within the Judiciary.
Six supplementary indicators outside the results framework were proposed that can measure
changes in accountability of judicial officers. They include case clearance, employee
engagement rate, reduction in time taken to retrieve/access a document in the project courts,
corruption eradication, rate of performance based on IPMAS and court productivity.
17
The implementing units will be required to identify required baselines where not available,
provide regular information on progress made, information on outputs and whether they
contribute towards achievement of outcomes and gathering information for M&E.
It was noted that an impact evaluation will be done on an identified project intervention. It
was stated that Impact evaluation is aimed at providing feedback to help improve the design
of programs and policies because it helps in attributing observable changes onto an
intervention.
10. ANNUAL WORK PLAN 2014/15, Mbuba Mbungu
A work plan is an outline of a set of goals and processes by which a team and/or person can
accomplish those goals, Offers a better understanding of the scope of the project. Work plans
help in organizing while working on projects. Through work plans, you break down a process
into small, achievable tasks and identify the things you want to accomplish.
Key steps for preparation of the work plan was also presented including determination of
goals and objectives, resources available, responsibility, anticipated risks and constraints etc.
In addition, highlights on financial agreement requirements for preparing the next JPIP work
plan were presented.
Format - The objective of having a detailed work plan structure is to have a traceable
pathway from inputs to activities and activities to outputs, and performance against
objectives, using indicators and available evidence. The following is the format of the annual
work plan.
ACTIVITY OBJECTIVES PERFROMANCE
INDICATOR
OUTPUTS INPUTS ESTIMATED
COST KSHS
10.1 Proposed time lines for 2014/15 JPIP Work plan preparation
ACTIVITY DATE RESPONSIBILITY
1. Guidelines issued for Annual Work
plan (AWP) preparation 15
th Dec 2013 PMU
2. Preparation of Draft WP by IUs 16
th/12/2013 –
4th/2/2014
IUs
3. Submission of draft WP by IUs 4th Feb 2014 IUs
4. Compilation of draft WP 4th -15
th Feb 2013 PMU
5. Workshop to discuss & prioritize
work plan activities 16
th Feb 2014 PMU
6. Incorporation of comments &
finalization of WP 16
th – 20
th Feb 2014 PMU
7. Endorsement of AWP and approval
by PTC 22
nd Feb 2014 IUs/PTC
8. Submission of AWP to WB 25th Feb 2014 PD
18
11. WAY FORWARD, Beatrice Kamau
a) Annual work plan is key tool for planning and implementation of project activities. Implementing
units are required to develop them as per the schedule and shall align them to the project
document as well as the Judiciary Transformation Framework.
b) Improve utilization of project funds by fast tracking implementation of activities and timely
request for approvals
c) During supplementary budget, to review project budget downwards by removing activities which
will not be completed or implemented within the remaining six months
d) To discuss with World Bank, key challenges hindering timely implementation of projects such as
delay in approval of requests and allowances.
e) In order to realize the objectives of the project and achieve the targets implementing units to
develop and submit proposal for approval in time. They will also use available guidelines on the
processing of proposal and requisition of funds to avoid delays and rejections.
f) Implementing Units to adherence to government financial rules and regulations in order to avoid
audit queries. Implementing units to use available guidelines in the processing of funds,
procurement among others.
g) Implementing units to support PMU and IFA in providing information and liaising with them in
developing work plans, budgets and making requests.
h) The M&E to circulate progress reports on status of implementation of the project more especially
activities as well as utilization of funds to all implementing units monthly.
i) Finally all implementing units to remain committed in implementing the project and support IFA
and PMU in order to get value of money from the project.
END
19
ANNEXES
Annex 1. Progress as at September 2013
COMPONENT
PLANNED
ACTIVITI
ES
TAR
Q1
ACHEV
Q1 REMARKS
COURT ADMIN
Technical
Assistance 4 3
Completed with funds from GIZ
TA to develop sensitization
materials on public complaints
procedures not done
T&SD 2 1
Development of transformation
magazine (mageuzi news)
achieved
Holding speaker forums for
Judges of the Supreme Court
and invite speakers to share
their experiences as well as
engage academia on several
issues not done
CASE
MANAGEMENT
Technical
Assistance None NA
Nothing planned to complete in
Q1
T&SD None NA Nothing planned to complete in
Q1
JUDICIARY
TRAINING AND
DEVELOPMENT
Technical
Assistance None NA
Nothing planned to complete in
Q1
T&SD None NA Nothing planned to complete in
Q1
COURT
INFRASTRUCTU
RE
Technical
Assistance None NA
Nothing planned to complete in
Q1
Training &
other
operational
None NA Nothing planned to complete in
Q1
PROJECT
MANAGEMENT
Technical
Assistance 2 2 PMU and IFA established
Training &
other
operational
1 1 1 Training for IUs conducted
20
Annex 2: Planned Activities for Q2-Q4 That Commenced In Q1
COMPONENT PLANNED ACTIVITIES TAR Q2 TAR Q3 TAR
Q4
COURT ADMIN
Technical Assistance 13 10 8
T&SD 2 3 7
CASE MANAGEMENT
Technical Assistance 1 1 1
T&SD 0 0 0
JUDICIARY TRAINING
AND DEVELOPMENT
Technical Assistance 2 0 3
T&SD 0 0 2
COURT INFRASTRUCTURE
Technical Assistance 1 0 4
Training & other operational 0 0 0
PROJECT MANAGEMENT
Technical Assistance 0 0 0
Training & other operational 1 1 1
TOTAL
19 14 26
21
Annex 3: List of Participants
1. CHRISTINE OGARI JTI
2. LUCY NJARAMBA SUPREME COURT
3. JUDY OMANGE HIGH COURT
4. CATHERINE MUGOYA JTI
5. ONESMUS NZOMO JTI
6. JULIE OSEKO JTI
7. JACKSON KARANJA IFA
8. JOHN OKELLO PMU
9. STEPHEN NJEHIA JPIP
10. MBUBA MBUNGU JPIP
11. HELLEN MUSYOKI SUPREME COURT
12. KAKAI KISSINGER SUPREME COURT
13. MARTIN OKWATTA SUPREME COURT
14. GRACE OTERA SUPREME COURT
15. MICHAEL OBUYA IFA
16. LILLY ODUNDO SUPREME COURT
17. ANDREW KIARIE SUPREME COURT
18. ANN ASUGAH SUPREME COURT
19. PETER MULWA SUPREME COURT
20. BETH GITAU PMU
21. ELSIE NJUGUNA NCAJ
22. NEWTON KIPLAGAT JPIP
23. NICHOLAS SIMANI PMU
24. CAROLYN MAKANA COURT OF APPEAL
25. JOSEPH OSEWE PERFOMANCE MANAGEMENT
26. FREDRICK OMBWORI PERFOMANCE MANAGEMENT
27. LUMUMBA VICTOR PERFOMANCE MANAGEMENT
28. KENNEDY MUGONYI PMU
29. EDWIN MURETI JSC
30. ANGELLA MANYALLA SUPREME COURT
31. BEATRICE KAMAU SUPREME COURT
