Dokolo District

Local Government Performance Assessment

Dokolo District

(Vote Code: 575)

Assessment Scores

Accountability Requirements %

Crosscutting Performance Measures 63%

Educational Performance Measures 63%

Health Performance Measures 70%

Water & Environment Performance Measures 71% 575 Accountability Requirements Dokolo 2019 District

Summary of Definition of No. Compliance justification Compliant? requirements compliance Annual performance contract 1 Yes LG has submitted an • From Dokolo DLG submitted the Annual Performance annual performance MoFPED’s Contract on 25th July, 2019. This was within the contract of the forthcoming inventory/schedule MoFPED adjusted submission deadline of 31st year by June 30 on the of LG submissions August, 2019. Therefore, the LG was compliant. basis of the PFMAA and of performance LG Budget guidelines for contracts, check the coming financial year. dates of submission and issuance of receipts and:

o If LG submitted before or by due date, then state ‘compliant’

o If LG had not submitted or submitted later than the due date, state ‘non- compliant’

• From the Uganda budget website: www.budget.go.ug, check and compare recorded date therein with date of LG submission to confirm.

Supporting Documents for the Budget required as per the PFMA are submitted and available 2 Yes LG has submitted a Budget • From Dokolo DLG submitted the Budget that included the that includes a MoFPED’s Procurement Plan for the FY 2019/2020 on 25th July, Procurement Plan for the inventory of LG 2019. This was within the MoFPED adjusted forthcoming FY by 30th budget submission deadline of 31st August, 2019. June (LG PPDA submissions, Regulations, 2006). check whether:

o The LG budget is accompanied by a Procurement Plan or not. If a LG submission includes a Procurement Plan, the LG is compliant; otherwise it is not compliant.

Reporting: submission of annual and quarterly budget performance reports 3 Yes LG has submitted the From MoFPED’s Dokolo DLG submitted the Annual Performance annual performance report official Report for the previous FY 2018/2019 on 1st August, for the previous FY on or record/inventory of 2019. This was within the MoFPED adjusted before 31st July (as per LG LG submission of submission deadline of 31st August, 2019. Therefore, Budget Preparation annual the LG was compliant. Guidelines for coming FY; performance report PFMA Act, 2015) submitted to MoFPED, check the date MoFPED received the annual performance report: • If LG submitted report to MoFPED in time, then it is compliant • If LG submitted late or did not submit, then it is not compliant 4 Yes LG has submitted the From MoFPED’s All the four Quarterly Budget Performance Reports for quarterly budget official record/ FY 2018/2019 were submitted to MoFPED as performance report for all inventory of LG indicated below: the four quarters of the submission of previous FY by end of the quarterly reports o Quarter One Report was submitted on 25th FY; PFMA Act, 2015). submitted to November 2018 to MoFPED MoFPED, check o Quarter Two Report was submitted on 30th January the date MoFPED 2019 received the quarterly o Quarter Three Report was submitted on 17th May performance 2019 reports: o Quarter Four Report was submitted on 1st August • If LG submitted 2019 all four reports to MoFPED of the Dokolo DLG submitted all the four quarterly reports previous FY by and the fourth quarter was submitted on 1st August July 31, then it is 2019 a date which was within the MoFPED adjusted compliant (timely submission deadline of 31st August 2019. Therefore, submission of each the LG was compliant. quarterly report, is not an accountability requirement, but by end of the FY, all quarterly reports should be available).

• If LG submitted late or did not submit at all, then it is not compliant.

Audit 5 No The LG has provided From MoFPED’s Dokolo DLG in a letter dated 28th February 2019 information to the PS/ST Inventory/record of Correspondence CR/D/251/3 (RE: Responses to on the status of LG submissions of issues raised by Auditor General on the Accounts of implementation of Internal statements entitled Dokolo District for the Financial Year ended 30th June Auditor General and the “Actions to 2018) made submissions to the PS/ST- MoFPED Auditor General’s findings Address Internal (received Office of the Auditor General on the 6th for the previous financial Auditor General’s March 2019) responding to PS/ST letter IIA50/260/01 year by end of February findings”, dated 7th February 2019 but received by the DLG on (PFMA s. 11 2g). This the 22nd February 2019 providing thematic responses statement includes actions Check: indicating key audit matters, Office of the Auditor against all findings where General’s recommendation, management actions and • If LG submitted the Internal Audi- tor and validation remarks. However, no evidence was a ‘Response’ (and the Auditor General provided during assessment for the letter to the PS/ST provide details), recommended the providing information on the status of implementation then it is compliant Accounting Officer to take of recommendations of the Internal Auditor General on action in lines with • If LG did not the internal audit reports for FY 2017/18. applicable laws. submit a’ Issues identified in the Auditor General's reportfor FY response’, then it is 2017/18 non-compliant • Performance of the Youth Livelihood Program • If there is a response for all – o Underfunding of the Program LG is compliant o Non Compliance with repayment schedules • If there are o Failure to transfer recovered funds to the partial or not all recovery account in BOU issues responded to – LG is not o Inspection of performance of Youth Projects compliant. o Failure to access Youth Group records

• Implementation of the Uganda Road Fund

o Improper emergency works at Adagnyeko- Abakuli road

o DLG did not prioritise the completion of low cost sealing of Acandyang- Otururao road

• Settlement of Pension and Salary arrears

• Under collection of local revenue

• Under collection of Government Grants

• Accumulations of Arrears of Revenue

• Unremitted payroll deductions

• Understaffing

• Audits of UPE schools

• Delayed release of approved funds for YLP 2017/18

• Lack of ownership of forest reserves

• Unlicensed activities on natural resources

• Lack of medical Equipment at Dokolo HC IV

• Inadequate availability of protective wear

• Absence of District Physical Planning Committee

6 Yes The audit opinion of LG The audit opinion for Dokolo DLG for the FY ended Financial Statement 30th June 2019 communicated by the Auditor General (issued in January) is not was unqualified, therefore compliant. adverse or disclaimer.

575 Crosscutting Dokolo Performance District Measures 2019

Summary of No. Definition of compliance Compliance justification Score requirements Planning, budgeting and execution 1 0 All new Evidence that a district/ In a letter ref. CR/153/3 dated 3rd August, 2016, the CAO infrastructure municipality has: appointed the following officers as members of the Dokolo District projects in: (i) a Physical Planning Committee; municipality / • A functional Physical (ii) in a district Planning Committee in - Chief Administrative Officer – Chairperson are approved place that considers new - Physical Planner - Secretary by the investments on time: score 1. respective - District Engineer Physical Planning - District Environment Officer Committees and are - District Agriculture Officer consistent with - Natural Resources Officer the approved Physical Plans - District Water Officer

Maximum 4 - District Education Officer points for this performance - District Community Development Officer measure. - District Health Officer

- District Environment Officer

- M/s Elizabeth Adodong -Town Clerk of Dokolo TC

During the time of assessment, the functionality of Physical Planning Committee could not be established because neither were the minutes nor the Plans Register Book availed. The District Physical Planner was reported to be away in Kampala for studies and all attempts to get the minutes and files by the DCAO and Mr. Rajab Epita the head of Natural Resources Department proved futile. 1 0 All new • Evidence that district/ There were no minutes availed to the assessment team. The infrastructure MLG has submitted at District Physical Planner who is the Secretary to the committee projects in: (i) a least 4 sets of minutes of was reported to be away in Kampala. There was an attempt by the municipality / Physical Planning DCAO and Natural Resources Officer to get the minutes but by (ii) in a district Committee to the the time of reporting, no minutes had been availed to the are approved MoLHUD score 1. assessment team. by the respective Physical Planning Committees and are consistent with the approved Physical Plans

Maximum 4 points for this performance measure.

1 0 All new • All infrastructure There was no Physical Development Plan in place to guide infrastructure investments are infrastructure investments. For that reason, consistence of projects in: (i) a consistent with the infrastructure investments with the plan could not be established. municipality / approved Physical (ii) in a district Development Plan: score are approved 1 or else 0 by the respective Physical Planning Committees and are consistent with the approved Physical Plans

Maximum 4 points for this performance measure. 1 1 All new • Action area plan There was evidence that Dokolo DLG prepared Action Area Plans infrastructure prepared for the previous for Adok Health Center III in Adelimo Sub County and Adok projects in: (i) a FY: score 1 or else 0 Health Center III in Adok Sub County, The Action Area drawing municipality / numbers were dated 23rd March, 2019, (ii) in a district are approved by the respective Physical Planning Committees and are consistent with the approved Physical Plans

Maximum 4 points for this performance measure.

2 2 The prioritized • Evidence that priorities There was evidence that the priorities for the current FY investment in AWP for the current FY 2019/2020 in AWP were based on outcomes of the budget activities in the are based on the conference which was held on 7th November, 2018 at the District approved AWP outcomes of budget Council Hall. for the current conferences: score 2. FY are derived The priorities in the AWP for the current FY include: from the Education:: (on pg. 61,62 &67 AWP and pg. 4 – 5 of the Budget approved five- conference report); year - Construction of twin Staff house at Hassa Memorial P/S development plan, are - Construction of 5 stances drainable latrine at Apewotneki P/S based on discussions in - Construction of 5 stances drainable latrine at Adekenino P/S annual reviews and - Construction of 5 stances drainable latrine at Alenga P/S

budget - Construction of Multipurpose Science Laboratory at Dokolo Girls conferences S.S and

have project Health: (on pg. 53&54 AWP and pg.9 of the Budget conference profiles report) Maximum 5 - Upgrading of Awelo HC II and Adok HC II to HC IIIs with a points on this number of infrastructures. performance measure. - Upgrading of Adagmon H/C II to H/C III

- Drainable VIP latrines at Dokolo HC IV and Kwera HC III

- Placenta pits at Agwata HC III, Kwera HC III and Kangai HC III.

- Blood Bank fridge with its solar system at Dokolo HC IV

Roads: (on pg. 85 & 86 AWP and pg. 3 of the Budget conference report)

- Low cost sealing of Acandyang-Otururao 1.2KM road - Road openning of Teyao- Oket via Alyet to Aminakeca swamp

- Rehabilitation of Bata Highland Road up to Bata landing site

- Routine mechanised maintenance of 22Km of Adwoki – Bata road

Water: (on pg. 101 & 102 AWP and pg. 4 of the Budget conference report);

- Siting, drilling and installation of 8 deep boreholes at Aderolong village.in Adwongwor parish, Acamogali and Adyangoto A villages in Aridi parish,Aneralibi village in Aneralibi parish, Eparaduku village in Okwalongwen parish,, Amulakere village in Bardyang parish, Anyaponenigolo village in Amunamun parish and Ajaa B village in Okwongodul parish.

- Rehabilitation of Bata piped water scheme

- Construction of 4 stance drainable latrine with urinals and hand washing faclility at Adok Market

- Rehabilitation of 7 deep boreholes Apiowio village in Abucero parish. Bung village in Barlela parish. Okiipokere village in Ajuk parish, Aneralibi village in Aneralibi parish, Abalang village in Abalang parish and Oturole village in Ajiba parish 2 1 The prioritized • Evidence that the capital There was evidence that the capital investments in the AWP for investment investments in the the current FY were derived from the approved 5 year DDP. The activities in the approved Annual work capital investments in the AWP include: approved AWP plan for the current for the current Health: (on pg. 53&54 AWP and at pg. 158 - 159 of Dokolo LG 5 FY are derived FY are derived from the year DDP 2015/16- 2019/20); from the approved five-year - Upgrading of Awelo HC II and Adok HC II to HC IIIs with a approved five- development plan. If number of infrastructures. year differences appear, a justification has to be - Upgrading of Adagmon H/C II to H/C III development provided and evidence plan, are provided that it was - Drainable VIP latrines at Dokolo HC IV and Kwera HC III based on discussions in approved by the Council. - Placenta pits at Agwata HC III, Kwera HC III and Kangai HC III. annual reviews Score 1. and - Blood Bank fridge with its solar system at Dokolo HC IV

budget Education: (on pg. 61,62&67 AWP and at pg. 160 of Dokolo LG 5 conferences year DDP 2015/16- 2019/20) and - Construction of twin Staff house at Hassa Memorial P/S have project - Construction of 5 stances drainable latrine at Apewotneki P/S profiles - Construction of 5 stances drainable latrine at Adekenino P/S Maximum 5 points on this - Construction of 5 stances drainable latrine at Alenga P/S performance measure. - Construction of Multipurpose Science Laboratory at Dokolo Girls S.S

Roads: (on pg. 85 & 86 AWP and at pg. 199 - 200 of Dokolo LG 5 year DDP 2015/16- 2019/20));

- Low cost sealing of Acandyang-Otururao 1.2KM road

- Road openning of Teyao- Oket via Alyet to Aminakeca swamp

- Rehabilitation of Bata Highland Road up to Bata landing site

Water: (on pg. 101&102 AWP and at pg. 162 of Dokolo LG 5 year DDP 2015/16- 2019/20);

- Construction of 4 stance drainable latrine with urinals and hand washing faclility at Adok Market 2 0 The prioritized • Project profiles have There was no evidence that the project profiles for the current FY investment been developed and 2019/20 were developed and discussed in any TPC meeting. activities in the discussed by TPC for all approved AWP investments in the The only project profiles which were availed are the ones which for the current were attached as appendix to the 5 Year Dokolo District FY are derived AWP as per LG Planning Development Plan. from the guideline: score 2. approved five- year

development plan, are based on discussions in annual reviews and

budget conferences and

have project profiles

Maximum 5 points on this performance measure.

3 1 Annual • Annual statistical There was evidence that the 2018/19 Dokolo Statistical Abstract statistical abstract, with gender- with gender dis-aggregated data was compiled and discussed in abstract disaggregated data has the TPC meeting held on 29th October, 2019 under MIN, 63/2019. developed and been compiled and applied presented to the TPC to support budget allocation Maximum 1 and decision-making- point on this maximum score 1. performance measure

4 2 Investment • Evidence that all There was evidence that all investment projects implemented in activities in the infrastructure projects FY 2018/19 were derived from the AWP and approved budget. previous FY implemented by the LG in The basis of the evidence was the Annual Performance Report were the previous FY were (Quarter 4) in relation to the budget of FY 2018/19. Investment implemented derived from the annual projects included inter alia: as per AWP. work plan and budget approved by the LG EDUCATION: (pg. 67 of Annual Performance Report and at pg. Maximum 6 Council: score 2 32-33 of the Budget) points on this performance - Construction of 2 classroom block at Abalang Modern P/S measure. - Construction of 2 classroom block at Anywenya P/S

- Construction of 2 classroom block at Akwanga P/S

- Construction of a dormitory block with 8 unit of showers and 2 stance drainable latrine at Dokolo Girls ss - Construction of Bata Seed Secondary School

HEALTH: (pg. 62 of Annual Performance Report and at pg. 24-25 of the Budget)

- Construction of 2 units of 5 stances drainable latrine at Dokolo H/C IV

- Construction of 2 units of 5 stances drainable latrine at Kwera H/CIII

- Upgrading of Adok and Awelo H/C IIs to H/C IIIs

- Construction of placenta pit at Agwata H/C II, Kwera H/C III and Kangai H/C III

ROADS : (pg. 79 of Annual Performance Report and at pg. 42-43 of the Budget)

- Low cost sealing of Acandyang-Otururao Road 0.8km

- Spot gravelling of Arudabiro-Adukulotong-

- Sport gravelling of Abur-Dokolo Sub-county Border

- Graveling of Abur-Dokolo S/C Border 6.2km Northern Ward

WATER: (pg. 83 of Annual Performance Report and at pg. 46 of the Budget)

- Siting and drilling of production well at Okwalongwen Sub county

- Construction of 4stance drainable latrine at Amwoma Market RGC

- Rehabilitation of seven boreholes at Acangweno, Opeke, Abyece P/S, Anyacoto H/CII, Angwenya P/S, Alyecjuk P/S and Alapata P/S

- Drilling and installation of 7 deep boreholes Ayet Ayet A, Obako ,Ajiba , Te-Ilwa – Ocero, Bardyang H/CII, Olelpek- western ward and Adari A in Oyengopere parish

- Rehabilitation of rain water harvesting tanks at Akolodong P/S (2), Amwoma H/C II (1), Angwecibange P/S (1) and Alapata P/S

ADMINISTRATION: (pg. 38 of Annual Performance Report and at pg. 8 of the Budget) - Construction of Production Office Block phase VI

- Completion of construction of Mini Youth Resource Centre at Amwoma Sub-county 4 4 Investment • Evidence that the There was evidence that the majority of investment projects activities in the investment projects implemented in the previous FY were completed as per the work previous FY implemented in the plan by end of FY 2018/19. This accounted for 100% completion were previous FY were rate of those projects. implemented completed as per work as per AWP. plan by end for FY. There was however 1 project (Low cost sealing of Acandyang- Otururao Road 0.8km) which was abandoned mid-way by the Maximum 6 o 100%: score 4 contractor- Rema (U) Ltd. points on this performance o 80-99%: score 2 The source of evidence was procurement plan, monitoring and measure. annual performance reports, annual financial statements, o Below 80%: 0 contracts register, and completion certificates.

The following example of projects were completed and handed over as per work plan by 30th June of the FY 2018/2019 FY :

- Completion of construction of Mini Youth Resource Centre at Amwoma Sub-county

- Siting and drilling of production well at Okwalongwen Sub county

- Construction of 4stance drainable latrine at Amwoma Market RGC

- Drilling and installation of 7 deep boreholes Ayet Ayet A, Obako ,Ajiba , Te-Ilwa – Ocero, Bardyang H/CII, Olelpek- western ward and Adari A in Oyengopere parish

- Rehabilitation of rain water harvesting tanks at Akolodong P/S (2), Amwoma H/C II (1), Angwecibange P/S (1) and Alapata P/S

- Construction of 2 classroom block at Abalang Modern P/S

- Construction of 2 classroom block at Anywenya P/S

- Construction of 2 classroom block at Akwanga P/S

- Construction of placenta pit at Agwata H/C II, Kwera H/C III and Kangai H/C III 5 The LG has 2 executed the • Evidence that all All investment projects in the previous FY 2018/2019 were budget for investment projects in the completed within approved budget. 5 sampled projects included: construction of previous FY were 1. Construction of placenta pit at Agwata H/C II, Kwera H/C III and investment completed within Kangai H/C III (budgeted: UGX 15,000,000 – actual expenditure: projects and approved budget – Max. UGX 14,931,189=) hence 99% expenditure; O&M for all 15% plus or minus of original budget: score 2 major 2. Construction of 2 units of 5 stances drainable latrine at Dokolo infrastructure H/C IV (budgeted: UGX 45,000,000 – actual expenditure UGX projects during 39,105,908=) hence 87% expenditure; the previous FY 3. Construction of 2 units of 5 stances drainable latrine at Kwera H/CIII (budgeted: UGX 45,000,000 – actual expenditure: UGX Maximum 4 38,571,918) hence 85% expenditure; points on this Performance 4. Construction of 2 classroom block at Akwanga P/S (budgeted: Measure. UGX 70,000,000- actual expenditure: UGX 60,102,120=) hence 86% expenditure;

5. Construction of 2 classroom block at Anywenya P/S (budgeted: UGX 70,000,000- actual expenditure: UGX 61,564,730=) hence 88% expenditure.

5 The LG has 0 executed the • Evidence that the LG Dokolo DLG provided for a budget code on maintenance for the budget for has budgeted and spent sectors Administration, Production and Marketing, Education, construction of at least 80% of the O&M Health and Water for FY 2018/19. investment budget for infrastructure in However, the DLG did not have a register of assets in need of projects and the previous FY: score 2 maintenance; and there was no evidence of review of the register O&M for all of assets in need of O&M and the associated costing. major infrastructure projects during the previous FY

Maximum 4 points on this Performance Measure. Human Resource Management 6 LG has 0 substantively • Evidence that the LG Not all HoD positions were substantively filled at Dokolo District recruited and has filled all HoDs LG for FY 2018/19. Out of 9 HoDs positions, only 6 were appraised all positions substantively: substantively filled. The breakdown was as follows: Heads of score 3 • Chief Finance Officer- Odada John substantively appointed on Departments 11th June 2015 Maximum 5 • District Education Officer position, Bwonyo Bosco Acup, was points on this substantively filled on 19th Dec 2018 under Min.No. of Performance DSC34/2018. Measure • District Planner- Ogwal Alfred was neither substantively appointed nor did he have a letter assigning him to this position by the time of assessment.

• District Health Officer, Dr. Ojok Samuel was substantively appointed on 28th January 2018 vide letter ref: CR/D/1/2203 under DSC minute no.DSC11/2018.

• District Production Officer (Dr Enyang Richard) – was substantively appointed on the 20th December under Min.No. DSC/26/3/2013

• District Community Development Officer (Amuge Judith was not substantively appointed but only assigned duties according to a letter of assignment dated 7th January 2019 and signed by Acting Deputy CAO Echaat Moses.

• District Commercial Officer (Alenyo Patrick) – was substantively appointed on 19th June 2014 under DSC minute No. DSC65/2014.

• District Engineer (Okello Thomas Codeus) – was appointed in acting capacity by direction of DSC under Min.No. DSC101/2016 on 2nd January, 2016.

• District Natural Resources Officer – (Epila Rajab) was substantively appointed vide letter ref: CR/156/2 dated 5th December, 2016 under minute No. DSC100/2016. 6 LG has 0 substantively • Evidence that HoDs Not all the HoDs in the Dokolo LG were appraised for FY recruited and have been appraised as 2018/19; appraised all per guidelines issued by • District Engineer was not appraised as there was no evidence of Heads of MoPS during the previous appraisal report found in his personal file. Departments FY: score 2 • District Health Officer was appraised by CAO on 3rd June 2019. Maximum 5 points on this • District Natural Resources Officer was appraised as per Performance appraisal report dated 3rd June 2019 and signed by CAO Measure • District Commercial Officer was appraised as indicated by presence of appraisal report in his file dated 29th June 2019

• District Planner was appraised by Deputy CAO on 30th July 2018.

• District Production Officer (Dr Enyang Richard) was appraised as evidenced by presence of an appraisal report for FY2018/19 dated 3rd July 2018 and signed by Deputy CAO

• District Community Dev Officer was also appraised on 11th June 2019 by Deputy CAO

7 The LG DSC 2 has considered • Evidence that 100 % of A total of 12 submissions for recruitment were made and sent to all staff that staff submitted for District Service Commission each carrying various number of have been recruitment have been positions ranging from 1 to 10: The submissions were dated as submitted for considered: score 2 follows: 13th Sept 2018, 19th Sept 20018, 2nd Nov 2018, 14th, recruitment, 23rd, 25th, 28th, of Jan 2019, 8th Feb 2019, 1st, 6th, 16th April confirmation 2019. As verified, the submissions contained positions such as; and Education Asst II, Driver, Senior Asst. Secretary, Porter, Deputy disciplinary Head Teachers, Assistant Inventory Management Officer, Senior actions during Accounts Asst, Asst Agric Officer, Law Enforcement Officer, the previous Senior Finance Officer, Nursing Officer, Principle Town Clerk, FY. Askari etc. All submissions were signed by CAO with references of CR/D/218/2, CR/D/219/2 & CR/D/156/3. Maximum 4 points on this A total of 27 positions were submitted to DSC for consideration. Performance Interviews were conducted during the 111th DSC meeting of 27th, Measure. 28th and 29th of April 2019. The list of applicants for positions viewed was dated 26th April 2019 and signed by the secretary to the District Service Commission.

Some of the staff interviewed and eventually recruited as a result were identified under minute extracts generated as DSC/DOK/13/04/2019 for Driver position, DSC/DOK/160/03/1/2019(1....16) for Education Asst positions, DSC/DOK/156/19/1/2019 for Town Clerk, DSC/DOK/156/01/2018 for Nursing Officer, DSC/DOK/02/156/4/2019 for Senior Assistant Secretary position. With all these processes, there was therefore sufficient evidence to conclude that DSC in Dokolo district considered all 27 positions submitted for recruitment during FY2018/19. That was 100%. 7 The LG DSC 1 has considered • Evidence that 100 % of A total of 10 submissions were sent from CAO’s office to DSC for all staff that positions submitted for staff to be confirmed during FY2018/19. Submissions were dated; have been confirmation have been 26th March 2019 carried 3 staff (Sr. Accounts Asst / Senior submitted for considered: score 1 Finance Officers), submission dated 28th January 2019 carried 1 recruitment, staff, submission of 25th January 2019 carried 2 staff to be confirmation confirmed (Town Agents). and Other submissions were dated 2nd Oct 2018, 22nd January 2019, disciplinary 12th February 2019 and 20th March 2019 each carrying 1 or 2 actions during positions to be confirmed during FY2018/19. All the submissions the previous carried a collective total of 15 staff to be confirmed. FY. The 111th DSC meeting of 27th, 28th and 29th of April 2019 Maximum 4 resolved to confirm all the 15 staff into their various positions. points on this Some of the staff confirmed included; Ojok Nelson (Sr. Accounts Performance Assistant) under Min.No. DSC/DOK/42/2008, Ebek James (HR Measure. Officer) under min No. DSC/DOK/8/4/2019, Nursing Officer DSC/DOK/14/2019, Education Asst II DSC/DOK/33/2019(i...... x) etc.

All 15 staff submitted for confirmation during FY2018/19 in Dokolo district were considered.

7 The LG DSC 1 has considered • Evidence that 100 % of For the Financial Year 2018/19, CAO’s office made 3 all staff that positions submitted for submissions to DSC for 8 cases of disciplinary action as follows; have been disciplinary actions have • Submission dated 26th Sept 2018 for disciplinary case against submitted for been considered: score 1 the Assistant Inventory Management Officer; recruitment, confirmation • Submission dated 11th March 2019 for disciplinary case and against Accounts Assistant; disciplinary actions during The 111th DSC meeting of 27th, 28th and 29th of April 2019 the previous considered the submitted cases as follows; the case for Accounts FY. Assistant was handled as per minute extract DSC/DOK/18/1/2019/1; the case for Asst Inventory Officer was Maximum 4 handled and assigned minute extract DSC/DOK/03/3/2019/3 etc. points on this Performance Measure. 8 Staff recruited 0 and retiring • Evidence that 100% of A list of 21 recruited staff in FY 2018/19 was reviewed to access the the staff recruited during determine if the they accessed payroll within 2 months of salary and the previous FY have assumption of duty. For instance; pension payroll accessed the salary • Ogada Odit John Bosco (Senior Finance Officer) recruited on 1st respectively payroll not later than two May 2019 accessed salary payroll on 28th July 2019 (2 months within two months after appointment: later). months score 3 • Akello Susan IPPS (Porter) hired 1st June 2019 accessed salary Maximum 5 payroll on 28th Oct 2019 (4 months later); points on this Performance • Otyama Brian Ocen (Health Assistant) recruited on 18th June Measure. 2019 accessed payroll on 28th Sept 2019

• Egang Sam (Law Enforcement Officer) appointed on 3rd May 2019 accessed payroll on 28th July 2019 8 Staff recruited 0 and retiring • Evidence that 100% of There were 14 staff who retired in FY 2018/19 basing on the access the the staff that retired during pension list viewed. Some of the retired staff included the salary and the previous FY have following: pension payroll accessed the pension Odida Alii Peter (Head Teacher) retired on 1st March 2019 and respectively payroll not later than two accessed pension payroll in March 2019 as per his pension within within two months after retirement: one month; months score 2 Alfred Okumu (Technical Teacher) retired on 5th July 2018 and Maximum 5 accessed pension payroll in May 2019 as per pensions payroll points on this register (9 months later); Performance Measure. Willy Odur Okabo (Head Teacher) retired on 1st July 2018 and accessed pension payroll in August 2019 according to record of the Interface file viewed (2 months later);

Anna Alio Grace Oyar (Head Teacher) retired on 1st January 2019 and accessed pension payroll on 17th July 2019 as per Interface file and pensions payroll register viewed (6 months later);

Ray Opio (Senior Finance Assistant) retired on 5th Feb 2019 and accessed pension payroll in April 2019 (2 months later).

Jackson Olea (Commercial Development Officer) retired on 1st May 2019 and accessed pension payroll in Oct 2019 as per interface file viewed (5 months later);

Not all persons who retired FY 2018/19 accessed payroll within 2 months. Revenue Mobilization 9 The LG has 0 increased LG • If increase in OSR Dokolo DLG OSR in FY2018/19 reduced by approximately 34% own source (excluding one/off, e.g. compared to FY2017/18. Dokolo DLG attributed the reduction in revenues in the sale of assets) from OSR to decisions arising from main Council meeting to transfer last financial previous FY but one to the responsibility of local collections from Ayugi Rock Quarry to year compared previous FY is more than the Town Council. (min 8/01/2018) to the one 10 %: score 4. Computation before the • If the increase is from previous 5% - 10 %: score 2. Total of OSR for FY 2017/18 was UGX 176,770,350 with financial year miscellaneous and unidentified revenue of UGX 5,555,850 (last FY year • If the increase is less (Source: Page, 22 audited Accounts FY2017/18) but one) than 5 %: score 0. OSR FY2017/18 net of miscellaneous and unidentified revenue Maximum 4 points on this 176,770,350- 5,555,850= 171,214,500 Performance Measure. Total of OSR for FY 2018/19 was UGX 128,072,267 with miscellaneous and unidentified revenue of UGX 15,092,575 (Source: Page 33, draft final accounts FY2018/19)

OSR FY2018/19 net of miscellaneous and unidentified revenue

128,072,267-15,092,575= 112,979,692

Decrease in OSR FY2018/19 compared to FY2017/18

112,979,692- 171,214,500= (58,234,808)

Decrease in %age

(58,234,808)/ 171,214,500*100= -34.01% 10 LG has 0 collected local • If revenue collection Percentage of locally generated revenue for FY2018/19 was revenues as ratio (the percentage of approximately 43% below budgeted estimates. This deficit in per budget local revenue collected collections falls outside of the +/- 10% budget realisation (collection against planned for the threshold. Dokolo DLG attributed the reduction in OSR to ratio) previous FY (budget decisions arising from main Council meeting to transfer the realisation) is within responsibility of local collections from Ayugi Rock Quarry to the Maximum 2 Town Council. (min 8/01/2018) points on this +/- 10 %: then score 2. If performance more than +/- 10 %: Score Computation measure 0. Total Local Revenue Planned/Budgeted for FY 2018/19 was UGX 226,500,000 (Source: Page 1, Dokolo LG Approved Budget Estimates FY2018/19 generated on 03/08/2018 12:45)

Total of OSR for FY 2018/19 was UGX 128,072,267 (Source: Page 33, draft final accounts FY2018/19)

Deficit in Local Revenue Collections against Budget

128,072,267-226,500,000= (98,427,733)

Deficit in %age

(98,427,733)/ 226,500,000*100= - 43.46%

11 Local revenue 0 administration, • Evidence that the Dokolo DLG did not remit 65% of LST collected in FY2018/19 to allocation and District/Municipality has the LLG which is contrary to Section 85 of the LG Act CAP 243. transparency remitted the mandatory However, CFO wrote a letter to CAO on the 9th May 2019 LLG share of local Correspondence CR/D/152/2 (RE: Revenue collection at the Sub Maximum 4 revenues: score 2 Counties) proposing that the DLG withholds UGX 26,681,850 points on this from non-wage released from Central Government for the 4th performance Quarter FY2018/19. CAO on the 10th May referred this proposal measure. for discussion by DEC. No evidence was provided during assessment on the decision taken.

Local Revenue collections subjected to sharing with LLGs was UGX 44,559,050 (Source: Page 33, from draft final accounts FY2018/19) 11 Local revenue 0 administration, • Evidence that the total Dokolo DLG total Council expenditure on allowances and allocation and Council expenditures on emoluments for FY 2018/19 from OSR and other sources was transparency allowances and approximately 40% of OSR collected in FY2018/19 which was emoluments- (including above the 20% limit as stipulated in the First Schedule of the LG Maximum 4 from all sources) is not Act. CAP 243. points on this higher than 20% of the performance OSR collected in the Computation measure. previous FY: score 2 Total expenditure on council allowances and emoluments during FY 2018/19 was UGX 51,570,000

V. No Details Amount- UGX SB/1819/03 Committee meeting 5,680,000 SB/1819/51 Facilitation Deputy Speaker 1,200,000 SB/1819/02 Facilitation Chairperson 840,000 19974633 Main Council meeting SB/1819/60 5,600,000 19974633 Main Council meeting SB/1819/61 5,600,000 22013966 Facilitation Chairperson 850,000 22013966 Facilitation Speaker & D Speaker 300,000 20208814 Facilitation Speaker & D Speaker 500,000 20208814 Electricity bill 100,000 SB/1819/102 Emoluments to District Councillors 15,450,000 SB/1819/85 Emoluments to District Councillors 15,450,000 Total 51,570,000

Total of OSR for FY 2018/19 was UGX 128,072,267 (Source: Page 33, draft final accounts FY 2018/19) Percentage of expenditure on Council from all sources as a ratio of OSR collected in FY2018/19 51,570,000/128,072,267*100= 40.27%

Procurement and contract management 12 2 The LG has in • Evidence that the The LG positions of Senior Procurement Officer and Procurement place the District has the position of Officer were substantively filled. The Senior Procurement Officer capacity to a Senior Procurement is Ms. Apok Colline Seagal (file no. CR/10146) appointed on manage the Officer and Procurement promotion on 24th October 2018 under DSC Minute no. 65/2018 procurement Officer (if Municipal: under salary scale U3, letter ref: CR/D/156/2. The Procurement function Procurement Officer and Officer is Mr. Agea George (File no. CR/D/10132) appointed on Assistant Procurement promotion on 7th January 2019, ref: letter CR/D/161/1 under DSC Maximum 4 Officer) substantively Min. no. 81/2018 under salary scale U4U points on this filled: score 2 performance measure. 12 1 The LG has in • Evidence that the TEC Reports of the Evaluation Committee were submitted to the place the produced and submitted Contracts Committee during FY 2018/2019 as indicated below: capacity to reports to the Contracts manage the Committee for the 1. Drilling and installation of seven (7) deep boreholes (Proc. Ref: procurement previous FY: score 1 DOKO575/WRKS/2018-2019/00001) was submitted on 21st function November 2018.

Maximum 4 2. Construction of 2 classroom block at Angwenya Primary points on this School (Proc. Ref: DOKO575/WRKS/2018-2019/00003) was performance submitted on 21st November 2018 measure. 3. Construction of 2 classroom block at Akwanga Primary School (Proc. Ref: DOKO575/WRKS/2018-2019/00004) was submitted on 21st November 2018.

4. Construction of 2 units of 5 stances drainable latrine at Kwera HC III (Proc. Ref: DOKO575/WRKS/2018-2019/00008) was submitted on 21st November 2018

5. Construction of 2 units of 5 stances drainable latrine at Dokolo HC IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009) was submitted on 21st November 2018 12 1 The LG has in • Evidence that the The Contracts Committee considered recommendations of the EC place the Contracts Committee as indicated below: capacity to considered manage the recommendations of the 1. Drilling and installation of 7 deep boreholes (Proc. Ref: procurement TEC and provide DOKO575/WRKS/2018-2019/00001) considered by the CC on function justifications for any 17th December 2018, the EC recommendation in the EC Report deviations from those dated 23rd – 26th October 2018 was that the project be awarded Maximum 4 recommendations: score to M/s East Africa Borehole Limited at evaluated price of points on this 1 UGX130,110,860/-. The CC vide minute no. CC/Min/04/2018- performance 2019/00023 awarded the contract to M/s East Africa Borehole measure. Limited at UGX130,110,860/- as recommended by the EC.

2. Construction of 2 classroom block at Angwenya Primary School (Proc. Ref: DOKO575/WRKS/2018-2019/00003) considered by the CC on 17th December 2018, the EC recommendation in the EC Report dated 23rd – 26th October 2018 was that the project be awarded to M/S Sunco & Partners Limited at evaluated price of UGX61,564,730/-. The CC vide minute no. CC/Min/04/2018-2019/00023 approved the award of contract to M/S Sunco & Partners Limited at UGX61,564,730/- as recommended by the EC.

3. Construction of 2 classroom block at Akwanga P/S (Proc. Ref: DOKO575/WRKS/2018-2019/00004) considered by the CC on 17th December 2018, the EC recommendation in the EC Report dated 23rd – 26th October 2018 was that the project be awarded to M/S Ngic-Angica Company Limited at evaluated price of UGX60,102,120/-. The CC vide minute no. CC/Min/04/2018- 2019/00023 awarded the contract to M/S Ngic-Angica Company Limited at UGX60,102,120/- as recommended by the EC.

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III (Proc. Ref: DOKO575/WRKS/2018-2019/00008) considered by the CC on 17th December 2018, the EC recommendation in the EC Report dated 23rd – 26th October 2018 was that the project be awarded to M/S Dreamers Enterprises Ltd at evaluated price of UGX38,571,918/-. The CC vide minute no. CC/Min/04/2018-2019/00023 awarded the contract to M/S Dreamers Enterprises Ltd at UGX38,571,918/- as recommended by the EC.

5. Construction of 2 units of 5 stances drainable latrine at Dokolo H/C IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009) ) considered by the CC on 17th December 2018, the EC recommendation in the EC Report dated 23rd – 26th October 2018 was that the project be awarded to M/S Geosavana Company Limited at evaluated price of UGX39,105,908/-. The CC vide minute no. CC/Min/04/2018-2019/00023 awarded the contract to M/S Geosavana Company Limited at UGX39,105,908/- as recommended by the EC. 13 2 The LG has a • a) Evidence that the The LG Procurement Plan for FY 2019/2020 covered all comprehensive procurement and infrastructure projects in the approved work plan of FY 2019/2020 Procurement Disposal Plan for the as evidenced by a copy of the consolidated annual procurement and Disposal current year covers all work plan for FY 2019/2020 approved by the accounting officer, Plan covering infrastructure projects in dated 14th October 2019 and submitted to the PPDA Regional infrastructure the approved annual work Office in Gulu on 16th October 2019. activities in the plan and budget and b) approved AWP evidence that the LG has Examples included: and is made procurements in 1. Upgrading of Adagmon H/C II to H/C III, No. 1, pg 1 in the followed. previous FY as per plan procurement plan and pg 51 of the approved AWP (adherence to the Maximum 2 procurement plan) for the 2. Rehabilitation of Doctor's house at Dokolo H/C IV, No. 2, pg 1 points on this previous FY: score 2 in the procurement plan and pg. 52 of tye approved AWP performance measure. 3. Construction of twin Staff house at Hassa Memorial Primary School, No.8, pg 1 of the procurement plan and pg 62 of the approved AWP

4. Renovation of 4 class room block at Oyirogole Primary School, No.9, pg 1 of the procurement plan and pg 61. of the approved AWP.

The LG also made consolidated procurement and disposal annual work plan for FY 2018/2019 as per submission and endorsement by the accounting officer, dated 26th June 2018. The work plan had projects that included:

1. Drilling and installation of 7 deep boreholes (Proc. Ref: DOKO575/WRKS/2018-2019/00001), no. 1, pg 4

2. Construction of 2 classroom block at Anywenya P/S (Proc. Ref: DOKO575/WRKS/2018-2019/00003), no.7, pg 3

3. Construction of 2 classroom block at Akwanga P/S (Proc. Ref: DOKO575/WRKS/2018-2019/00004), no.8, pg3

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III (Proc. Ref: DOKO575/WRKS/2018-2019/00008), no. 6, pg 2

5. Construction of 2 units of 5 stances drainable latrine at Dokolo H/C IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009), no. 7, pg 2 14 • For current FY, 0 The LG has evidence that the LG has The LG had 16 projects in the consolidated work plan all of them prepared bid prepared 80% of the bid initiated by the user departments and 6 had had completed bid documents, documents for all documents but had not started yet. maintained investment/infrastructure Therefore, For the current FY (2019/2020) the LG had prepared contract by August 30: score 2 registers and 38% of all investments/infrastructure by 30th August 2018 procurement activities files and adheres with established thresholds.

Maximum 6 points on this performance measure.

14 0 The LG has • For Previous FY, In the previous FY 2018/2019 the LG had updated the contracts prepared bid evidence that the LG has register although it did not have payments made to date and documents, an updated contract respective balances. The procurement files also lacked contract maintained register and has complete management documents and environmental clearance and contract procurement activity files certifications. registers and for all procurements: procurement score 2 activities files and adheres with established thresholds.

Maximum 6 points on this performance measure. 14 • For previous FY, 2 The LG has evidence that the LG has The LG had adhered to procurement threshold as per the sampled prepared bid adhered with files of projects: documents, procurement thresholds 1. Drilling and installation of seven (7) deep boreholes (Proc. Ref: maintained (sample 5 projects): score DOKO575/WRKS/2018-2019/00001) at a cost of contract 2. registers and UGX130,110,860/- was by open domestic bidding method and procurement was advertised in the New Vision newspaper on 20th September activities files 2018 and adheres 2. Construction of 2 classroom block at Angwenya Primary with School (Proc. Ref: DOKO575/WRKS/2018-2019/00003) at a cost established of UGX61,564,730/- was by open domestic bidding method and thresholds. was advertised in the New Vision newspaper on 20th September Maximum 6 2018. points on this 3. Construction of 2 classroom block at Akwanga Primary School performance (Proc. Ref: DOKO575/WRKS/2018-2019/00004) at a cost of measure. UGX60,102,120/- was by open domestic bidding method and was advertised in the New Vision newspaper on 20th September 2018.

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III (Proc. Ref: DOKO575/WRKS/2018-2019/00008) at a cost of UGX38,571,918/- was by selective bidding method and the prequalified list was approved on 28th September 2018 by the CAO and the best evaluated bidder was no. 4 on the shortlisted bidders.

5. Construction of 2 units of 5 stances drainable latrine at Dokolo H/C IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009) at a cost of UGX39,105,908 was by selective bidding method and the prequalified list was approved on 28th September 2018 by the CAO and the best evaluated bidder was no. 4 on the shortlisted bidders. 15 • Evidence that all works 2 The LG has projects implemented in There was evidence that works projects implemented in the certified and the previous FY were previous FY were appropriately certified with interim and provided appropriately certified – completion certificates for instance: detailed project interim and completion 1. Construction of 2 classroom block at Akwanga Primary School information on certificates for all projects (Proc. Ref: DOKO575/WRKS/2018-2019/00004) interim certificate all investments based on technical no. 1, issued on 18th March 2019 and signed by the District supervision: score 2 Maximum 4 Engineer and Accounting officer. Completion certificate issued on points on this 18th March 2019 and signed by the District Engineer and CAO, performance Completion certificate dated 19th June 2019 and signed by the measure District Engineer

2. Construction of two units of 5-stance drainable latrine at Dokolo HCIV, final payment certificate dated 13th June 2019 and signed by the CAO and District Engineer; Interim certificate issued on 20th May 2019 and signed by the District Engineer and CAO

3. Drilling and Installation of 7 boreholes, interim payment certificate dated 20th June 2019 and signed by the District Engineer

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III, interim payment certificate no. 1 dated 14th June 2019 and signed by the District Engineer

5. Construction of 2 classroom block at Angwenya P/S (Proc. Ref: DOKO575/WRKS/2018-2019/00003), interim payment certificate no. 1 dated 8th May 2019 and signed by the District Engineer, Completion certificate no.1 dated 20th June 2019 and signed by the District Engineer

15 2 The LG has • Evidence that all works There was no evidence of site boards in all the infrastructure certified and projects for the current FY projects for the current FY (2019/2020) because the LG had just provided are clearly labelled (site completed the evaluation of bids for FY2019/2010 and therefore detailed project boards) indicating: the no projects had started yet. However, the investment projects for information on name of the project, FY 2018/2019 that are ongoing such as the Upgrading of Adok all investments contract value, the Health Centre II to Health Centre III had site board. contractor; source of Maximum 4 funding and expected points on this duration: score 2 performance measure

Financial management 16 4 The LG makes • Evidence that the LG A review of the 5 bank reconciliation produced in IFMIS provided monthly and up makes monthly bank evidence that Dokolo DLG produced up to-date bank to-date bank reconciliations and are up reconciliations at the time of assessment. Note that section 1.7, reconciliations to-date at the time of the page 15 of LGFA manual 2007 permits DLGs using computerised assessment: score 4 financial and accountability systems from full adherence to all Maximum 4 procedures and formats specified in this manual, provided that the points on this computer system in use has been officially endorsed by the performance Accountant General. measure.

Dokolo District Treasury Single Sub Account, Bank of Uganda A/c No. 005750528000000. Reconciliation for June 2019 showed cash book balance C/F was nil and adjusted bank balance C/F was UGX 600,000

Dokolo District Revenue Collection Account, Bank of Uganda A/c No. 005750168000000. Reconciliation for June 2019 showed cash book balance C/F was nil and adjusted bank balance C/F was nil

Dokolo District LG General Fund Account, DFCU Bank A/c No. 01473500701860. Reconciliation for June 2019 showed cash book balance C/F was UGX 898,423 and adjusted bank balance C/F was UGX 898,424

Dokolo District LG General Fund Account, DFCU Bank A/c No. 01473500701860. Reconciliation for July 2018 showed cash book balance C/F was UGX 18,493,838 and adjusted bank balance C/F was UGX 33,179,438

Dokolo District Treasury Single Sub Account, Bank of Uganda A/c No. 005750528000000. Reconciliation for July 2018 showed cash book balance C/F was nil and adjusted bank balance C/F was nil. 17 • If the LG makes timely 2 The LG made payment of suppliers Taking a sample 5 payments to suppliers, Dokolo DLG made timely payment during the previous FY – timely payments (i.e. within 2 months) to supplier in the of suppliers no overdue bills (e.g. FY2018/19. i.e. during the procurement bills) of over Request for payment for the construction of 12 classroom blocks previous FY 2 months: score 2. at Akwanga Primary School, Okwalongwen Sub County was Maximum 2 made by M/s Ngic-Angica Co. Ltd on the 14th March 2019. points on this Request was forwarded by DE on the 20th March 2019 and by performance DEO on the 3rd April 2019. Payment certificate no 1 for UGX measure 53,671,193 was prepared by Ass Eng. Officer on the 18th March 2019. Payment made on 17th April 2019 (Voucher 22743213), 34 days after the request for payment was made by the contractor.

Request for payment for construction of 2 classroom block at Abalang Modern Primary School was made by M/s Moto Technical Services Limited on the 24th May 2019. Request was forwarded by DEO on the 10th June 2019 for approval. Payment Certificate no 1 for UGX 30,855,829 was compiled on the 10th June 2019 by Ass Engineering Officer and confirmed by DE on the 10th June 2019. Payment made on the 24th May 2019 (PV 23427019), same day request was made by the contractor.

Request for payment for the construction of Twin Staff house with Kitchen, solar power, water harvesting system and 2 stances VIP latrine at Abalang HC11 was made by M/s Mamelih Investment Ltd on the 5th November 2018 and forwarded for approval by DHO on the 8th November 2018. Final Certificate for UGX 10,966,992 was prepared by Supervisor on the 8th Nov 2018. Payment made on the 21st November 2018 (Voucher 20400338), 16 days after the request for payment was made by the contractor.

Request for payment for supply and installation of solar system at Adok Health Centre II Maternity ward was made by M/s Jeridan Company Limited on the 6th June 2019 and forwarded for approval by DHO on the 10th June 2019. Payment certificate no 1 for UGX 31,568,307 was compiled by Ass Engineering Officer on the 7th June 2019 and confirmed by DE on the 10th June 2019. Payment was made on the 17th June 2019 (Voucher No. 23917007), 11 days after the request for payment was made by the contractor.

Request for payment for hydrogeological survey, drilling of 1 production borehole was made by M/s East Africa Boreholes Ltd on the 17th June 2019. Request was forwarded for approval by DWO on the 24th June 2019. Payment Certificate No 1 for UGX 28,822,444 was compiled by Civil Engineer on the 24th June 2019. Payment was made on the 25th June 2019 (Voucher No. 24334644), 8 days after request for payment was made by the contractor. 18 1 The LG • Evidence that the LG Dokolo DLG at least had a Senior Internal Auditor. executes the has a substantive Senior Internal Audit Internal Auditor: 1 point. Mr. Ongom Alfred Tommy was on the 17th September 2015 function in offered appointment as Senior Internal Auditor by the direction of accordance • LG has produced all Dokolo District Service Commission under Min 45/2015. with the LGA quarterly internal audit section 90 and reports for the previous LG FY: score 2. procurement regulations

Maximum 6 points on this performance measure.

18 2 The LG • LG has produced all The Ag. District Internal Auditor for Dokolo DLG produced 4 executes the quarterly internal audit internal audit reports for FY2018/19 as set out in section 90 of LG Internal Audit reports for the previous Act CAP 243 as amended and section 48 of PFMA 2015. i.e function in FY: score 2. accordance • RE: Dokolo District First Quarter Internal Audit Report FY with the LGA 2018/2019. Produced on the 14th December 2018 section 90 and • RE: Dokolo District Second Quarter Internal Audit Report FY LG 2018/2019. Produced on the 21st March 2019 procurement regulations • RE: Dokolo District Third Quarter Internal Audit FY 2018/2019. Produced 25th June 2019 Maximum 6 points on this • RE: Dokolo District Fourth Quarter Internal Audit Report FY performance 2018/2019. Produced on the 21st August 2019. measure. These reports were all addressed to the Chairperson Council and referenced CR/D/251/2 with copies to

• CAO Dokolo

• Chairperson PAC- Dokolo

• RDC- Dokolo

• Office of the Auditor General, Soroti

• Office of the Internal Auditor General, Kampala

• Ministry of Local Government

• CFO

18 Evidence that the LG has 0 The LG provided information to During assessment, Dokolo DLG provided evidence that the executes the the Council and LG PAC District made follow ups on issues arising from internal audit Internal Audit on the status of reports and status of implementation of these findings for only 2 function in implementation of internal out of the 4 quarters i.e. Q1-Q2 FY2018/19. accordance audit findings for the Internal Audit issues arising in FY 2018/19 with the LGA previous financial year section 90 and i.e. follow up on audit Q1 LG queries from all quarterly procurement audit reports: score 2. • DLG collected only UGX 37,477,351 as local revenue against regulations estimates of UGX 226,000,000 for the FY2018/19 Maximum 6 • Financial records for works and water not availed points on this performance • Purchases delivered direct to user departments before being measure. charged to stores or witnessed by Internal Audit Department

• Administrative advances have not been accounted for within one month of disbursement

• Late releases of funds to departments

• Non-compliance by Sub Counties i.e. no accountability, no reporting, no appointment letters, wrong rate for SDA, no activity report

• District collected only UGX 7,484,383 as local revenue during the quarter against the local revenue estimates of UGX 226,000,000

• Financial records for UWEP and some vouchers for Roads and Water were not availed for verification. Vouchers for UGX 65,788,500 under works and water not presented for verification.

• Administrative advances not accounted for within one month of disbursement i.e. UGX 44,241,478

• Non-compliance by Sub Counties i.e. unaccounted for advances, inadequate maintenance of books of account, purchases not charged in stores, revenue collection not centralised, late submission of accountabilities and advances, depositing revenue direct to operation account and non- remittance of 35% share of local revenue to the district.

• DLG collected UGX 4,368,576 during the quarter against estimates of UGX 226,000,000

• No handover report by Accountants indicted in March 2019

• No disbursement of funds to various groups under UWEP, NUSAF 3 and YLP under period of review

• Administrative advances not accounted for within one month of disbursement i.e. UGX 107,171,572

• Non-compliance by Sub Counties i.e. unaccounted funds, cash book not posted to date and balanced, no bank reconciliations, funds lost, expenditure on activities above budget

• UGX 230,400,000 disbursed under Youth Livelihood Program due for recovery on the 30th August 2019

• UGX 4,695,000 of local revenue collected during the quarter against UGX 226,000,000

• UGX 560,547,653 transferred to various sub projects under NUSAF 3 lacks acknowledgement letters, receipts and payees not signed on the vouchers

• Administrative advances UGX 49,673,759 not accounted for within one month

• Non delivery of supplies to stores UGX 1,705,000 • Non-compliance by Sub Counties i.e. no local revenue collected during quarter; insufficient explanation on issue of grinding mill in Kangai SC; no local revenue collected in some sub counties; no cash book analysis, vote book and abstract; and revenue abstracts and expenditure abstract not maintained

CAO made follow ups on the issues arising from the internal audit reports for Q1-Q2 FY 2018/19 through communication to certain officials to account for funds i.e.

• 28th March 2019 to CDO/YLP Focal Person CR/D/251/4 (RE: 1st Quarter internal audit report, 2018/2019)

• 28th March 2019 to Senior Inspector of Schools CR/D/251/4 (RE: 1st Quarter internal audit report, 2018/2019)

• 28th March 2019 to DCDO Focal Person CR/D/251/4 (RE: 1st Quarter internal audit report, 2018/2019)

• 3rd April 2019 to Stenographer CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to CDO Dokolo SC CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to CDO Agwata SC CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to Civil Engineer Water CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to SAS CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to Chairperson LC111 Agwata SC CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to Ag. Civil Engineer Water CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

• 3rd April 2019 to Education Officer CR/D/251/4 (Second Quarter internal audit report for FY 2018/2019)

CAO Dokolo DLG on the 29th April 2019 made submissions Ref: CR/D/213/2 (RE: Submissions of status of implementation of internal audit reports for 3rd and 4th quarter of FY 2017/2018 and 1st and 2nd Quarter of FY 2018/19) to PS/ST, PS MoLG, District Chairperson and Head of Internal Audit communicating status of implementation of issues arising from negative findings in the internal audit reports for Q1-Q2 FY2018/19. i.e.

Q1 FY 2018/19

• Out of the 13 issues raised, only 2 were dropped

Q2 FY 2018/19

• Out of 30 issues raised, only 5 issues dropped. 18 0 The LG • Evidence that internal During assessment, there was evidence that Dokolo DLG PAC in executes the audit reports for the the FY 2018/19 only made deliberations on issues arising from Internal Audit previous FY were internal audit reports for FY 2017/18 and not the year of function in submitted to LG assessment i.e. FY2018/19. Dokolo LG PAC was not fully accordance Accounting Officer, LG constituted for some time during the FY2018/19. with the LGA PAC and LG PAC has section 90 and reviewed them and PAC Reports LG followed-up: score 1. • 7th March 2019 RE: Report of the Local Government Public procurement Accounts Committee on the Internal Audit Report on Dokolo regulations District Local Government for 4th Quarter FY 2017/18. Maximum 6 PAC Minutes points on this performance • Meeting held on the 12th- 13th March 2019 was discussing measure. issues on AG report for FY 2017/18

Members of PAC

• Mr. Ogwang Alele John- Chairperson

• Mr. Adilo Godfrey- Member

• Ms. Tamali Edinyu- Member

• Mr. Owiny Simon- Member

• Mr. Alunga Atepo Shaban- Member

• Mr. Ojok David- Secretary

19 • Evidence that the LG 4 The LG maintains an updated Dokolo DLG maintained an updated Fixed Asset Register as part maintains a assets register covering of the annexes in the PBS. A copy of the Fixed Asset Register detailed and details on buildings, was printed and submitted to Accountant General as part of updated assets vehicle, etc. as per format documents for audit of final accounts for FY2018/19. Note that register in the accounting manual: section 1.7, page 15 of LGFA manual 2007 permits DLGs using Maximum 4 score 4 computerised financial and accountability systems from full points on this adherence to all procedures and formats specified in this manual, performance provided that the computer system in use has been officially measure. endorsed by the Accountant General.

RE: Submission of Asset Register. Dated 17th July 2019 addressed to the Office of the Accountant General MoFPED categorised as

• Land

• Building

• Machinery

• Furniture

• ICT Equipment

• Medical Equipment

• Office Equipment

• Transport Equipment 20 4 The LG has Quality of Annual The audit opinion for the FY ended 30th June 2019 obtained an financial statement from communicated by the Auditor General was unqualified. unqualified or previous FY: qualified Audit opinion • Unqualified audit opinion: score 4 Maximum 4 points on this • Qualified: score 2 performance • Adverse/disclaimer: measure score 0

Governance, oversight, transparency and accountability 21 2 The LG • Evidence that the Dokolo DLG Council met and discussed service delivery related Council meets Council meets and issues. This was evidenced by the minutes of the District Council and discusses discusses service meetings held on 30th – 31st October, 2018; 26th March, 2019, service delivery related issues and 30th - 31st May, 2019. delivery related including TPC reports, issues monitoring reports, For instance, in the Council Meeting of 30th – 31st October, 2018 performance under MIN. 12/06/2018-2019 there was a discussion on, the Maximum 2 reports of the Standing Committees of Finance and points on this assessment results and Administration; Production, Marketing and Natural Resources; performance LG PAC reports for last Works and Technical Services; and Health, Education and measure FY: score 2 Community services. In the same Council sitting there was a deliberation on the management of Ayugi quarry which had been contracted to Multiplex (U) Ltd, a discussion on the reports of BIDS Foundation and THETA Project which were partnering with the district to provide health services.

In the full Council meeting of 26th March, 2019 under MIN. 5/01/2019 there was presentation and laying of draft district budget for FY 2019/20 and the approval of a supplementary budget of UGX 11,245,000/= for the education department under MIN.6/01/2019.

In the Council meeting of 30th -31st May, 2019 under MIN.05/05/2019, the district budget, annual work plan, consolidated annual procurement plan, revenue enhancement plan and capacity building plan were discussed and approved by Council.

22 • Evidence that LG has 1 The LG has designated a person to Mr. Musafiri A. Sowed Officer, the Communication Officer of responded to coordinate response to Dokolo was in a letter from the CAO dated 22nd July, 2018 ref: the feedback/ feed-back CR/D/156/2, assigned additional duties of coordinating response complaints (grievance/complaints) to feedback (grievance and complaints) from the citizens. provided by and responded to citizens feedback and complaints: score 1. Maximum 2 points on this Performance Measure 22 1 The LG has • The LG has specified a There was a system for recording, investigating and responding to responded to system for recording, grievances, among which included complaints/suggestion box, the feedback/ investigating and which had been displayed at the administration block and Council complaints responding to grievances, hall. provided by which should be citizens displayed at LG offices The District put in place a mechanism both in the technical and and made publically political wing of responding to feedback and complaints from Maximum 2 available: score 1 citizens. Depending on the grievances/complaints by citizens, the points on this relevant technical officer, Senior Management, TPC, DEC, Performance Standing Committees or full Council, were tasked to handle and Measure respond appropriately.

Service delivery grievances and staff indiscipline cases were recorded directly in the office of CAO and forwarded to the sanctions/rewards committee which is chaired by the Deputy CAO.

The political grievances were recorded through the office of the Chairman and the Speaker and were discussed in the various standing committees.

23 2 The LG shares Evidence that the LG has Dokolo DLG payroll and pensioner schedule for FY 2018/19 as information published: well as payroll for October, 2019 were pinned on public notice with citizens boards at the general notice boards of the new and old (Transparency) • The LG Payroll and Administration blocks and were also easily accessible in HR Pensioner Schedule on department. Total maximum public notice boards and 4 points on this other means: score 2 Performance Measure

23 1 The LG shares • Evidence that the The Procurement and Disposal Plan 2018/2019 and that of information procurement plan and 2019/20 were published on the notice board and copies were also with citizens awarded contracts and kept on the contracts file. Awarded contracts of FY 2018/19 and (Transparency) amounts are published: amounts were also published on the notice board. score 1. Total maximum Example of the awarded contracts with the following particulars 4 points on this were displayed on the public notice board; Performance Measure - PROCUREMENT REF NO. DOKO575/WRKS/2018- 2019/00002; CONSTRUCTION OF 2 CLASSROOM BLOCK AT ABALANG MODERN P/S; CONTRACTOR: M/S MOTO TECHNICAL SERVICES LIMITED; COST: 52,589,500=.

- PROCUREMENT REF NO: DOKO575/WRKS/2018- 2019/00003; CONSTRUCTION OF 2 CLASSROOM BLOCK AT ANYWENYA P/S; CONTRACTOR: M/S SUNCO & PARTNERS LIMITED; COST: 61,564,730=

- PROCUREMENT REF NO: DOKO575/WRKS/2018- 2019/00005; CONSTRUCTION OF PRODUCTION OFFICE BLOCK PHASE VI; CONTRACTOR: M/S BAMUNI SERVICES (U) LIMITED; COST: 79,312,284/= 23 1 The LG shares • Evidence that the LG There was evidence tha Dokolo DLG had 2 whatsapp platforms information performance assessment (DOKOLO DISTRICT LG STAFF & DOKOLO DISTRICT with citizens results and implications LEADERS) for district MP’s, RDC, resident Magistrate, executive (Transparency) are published e.g. on the committee members, councilors, heads of departments, sub county chiefs and community development officers where Total maximum budget website for the information is posted and discussed. The Performance 4 points on this previous year (from Assessment Results for FY 2017/2018 were posted and Performance budget requirements): discussed in the full Council meeting of 30th- 31st October, 2018 Measure score 1. under MIN.18/06/2018.

24 1 The LGs • Evidence that the HLG Dokolo DLG had a substantive Communications Officer Mr. communicates have communicated and Musafiri A. Sowed responsible for communicating and explaining guidelines, explained guidelines, guidelines, circulars and policies from the Centre to LLGs and circulars and circulars and policies institutions during FY 2018/2019. policies to issued by the national LLGs to level to LLGs during The circulars, policies and guidelines were further discussed and provide previous FY: score 1 shared through a whatsapp platform called DOKOLO DISTRICT feedback to the LG STAFF comprised of heads of departments and sectors, head citizens teachers, sub county chiefs, community development officers and sub county sub accountants Maximum 2 points on this Records from the Chief Administrative Officer, District Planner and performance Central Registry had the following disseminated; measure - Indicative Planning for the YLP from Ministry of Gender on 8th August, 2018

- Operation Wealth Guidelines- 11th August, 2018

- Guidelines to Gender Responsive Budgeting 23rd November, 2018

- NUSAF III 6th October, 2018

- Procurement Plan 2018/19 Guidelines from PPDA – 3rd September, 2018

- Quarter 1 Budget Performance Report and DDP 2019/20 – 6th December, 2018

- Development Planning Guidelines (District and Sub County 2018/19)

- Budget Implementation for FY 2018/19

- First Budget Call Circular on preparation of BFP’s and preliminary budget estimates for FY 2019/20

- Simplified Guidelines in budgeting, accountability and reporting for Local Government services 24 1 The LGs • Evidence that LG during Dokolo DLG during the previous FY 2108/2019 conducted radio communicates the previous FY talk shows with the public to provide feed-back on status of guidelines, conducted discussions activity implementation. This was evidenced by the payment for circulars and (e.g. municipal urban fora, talk shows on 10th January, 2019 to DOKOLO FM and talk show policies to barazas, radio schedule at DOKOLO FM radio station. LLGs to programmes etc.) with the provide public to provide feed- The District also has free airtime talk shows on RUPINY and feedback to the back on status of activity DOKOLO FM which are attended by heads of departments, citizens implementation: score 1. political leaders and office of the RDC to discuss service delivery issues with the citizens. Maximum 2 points on this performance measure

Social and environmental safeguards 25 0 The LG has • Evidence that the LG The LG Gender Focal Person (GFP) Mr. Ogwal Moses who is mainstreamed gender focal person and also a Senior Community Development Officer (SCDO) did not gender into CDO have provided provide evidence of providing guidance and support to sector their activities guidance and support to departments to mainstream gender, vulnerability and social and planned sector departments to inclusion into their activities. The minutes of the Technical activities to mainstream gender, Planning Committee that purportedly contained the evidence of strengthen vulnerability and guidance and support provided to sector departments where for women’s roles inclusion into their 23rd November 2017 and not 23rd November 2018 as portrayed. activities score 2. The minutes were clearly manipulated to have been prepared on Maximum 4 23rd November 2018 whereas they were for 23rd November 2017 points on this which falls sunder the FY2017/2018 that is not under performance consideration currently. This was detected after carefully reading measure. and reviewing the content of the minutes.

25 2 The LG has • Evidence that the The GFP had planned activities for the current FY (2019/2020) to mainstreamed gender focal point and strengthen women roles and gender parity as evidenced by gender into CDO have planned for planned activities under gender sub section, page 51 of the their activities minimum 2 activities for Dokolo LG approved budget estimates for FY2019/2020. and planned current FY to strengthen activities to women’s roles and In the previous FY the LG had planned for UGX1,000,000/- to: strengthen address vulnerability i. to facilitate the technical support supervision with the aim of women’s roles and social inclusions and assessing implementation of gender mainstreaming activities in Maximum 4 that more than 90 % of lower local governments. This is evidenced by the IFMS points on this previous year’s budget for generated invoice number 23639258 dated 10th June 2019 of performance gender activities/ UGX500,000/- measure. vulnerability/ social ii. To facilitate a gender audit of subcounties workplans and inclusion has been budgets with the aim of assessing the implementation of gender implement-ted: score 2. mainstreaming activities in lower local governments. This is evidenced by the IFMS generated invoice no. 19500386 dated 13th June 2019 of UGX500,000/-. This totals to UGX1,000,000/- representing 100% of expenditure which was above the minimum requirement of 90%. 26 1 LG has • Evidence that LG had carried out screening activities on 16 projects and established environmental screening activities in the FY 2018/2019. and maintains or EIA where appropriate, a functional are carried out for Some of the screened projects included; system and activities, projects and 1. Drilling and installation of seven (7) deep boreholes (Proc. Ref: staff for plans and mitigation DOKO575/WRKS/2018-2019/00001) was screened on the environmental measures are planned following dates: 24th October 2018 (Adari A site), 25th October and social and budgeted for: score 1 2018 (Elwange site), 30th October 2018 (Olelpek site), 31st impact October 2018 (Bardyang HCII site), 22nd October 2018 (Teilwa assessment site), 1st November 2018 (Ayetayet site), and 23rd October 2018 and land (Adok Market site). acquisition 2. Construction of 2 classroom block at Angwenya Primary Maximum 6 School (Proc. Ref: DOKO575/WRKS/2018-2019/00003) screened points on this on 7th May 2018 performance measure 3. Construction of 2 classroom block at Akwanga P/S (Proc. Ref: DOKO575/WRKS/2018-2019/00004) was screened on 6th May 2018

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III (Proc. Ref: DOKO575/WRKS/2018-2019/00008) was screened on 10th January 2019

5. Construction of 2 units of 5 stances drainable latrine at Dokolo HC IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009) was screened on 9th January 2019

The Environment Officer prepared a consolidated Environment and Social Management Plan (ESMP) that guided the implementation of investment projects in Water, Health and Education in respect to Environment and Social safeguards. It was approved by the CAO on 28th February 2019 and submitted to NEMA for review on 7th March 2019. It highlights the relevant policy and legal framework that was useful in the implementation of the projects. It also provides guidance on management of environment and social risks associated with implementation of infrastructure projects in the various sectors.

Pages 8 -10 highlight the investment projects and the respective categorisations in respect to severity and magnitude of impacts and risks.

Pages 11 – 29 contain the ESMP for management of environmental and social risks associated with the investment projects in the various sectors. 26 1 LG has • Evidence that the LG The LG had integrated environmental and social management established integrates environmental plans in the contract bid documents as evidenced by a sample of and maintains and social management projects below: a functional and health and safety system and plans in the contract bid 1. Drilling and installation of seven (7) deep boreholes (Proc. Ref: staff for documents: score 1 DOKO575/WRKS/2018-2019/00001) BoQ item no. 1.4 of environmental UGX680,000/- included under ‘Engineers supervision and other and social site activities’. This is also reflected in the Contract document impact under Item no. 1, ‘Site Preparatory works’ worth UGX680,000/- assessment 2. Construction of 2 classroom block at Angwenya Primary and land School (Proc. Ref: DOKO575/WRKS/2018-2019/00003) BoQ item acquisition no. AC of UGX200,000/- for planting of 30 trees seedlings of pine Maximum 6 and maintenance for 60 days. This is also reflected in the Contract points on this document under ‘Bill 1: Preliminaries’ of UGX7,250,000/-, performance 3. Construction of 2 classroom block at Akwanga Primary School measure (Proc. Ref: DOKO575/WRKS/2018-2019/00004), BoQ item no. AC of UGX200,000/- for planting of 30 trees seedlings of pine and maintenance for 60 days. This is also reflected in the Contract document under ‘Bill 1: Preliminaries’ of UGX1,800,000/-,

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III (Proc. Ref: DOKO575/WRKS/2018-2019/00008) BoQ item no. X of UGX100,000/- for planting of 10 approved trees seedlings and maintenance for 60 days. This is also reflected in the Contract document under ‘Element No. 1: Structures’ of UGX16,393,000/-,

5. Construction of 2 units of 5 stances drainable latrine at Dokolo H/C IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009) BoQ item no. X of UGX100,000/- for planting of 10 approved trees seedlings and maintenance for 60 days. This is also reflected in the Contract document under ‘Bill 1: Preliminaries’ of UGX18,399,000/-,

26 1 LG has • Evidence that all The LG had evidence for land ownership on which projects established projects are implemented implemented for FY 2018/2019 were located, for example: and maintains on land where the LG has a functional proof of ownership (e.g. a 1. Construction of 2 units of 5 stances drainable latrine at Kwera system and land title, agreement HC III, freehold land title: Vol 822, Folio 3, Plot 33, Sheet No. staff for etc..): score 1 42/1/16, IS No. K/1/0895, Dokolo Block 4 measuring 24.568 environmental Hectares in the names of Kwera Subcounty LG of P.O. Box 540 and social Dokolo impact 2. Construction of 2 units of 5 stances drainable latrine at Dokolo assessment HC IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009) Freehold and land land title., CR/214/10, Volume 919, Folio 11, Sheet no. 42/1/SW/2 acquisition & SE/1, I/S No. K/1/0424, Plot 36, Dokolo Block 4 at Awinyipany Maximum 6 in the names of Dokolo District LG of P.O. Box 540 Dokolo. points on this Other projects land documents are still with the District Land performance Board which is processing the titles. measure The Land donation forms for the boreholes are reportedly at the subcounties Headquarters and could not be availed to confirm. 26 1 LG has • Evidence that all The LG Environment Officer had environmental compliance established completed projects have certificates issued for some completed projects and endorsed by and maintains Environmental and Social the District Environmental Officer as evidenced by copies of the a functional Mitigation Certification certificate for projects including: system and Form completed and staff for signed by Environmental i) Environmental monitoring checklist for the Drilling and environmental Officer and CDO: score 1 installation of 7 deep boreholes (Proc. Ref: and social DOKO575/WRKS/2018-2019/00001), environmental certificate impact no. ENR/ENV/0108 signed by both CDO and Environment Officer assessment 2. Construction of 2 classroom block at Angwenya Primary and land School (Proc. Ref: DOKO575/WRKS/2018-2019/00003), acquisition environmental certificate no. ENR/ENV/0094 signed by both CDO Maximum 6 and Environment Officer points on this 3. Construction of 2 classroom block at Akwanga Primary School performance (Proc. Ref: DOKO575/WRKS/2018-2019/00004), environmental measure certificate no. ENR/ENV/0112 signed by both CDO and Environment Officer

4. Construction of 2 units of 5 stances drainable latrine at Kwera H/C III (Proc. Ref: DOKO575/WRKS/2018-2019/00008), environmental certificate no. ENR/ENV/0119 signed by both CDO and Environment Officer

5. Construction of 2 units of 5 stances drainable latrine at Dokolo H/C IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009), environmental certificate no. ENR/ENV/0118 signed by both CDO and Environment Officer

26 1 LG has • Evidence that the The Interim and completion payment certificates are signed by the established contract payment Environmental Officer, alongside other authorities, to constitute and maintains certificated includes prior clearance. This is evidenced by the certificates mentioned a functional environmental and social hereunder as examples: system and clearance (new one): staff for Score 1 1. Construction of 2 classroom block at Akwanga Primary School environmental (Proc. Ref: DOKO575/WRKS/2018-2019/00004) interim certificate and social no. 1, issued on 18th March 2019 impact 2. Construction of two units of 5-stance drainable latrine at Dokolo assessment HCIV, final payment certificate dated 13th June 2019 and land acquisition 3. Drilling and Installation of 7 boreholes, interim payment certificate dated 20th June 2019 Maximum 6 points on this 4. Construction of 2 units of 5 stances drainable latrine at Kwera performance H/C III, interim payment certificate no. 1 dated 14th June 2019 measure 5. Construction of 2 classroom block at Angwenya P/S (Proc. Ref: DOKO575/WRKS/2018-2019/00003), interim payment certificate no. 1 dated 8th May 2019. Completion certificate no.1 dated 20th June 2019. 26 0 LG has • Evidence that The LG Environment Officer undertook environmental and social established environmental officer and monitoring of projects as evidenced by the following reports: and maintains CDO monthly report, a functional includes a) completed 1. Environmental monitoring checklist for the Drilling and system and checklists, installation of 7 deep boreholes (Proc. Ref: staff for DOKO575/WRKS/2018-2019/00001), monitoring checklists for environmental b) deviations observed the various sites and dated 13th may 2019, 10th May 2019, 8th and social with pictures, c) corrective May 2019, 7th May 2019, 6th May 2019, 2nd May 2019 and 3rd impact actions taken. Score: 1 May 2019 signed by both CDO and Environment Officer assessment 2. Construction of 2 classroom block at Angwenya Primary and land School (Proc. Ref: DOKO575/WRKS/2018-2019/00003), acquisition monitoring checklist dated 7th May 2019 and signed by both CDO Maximum 6 and Environment Officer points on this 3. Construction of 2 classroom block at Akwanga P/S (Proc. Ref: performance DOKO575/WRKS/2018-2019/00004), monitoring checklist dated measure 6th May 2019 and signed by both CDO and Environment Officer

4. Construction of 2 units of 5 stances drainable latrine at Kwera HC III (Proc. Ref: DOKO575/WRKS/2018-2019/00008), monitoring checklist dated 21st May 2019 and signed by both CDO and Environment Officer

5. Construction of 2 units of 5 stances drainable latrine at Dokolo HC IV (Proc. Ref: DOKO575/WRKS/2018-2019/00009), monitoring checklist dated 20th May 2019 and signed by both CDO and Environment Officer

However, it should be noted that the environmental and social monitoring was undertaken once throughout the project construction/implementation phase and not on a monthly basis as expected. Therefore, all projects had one environmental and social monitoring checklist. Secondly, the deviations from the what is expected in line with the ESMP were not shown by way of pictures and corrective actions were neither indicated.

575 Education Performance Dokolo Measures 2019 District

Summary of Definition of No. Compliance justification Score requirements compliance Human resource planning and management 1 The LG education 4 department has • Evidence that the LG The Approved Performance Contract generated on budgeted and has budgeted for a Head 25/07/2019 04:10 had a wage bill of UGX 5,453,951,000 for deployed teachers Teacher and minimum of 724 primary teachers in position against 914 staff in the as per guidelines (a 7 teachers per school (or structure . The total budget covered 60 Head teachers and Head Teacher and minimum a teacher per 664 regular teachers for 60 schools. minimum of 7 class for schools with teachers per less than P.7) for the school) current FY: score 4

Maximum 8 for this performance measure

1 The LG education 4 department has • Evidence that the LG The Approved Performance Contract generated on budgeted and has deployed a Head 25/07/2019 04:10 was evidence that the LG had a staff list and deployed teachers Teacher and minimum of budget for 60 government aided schools. Angwecibange had as per guidelines (a 7 teachers per school (or 20 teachers including a H/T. Koroto had a H/Teacher and 10 Head Teacher and minimum of a teacher teachers. Dokolo had 17 teachers including a H/T, and Atur minimum of 7 per class for schools with had 16 teachers including a H/T. teachers per less than P.7) for the school) current FY: score 4

Maximum 8 for this performance measure

2 LG has 3 substantively • Evidence that the LG • According to the wage IPFs for FY 2019/20 there were 724 recruited all primary has filled the structure for of staff in position against 914 staff in the structure, with a school teachers primary teachers with a wage bill provision equivalent to UGX 5,453,951,000 where there is a wage bill provision • Wage analysis for FY 2019/20 had an anticipated average wage bill provision o If 100%: score 6 requirement of UGX 4,836,588,480 giving a surplus of UGX Maximum 6 for this 617,362,520 o If 80 - 99%: score 3 performance • Therefore, 87 % of the structure for primary school teachers measure o If below 80%: score 0 with a wage bill provision for FY 2019/20 was filled 3 LG has 0 substantively • Evidence that the LG The structure had two (2) Inspectors and one position of an recruited all has substantively filled Inspector of Schools was filled. positions of school all positions of school To mention; inspectors as per inspectors as per staff structure, where there is staff structure, • Okello Denis Livingstone, Inspector of Schools appointed on a wage bill provision: where there is a 1st November 2016 vide letter Ref. CR/159/1 and DSC Min. score 6 wage bill provision. 64/2016 Maximum 6 for this performance measure

4 2 The LG Education Evidence that the LG There was evidence that the department had submitted a department has Education department recruitment plan for 2019/2020 dated 17th April 2019, and submitted a has submitted a received by Central Registry on 17th April 2019. It had; recruitment plan recruitment plan to HRM covering primary for the current FY to fill • 1 Post Senior Inspector of Schools teachers and positions of • 10 Post for head teachers school inspectors to • Primary Teachers: HRM for the current • 14 Deputy head teachers FY. score 2 • 15 Senior Education Assistants Maximum 4 for this performance • 1 Sports Officer measure • 150 Education Assistants

This had been preceded by a letter dated 13th September to CAO declaring vacancies in Education that was received by Central Registry same day of authoring it.

4 The position of Senior Inspector of schools was declared in 2 The LG Education Evidence that the LG the recruitment plan referred to to above. department has Education department submitted a has submitted a recruitment plan recruitment plan to HRM covering primary for the current FY to fill teachers and positions of school inspectors to HRM for the current • School Inspectors: FY. score 2

Maximum 4 for this performance measure

Monitoring and Inspection 5 3 The LG Education Evidence that the LG Dokolo District had 2 Inspectors of Schools in FY2018/19, department has Education department Okello Denis Livingstone and Ocen Charles. The two conducted has ensured that all Inspectors of Schools were both appraised during FY 2018/19 performance head teachers are on 18th June 2019 by CAO Bwonyo Bosco Acup. appraisal for school appraised and has inspectors and appraised all school There was therefore evidence to show that the Inspectors of ensured that inspectors during the Schools were appraised during FY2018/19 in Dokolo district. performance previous FY This therefore demonstrated compliance of 100%. appraisal for all primary school • 100% school head teachers is inspectors: score 3 conducted during the previous FY.

Maximum 6 for this performance measure 5 3 The LG Education Evidence that the LG department has Education department There were 60 Primary Schools in Dokolo district. A sample of conducted has ensured that all 10 Primary schools was picked from the 60. Analysing and performance head teachers are reviewing the personal files of H/Teachers of these 10 appraisal for school appraised and has schools, appraisal reports or performance agreements were inspectors and appraised all school found in all the 10 files of head teachers. This implies that all ensured that inspectors during the school head teachers of Primary Schools in Dokolo were performance previous FY appraised in FY2018/19. For example, some of the head appraisal for all teachers sampled included the following for example: primary school • Primary school head head teachers is teachers • Otim Norman of Okwalongwen Pr. School – appraised by conducted during Sub County Chief Okwee Rajab, on 20th Jan 2019 as per the previous FY. o 90 - 100%: score 3 appraisal report;

Maximum 6 for this o 70% and 89%: score • Baali Moris of Abakuli Pr Sch. – appraised by sub/county performance 2 chief Ogwang George Morris on 12th Feb 2019 as per measure appraisal report viewed; o Below 70%: score 0 • Omia James of Amoma Primary School – appraised by Ochero Denis on 30th Dec 2018 as shown by appraisal report;

• Olyong Robert of Aneralibi Pr School was appraised by Opige Benard on 5th Aug 2018;

• Adong Christine Nancy of Alopeta Pri School – had no evidence to show that she was appraised during FY2018/19 in Dokolo Dist;

• Akello Jacinta Otema of Ilong Pri School was appraised by CAO Akello Pasquale Eryatu Denis on 3rd July 2019.

• Ejangoria Immaculate of Amun Amun Pri School was appraised by Tapi Kevin on 12th Feb 2019 as per appraisal report found in her personal records file.

• Okeng George of Angwenya Pri. Sch. was appraised on Akello Pasquale Eryatu on 15th Feb 2019 as per appraisal report found in his file;

• Ogwal Alfred of Kachung Pr. Sch was appraised on 15th Feb 2019 by Opio Jacob.

• Otim Leo of Hassa Memorial Pr. Sch was appraised on 5th Aug 2018 as per his appraisal report viewed and signed off by Tapi Kevin.

Likewise, all the rest of the head teachers were appraised during FY2018/19.

Out of the 10 sampled files, it was found that 9 out of 10 representative head teachers in Dokolo district were appraised during FY 2018/19. This being representative of all the 60 primary schools, Dokolo district was therefore compliant at 90%. 6 0 The LG Education • Evidence that the LG There was no evidence that the department had Department has Education department communicated ALL guidelines, policies and circulars. For effectively has communicated all example the critical guidelines ; Planning, Budgeting and communicated and guidelines, policies, Implementation Guidelines for Local Governments for the explained circulars issued by the Education Sector, was not communicated and was not guidelines, policies, national level in the available, at both district office and in the five schools visited. circulars issued by previous FY to schools: the national level in score 1 the previous FY to schools

Maximum 3 for this performance measure

6 2 The LG Education • Evidence that the LG There was evidence that the department had held meetings Department has Education department with H/Ts vide meetings held on 29th May 2019, to effectively has held meetings with disseminate and explain the circulars on; Ban on Buying communicated and primary school head Examinations from commercial Examination Bureaus, circular explained teachers and among 12/2019 dated 13th March 2019 explained under Minute guidelines, policies, others explained and 4/2/2019 Key Policy issues. Another circular discussed was; circulars issued by sensitised on the Pupil Assessment; Unit assessment, home work, continuous the national level in guidelines, policies, assessment and class projects. the previous FY to circulars issued by the schools national level: score 2

Maximum 3 for this performance measure

7 0 The LG Education • Evidence that all School inspections were conducted in only two terms as De- partment has licenced or registered follows; effectively schools have been inspected all inspected at least once • Term 11, 2018 sixteen (16) were inspected digitally and 40 registered primary per term and reports schools manually making a total 56 out of 60 (93%) schools2 produced: • Term 111 2018, Sixteen (16) were done digitally and forty Maximum 12 for o 100% - score 12 four (44) manually, making 60 out of 60 schools (100%) this performance The average inspection coverage in the three terms was 44%. measure o 90 to 99% - score 10

o 80 to 89% - score 8 At Koroto Ps inspection was done on 28th May 2019 and 12th November 2019, Dokolo was inspected on 13th March 2019 o 70 to 79% - score 6 and Atur was inspected on 4th July 2019.

o 60 to 69% - score 3

o 50 to 59 % score 1

o Below 50% score 0. 8 4 LG Education • Evidence that the There was evidence that the department discussed the department has Education department inspection reports. Reference is made to the meeting that sat discussed the has discussed school on 17th April 2019, Min.5/2019 – Discussion of inspection results/ reports of inspection reports and reports. The following were the issues for example, ‘There are school inspec- used reports to make teachers who over drink and end up not preparing schemes of tions, used them to recommendations for work and lesson plans leading to poor performance to make corrective actions during mention; Igar and Adwar primary schools. recommendations the previous FY: score 4 for corrective Recommendation; Teachers who are drinking and get drunk actions and fol- at the expense of teachers must be forwarded to the Reward lowed and Sanction committee, for action’ recommendations

Maximum 10 for this performance measure

8 0 LG Education • Evidence that the LG No evidence of submission of the Inspection reports to the department has Education department DES was availed to the Assessor, in terms of ackowledgment discussed the has submitted school of receipt. results/ reports of inspection reports to the school inspec- Directorate of Education tions, used them to Standards (DES) in the make Ministry of Education recommendations and Sports (MoES): for corrective Score 2 actions and followed recommendations

Maximum 10 for this performance measure

8 4 LG Education • Evidence that the There was evidence that the inspection recommendations department has inspection were followed up for example; On 3rd May 2019 the head discussed the recommendations are teacher of Amunamun vide Re CRD/EDU/157/1 was results/ reports of followed- up: score 4. cautioned by DEO about late coming of teachers as result of school inspec- the inspection visit while on 5th July 20119, under Ref. tions, used them to CR/D/301/1 LETTER OF COMMENDATION, Mr Ouni Francis make Head teacher of Agwata was applauded by DEO, for his recommendations dedication to duty as the most outstanding field staff, of Dokolo for corrective education department. actions and followed recommendations

Maximum 10 for this performance measure 9 5 The LG Education • Evidence that the LG The LG submitted accurate/consistent EMIS data for 60 department has has submitted schools on an excel sheet that was collaborative with that submitted accurate/consistent data: loaded on PBS (60 schools) as per the Approved accurate/consistent Performance Contract generated on 25/7/2019 04:10 reports/date for o List of schools which school lists and are consistent with both enrolment as EMIS reports and PBS: score 5 per formats provided by MoES

Maximum 10 for this performance measure

9 5 The LG Education Evidence that the LG has The data/enrolment retrieved from MoES (55.106) pupils and department has submit- also that loaded on PBS totaling 55.106 pupils as per the submitted Approved Performance Contract Annex generated on accurate/consistent ted accurate/consistent 25/7/2019 04;10, were collaborative. reports/date for data: school lists and • Enrolment data for all enrolment as schools which is per formats consistent with EMIS provided by MoES report and PBS: score 5

Maximum 10 for this performance measure

Governance, oversight, transparency and accountability 10 2 The LG committee • Evidence that the Dokolo DLG Social Services Standing Committee which is responsible for council committee responsible for Education met and discussed service delivery education met, responsible for issues including inspection and supervision reports. discussed service education met and delivery issues and discussed service This was evidenced by minutes of the Education, Health and presented issues delivery issues including Community Based Services Standing Committee meetings that require inspection, performance held on 20th -21st September, 2018 under MIN. 3/09/2018, 7th approval to Council assessment results, LG t – 8th March, 2019 under MIN. 3/03/2019, and of 28th -29th PAC reports etc. during May, 2019 under MIN.9/02/2019 discussing reports of the Maximum 4 for this the previous FY: score 2 Education sector. performance measure For instance, the Education, Health and Community Based Services Standing Committee meeting held on 20th -21st September, 2018 under MIN. 3/09/2018; report on Education Sector delivery discussed the lack of coordination between the DEO and inspectorate section, the dangers of public markets neighboring schools and ensuring that pupils/ students remain at schools during market days, monitoring of head teachers association account, staff recruitment, accountability for the printer of the education department and identifying the site for the construction of Bata Seed Senior Secondary School.

The above Education Sector committee deliberations were presented to full Council Meeting of 30th – 31st October, 2018 which deliberated and approved issues of the Education, Health and Community Based Services Standing Committee.

10 2 The LG committee • Evidence that the The Education Sector committee presented issues that require responsible for education sector approval to Council. education met, committee has presented discussed service issues that require This was confirmed by the Education, Health and Community delivery issues and approval to Council: Based Services Standing Committee meeting deliberations presented issues score 2 which were presented to full Council consideration and that require approval at meetings held on 30th – 31st October, 2018; 26th approval to Council March, 2019, and 30th - 31st May, 2019.

Maximum 4 for this For instance, in the full Council Meeting of 30th – 31st performance October, 2018 under MIN. 19/06/2018 there was a discussion measure and approval of deliberations from the report of the Standing Committee on Health, Education and Community services

In the full Council meeting of 30th - 31st May, 2019 under MIN. 05/05/2019, the Council deliberated and approved the Education Sector budget allocation of 8,309,219,000/= and work plan for FY 2019/20. 11 5 Primary schools in Evidence that all primary The DEO had files for School Management Committees for a LG have schools have functional the 60 primary schools, established as per the Second functional SMCs SMCs (established, Schedule of the Education (Pre-Primary, Primary, and Post meetings held, Primary) Act 2008. In the four (5) sampled schools ie, Maximum 5 for this discussions of budget Angwecibange, Kotoro; Dokolo PS, and Atur they discussed performance and resource issues and UPE, for example at on 8th October 2018 at Dokolo a budget measure submission of reports to of UGX 3,200,000 for 3rd Term 2018, was discussed and DEO/ MEO) approved by the SMC under Min 05/ 02/2018

• 100% schools: score 5

• 80 to 99% schools: score 3

• Below 80 % schools: score 0

12 Evidence that the LG has 3 The LG has publicised all schools There was evidence of display of UPE at the DEO’s notice publicised all receiving non-wage board for 3rd Term 2019. In the four schools sampled in schools receiving recurrent grants e.g. Indicator 11 above, they had also displayed UPE for all the non- wage through posting on terms in FY 2018/19 and FY 2019/20. At the five visited recurrent grants public notice boards: Schools there was a chart that showed all the monies score 3 received for the three (3) terms in 2019 For example at Maximum 3 for this Angwecibange UGX 3,960,000 for 1st Term 2019 was performance displayed. measure

Procurement and contract management 13 4 The LG Education • Evidence that the The LG Education Department procurement plan for department has sector has submitted 2018/2019 was submitted on 23rd April 2018 before the submitted input into procurement input to deadline. It had projects including: 1. Construction of 2 the LG procurement Procurement Unit that classroom block at Abalang Modern Primary School, 2. plan, complete with covers all investment Construction of 2 classroom block at Anywenya Primary all technical items in the approved School 3. Construction of 2 classroom block at Akwanga requirements, Sector annual work plan Primary School and budget on time by to the Procurement April 30: score 4 Unit that cover all items in the approved Sector annual work plan and budget

Maximum 4 for this performance measure

Financial management and reporting 14 Evidence that the LG 3 The LG Education Education departments Review of 3 payments made to suppliers for works and department has timely (as per contract) supplies for the sector revealed that requests for payment from certified and certified and suppliers were certified and sector head recommended initiated payment recommended suppliers payments timely (i.e. 30 days from submission of request for for supplies on time for payment: score 3. payment as per contract)

Maximum 3 for this Request for payment for the construction of 12 classroom performance blocks at Akwanga Primary School, Okwalongwen Sub measure County was made by M/s Ngic-Angica Co. Ltd on the 14th March 2019. Request forwarded by DEO for approval on the 3rd April 2019, 20 days after request was made by the contractor. Payment certificate no 1 for UGX 53,671,193 was prepared by Ass Eng Officer on the 18th March 2019, 4 days after request for payment was made by the contractor.

Request for payment for construction of 2 classroom block at Abalang Modern Primary School was made by M/s Moto Technical Services Limited on the 24th May 2019. Request forwarded by DEO for approval on the 10th June 2019, 17 days after the request was made by the contractor. Payment Certificate no 1 for UGX 30,855,829 was compiled on the 10th June 2019 by Ass Engineering Officer 17 days after the request for payment was made by the contractor

Request for payment for the supply of 87 3 seater desks was made by M/s Top Harvest Atat & Treasure Co. Ltd on the 26th February 2019 and forwarded for approval by DEO on the 27th February 2019, a day after request for payment was made by the contractor. Payment certificate no 1 for UGX 14,577,720 was compiled by Ass. Engineering Officer and checked by DE on the 27th February 2019, a day after request for payment was made by the contractor.

15 0 The LG Education • Evidence that the The Education department submitted the four Quarterly department has department submitted Reports for FY 2018/2019 to District Planner as indicated submitted annual the annual performance below: reports (including report for the previous all quarterly reports) FY (with availability of all o Quarter One Report was submitted on 21st November 2018 in time to the four quarterly reports) to o Quarter Two Report was submitted on 29th January 2019 Planning Unit the Planner by 15th of July for consolidation: o Quarter Three Report was submitted on 14th May 2019 Maximum 4 for this score 4 performance o Quarter Four Report was submitted on 1st August 2019 measure The Education department submitted all the four quarterly reports but the fourth quarter was submitted on 1st August 2019 a date which was beyond the deadline of 15th July 2019 as required by the PFMA Act, 2015. 16 0 LG Education has • Evidence that the During the FY2018/19, the sector had several issues arising acted on Internal sector has provided from the 4 quarterly internal audit. CAO Dokolo DLG on the Audit recom- information to the 29th April 2019 made submissions Ref: CR/D/213/2 (RE: mendation (if any) internal audit on the Submissions of status of implementation of internal audit status of implementation reports for 3rd and 4th quarter of FY 2017/2018 and 1st and Maximum 4 for this of all audit findings for 2nd Quarter of FY 2018/19) to PS/ST, PS MoLG, District performance the previous financial Chairperson and Head of Internal Audit communicating status measure year of implementation of issues arising from negative findings in the internal audit reports for Q1-Q2. However, there is no o If sector has no audit evidence that the sector provided information on the status of query implementation of the finding in Q3 FY 2018/19 internal audit reports. score 4 Issues arising from the 4 quarterly internal audit reports. o If the sector has provided information to Q1 the internal audit on the status of imple- • Purchases delivered direct to user departments before mentation of all audit being charged to stores or witnessed by Internal Audit findings for the previous Department (UGX 3,500,000 under Education Department) financial year: score 2 • Administrative advances have not been accounted for o If all queries are not within one month of disbursement (UGX 9,173,333 Education) respond- Q2 ed to score 0 • Administrative advances not accounted for within one month of disbursement i.e. UGX UGX 44,241,478 (Education UGX 19,776,000

• Administrative advances not accounted for within one month of disbursement i.e. UGX 107,171,572 (Education UGX 14,933,333)

Social and environmental safeguards 17 0 LG Education • Evidence that the LG There was no evidence that the gender focal person Department has Education department in disseminated guidelines, since there were no minutes or disseminated and consultation with the documentation to prove that the activity had taken place. promoted gender focal person has adherence to disseminated guidelines gender guidelines on how senior women/men teachers Maximum 5 points should provide guidance for this performance to girls and boys to measure handle hygiene, reproductive health, life skills, etc.: Score 2 17 0 LG Education • Evidence that LG No evidence was produced, in terms of minutes or record of Department has Education department in the issuing of guidelines, or by receipt of the guidelines by disseminated and collaboration with the head teachers, on how to manage sanitation for girls and promoted gender department have PWD's in primary schools. adherence to issued and explained gender guidelines guidelines on how to manage sanitation for Maximum 5 points girls and PWDs in for this performance primary schools: score 2 measure

17 1 LG Education • Evidence that the There was evidence that all the 60 SMC's met the guideline Department has School Management on gender composition for a minimum of two women on the disseminated and Committee meets the SMC of thirteen (13) members. In the five schools sampled promoted guideline on gender schools, the following was found: Angwecibange had three adherence to composition: score 1 (3), Dokolo three (3), Koroto four (4), and Atur two (2) women gender guidelines respectively

Maximum 5 points for this performance measure

18 1 LG Education • Evidence that the LG There was evidence that the environment department issued department has Education department in guidelines ; Guidance on Environmental and Social ensured that guide- collaboration with Mainstreaming in Schools authored by NEMA and lines on Environment department explained/disseminated them at a head teachers meeting environmental has issued guidelines on held on 29th May 2019 management are environmental disseminated and management (tree complied with planting, waste management, formation Maximum 3 points of environmental clubs for this performance and environment measure education etc.): score 1:

18 1 LG Education • Evidence that all There was evidence that three (3) infrastructure projects were department has school infrastructure screened before approval for construction. These were; ensured that guide- projects are screened lines on before approval for 1. Construction of 2 classroom block at Akwanga PS, in environmental construction using the Okwalongwen sub-county. management are checklist for screening of 2. Construction of 2 classroom block at Akwengenya PS in disseminated and projects in the budget Kangai Sub-county complied with guidelines and where risks are identified, the 3. Abalang Modern PS in Abalang sub-county Maximum 3 points forms include mitigation for this performance actions: Score 1 The forms were signed by the Environment officer Okola measure Issac, but not dated and the screening report for three schools was sent to NEMA on 4th March 2019 and received on 7th March 2019. 18 0 LG Education • The environmental There was no evidence that the Environment officer and the department has officer and community CDO visited the sites, since there was report to prove that the ensured that guide- development officer have activity was conducted. lines on visited the sites to environmental checked whether the management are mitigation plans are disseminated and complied with: Score 1 complied with

Maximum 3 points for this performance measure

575 Health Performance Dokolo Measures 2019 District

Summary of Definition of No. Compliance justification Score requirements compliance Human resource planning and management 1 8 LG has substantively Evidence that LG has According to the performance contract 2019/2020 recruited primary filled the structure for (25/07/2019 04:10), the wage IPFs for primary health workers health care workers primary health care for the FY 2019/2020 was 2,259,947,816/=. with a wage bill with a wage bill provision from PHC provision from PHC First quarter wage performance report for the current year wage wage for the current submitted indicated an average wage requirement of FY 2,111,933,904/= for the year 2019/2020 resulting in a surplus of 148,013,904/=. This indicated that 93% of the structure for • More than 80% primary health workers with a wage bill provision from PHC Maximum 8 points for filled: score 8 wage for the current FY had been filled. this performance measure • 60 – 80% - score 4

• Less than 60% filled: score 0

2 6 The LG Health Evidence that Health There was evidence that the health department submitted the department has department has recruitment plan that was in the signed performance contract submitted a submitted a 2019/20 generated on (25/07/2019 04:10). A letter to CAO comprehensive comprehensive copied to HRM dated 2nd December 2018 was provided as recruitment plan for recruitment plan/re- evidence of that submission. primary health care quest to HRM for the workers to the HRM current FY, covering department the vacant positions of primary health care workers: score 6

Maximum 6 points for this performance measure 3 8 The LG Health Evidence that the all There were a total of 16 Health Centres in Dokolo district. department has health facilities in- They were broken down as follows: conducted charges have been performance appraisal appraised during the HCIIs were 11, for Health Centre IVs previous FY: HCIIIs were 4 and and Hospital In- o 100%: score 8 charge and ensured HCIV was only 1. performance o 70 – 99%: score 4 appraisals for HC III The in-charges of some of these health centres are as and II in-charges are o Below 70%: score follows: conducted 0 In-charge of Dokolo HCIV (the only HC4 in the district) was Dr. Okullo Bong Geoffrey was appraised on 3rd June 2019;

Maximum 8 points for In-charge of Agwata HCIII (Opio Roy) was appraised on 1st this performance July 2019 as per appraisal report found in his personal file; measure In-charge of Kwera HCIII was Awino Judith. She was appraised on 30th June 2019;

In-charge of Kongai HCIII was Oyugo Richard Joe and he was 30th June 2019.

In-charge of Alapata HCII was Christine Apio and was appraised on 6th June 2019;

In-charge of Bata HCIII was Auma Gloria and was appraised on 1st July June 2018 by Aguti Jacinta;

In-charge of Badyang HCII was Acirocan Gloria was appraised on 14th Aug 2018.

The in-charge of Awelo HCII, Ojuk Nelson, was appraised on 11th June 2019 by Ekilu Peter;

The in-charge of Awiri HCII, Awino Anna, was appraised on 17th July 2018;

The in-charge of Atabu HCII, Atim Gillian, was appraised on 17th June 2019 by Medical Clinical Officer called Abeja Lawrence;

After going through the appraisal reports of all in-charges, there was sufficient evidence to show that in-charges of all the 16 health centres of Dokolo district were appraised in FY2018/19. This made compliance of 100%. 4 4 The Local Government • Evidence that the Review of the list submitted with the budget in the Health department has LG Health department performance contract for 2019/20 (Generated on 25/07/2019 deployed health has deployed health 04:10) indicated that there were at; workers across health workers in line with the facilities and in lists submitted with the Dokolo HCIV had 7 enrolled midwives & 5 enrolled nurses. accordance with the budget for the current This was consistent with the deployment list obtained from staff lists submitted FY, and if not provided the DHO. together with the justification for Agwata HCIII had 3 enrolled midwives & 5 enrolled nurses. budget in the current deviations: score 4 This was not consistent with the deployment list obtained FY. from the DHO that indicated that there were 2 midwives Maximum 4 points for deployed there. A plausible explanation for the inconsistency this performance was given. measure Awiri HCII had 1 enrolled midwive & no enrolled nurse. This was not consistent with the deployment list obtained from the DHO that indicated that there were 2 midwives and 1 enrolled nurse deployed there. A plausible explanation for the inconsistency was given.

Monitoring and Supervision 5 0 The DHO/MHO has • Evidence that the No evidence was provided at Dokolo HCIV, Bata HCIII, effectively DHO/ MHO has Agwata HCIII & Awiri HCII to indicate that they had received communicated and communicated all from the DHO a copy of the Sector Grant and Budget explained guidelines, guidelines, policies, Guidelines to Local Governments FY 2019/20 as a prioritized policies, circulars circulars issued by the guideline by MoH. issued by the national national level in the level in the previous previous FY to health No evidence in the form of minutes of meetings or FY to health facilities facilities: score 3 submission letters or email to health unit in-chargers was provided in which the DHO communicated the “Sector Grant and Budget Guidelines to Local Governments FY 2019/20” as a prioritised guideline by MoH. Maximum 6 for this performance measure

5 0 The DHO/MHO has • Evidence that the The “Sector Grant and Budget Guidelines to Local effectively DHO/ MHO has held Governments FY 2019/20” was not among the guidelines communicated and meetings with health discussed during the quarterly health performance review explained guidelines, facility in- charges and meetings dated as follows: 2nd October 2018, 6th February policies, circulars among others 2019, 2nd April 2019 and 24th July 2019. No other meetings issued by the national explained the with health facility in- charges were held during FY level in the previous guidelines, policies, 2018/2019. FY to health facilities circulars issued by the national level: score 3

Maximum 6 for this performance measure 6 0 The LG Health Evidence that No evidence was provided to indicate that Dokolo HCIV had Department has DHT/MHT has been supervised by the DHT at least once in a quarter during effectively provided supervised 100% of FY 2018/2019. support supervision to HC IVs and district district health services hospitals (including There was no collaboration between the supervision log PNFPs receiving PHC book at Dokolo HCIV and the integrated support supervision grant) at least once in reports provided by the DHT for FY 2018/2019. The a quarter: score 3 supervision log book had only one log for integrated support Maximum 6 points for supervision by the DHT for FY 2018/2019 and that was on this performance the 13th November 2018. Hence the assessment team could measure not authenticate the reports that were provided and dated as follows: 26th September 2018, 15th November 2018, 4th April 2019 & 6th July 2019.

6 0 The LG Health Evidence that The DHT and Dokolo HSD (Dokolo HCIV) did not provide Department has DHT/MHT has evidence to indicate that the HSD had supervised lower level effectively provided ensured that HSD has health facilities at least once in a quarter during FY support supervision to supervised lower 2018/2019. district health services level health facilities within the previous FY: There was no collaboration between evidence in supervision log books at Bata HCIII, Agwata HCIII, Amwoma HCII and • If 100% supervised: Awiri HCII with the integrated support supervision reports Maximum 6 points for score 3 provided by the HSD for FY 2018/2019. Evidence in the this performance supervision log books at the respective health facilities measure • 80 - 99% of the indicated that integrated support supervision had been health facilities: score conducted on the following dates: 2 • At Amwoma HCII there were only 2 of the quarterly logs • 60% - 79% of the for FY 2018/2019. These were dated: 9th November 2018 health facilities: score and 12th March 2019; 1 • At Awire HCII there were only 3 of the quarterly logs for • Less than 60% of FY 2018/2019. These were dated: 15th August 2018, 21st the health facilities: November 2018 & 13th March 2019; score 0 • At Bata HCIII there were only 2 of the quarterly logs for FY 2018/2019. These were dated: 8th November 2018 & 12th March 2019;

• At Agwata HCIII there were only 2 of the quarterly logs for FY 2018/2019. These were dated: 6th November 2018 & 12th March 2019;

Hence the assessment team could not authenticate the reports that were provided dated as follows: 14th August 2018 (not signed), 22nd November 2018, 20th March 2019 & 6th July 2019. 7 4 The LG Health • Evidence that all Whereas the authenticity of the DHT and HSD integrated department (including the 4 quarterly reports support supervision reports could not be ascertained, there HSDs) have have been discussed was evidence that all the 4 quarterly reports had been discussed the and used to make discussed and used to make recommendations (in each results/reports of the recommendations (in quarter) for corrective actions during the FY 2018/2020. For support supervision each quarter) for example there was a minute in all of the quarterly health and monitoring visits, corrective actions performance review meeting minutes dated as follows: 2nd used them to make during the previous October 2018 – Minute 5/2018-19 Discussion of supervision recommendations for FY: score 4 reports; 6th February 2019 – Minute 13/2018-19 Discussion corrective actions and of supervision reports; 2nd April 2019 – Minute 21 followed up Discussion of supervision reports; and 24th July 2019 - Minute 28 Discussion of supervision reports

Maximum 10 points for this performance measure

7 0 The LG Health • Evidence that the There was no evidence to indicate that recommendations department (including recommendations are had been followed up with specific activities (in each HSDs) have followed up and quarter). discussed the specific activities results/reports of the undertaken for support supervision correction: score 6 and monitoring visits, used them to make recommendations for corrective actions and followed up

Maximum 10 points for this performance measure

8 10 The LG Health • Evidence that the All 17 health facilities receiving PHC funding listed in the department has LG has submitted performance contract for 2019/20 (Generated on 25/07/2019 submitted accurate/ accurate/consistent 04:10) were consistent with the list of health facilities consistent reports/data data regarding: submitting HIMS reports as indicated in the report for HMIS for health facility lists 105 reporting rate for July to September 2019. receiving PHC funding o List of health as per formats facilities receiving provided by MoH PHC funding, which are consistent with both HMIS reports and PBS: score 10 Maximum 10 for this performance measure

Governance, oversight, transparency and accountability 9 2 The LG committee • Evidence that the Dokolo DLG Social Services Standing Committee responsible for health LG committee responsible for Health met and discussed service delivery met, discussed service responsible for health issues including inspection and supervision reports. delivery issues and met and discussed presented issues that service delivery issues This was evidenced by minutes of the Education, Health and require approval to including supervision Community Based Services Standing Committee meetings Council reports, performance held on 20th -21st September, 2018 under MIN. 3/09/2018, assessment results, 7th t – 8th March, 2019 under MIN. 3/03/2019, and of 28th - LG PAC reports etc. 29th May, 2019 under MIN.9/02/2019 discussing reports of during the previous the Health sector. Maximum 4 for this FY: score 2 performance measure For instance, the Education, Health and Community Based Services Standing Committee meeting held on 20th -21st September, 2018 under MIN. 3/09/2018; report on Health Sector delivery discussed the provision of mother kits in the District by Ministry of Health, PHC releases to the district, availability of coartem drugs at health facilities to treat malaria, distribution of condoms to guard against HIV/AIDS, processing of the land title for Agwata HC III, upgrade of Aweto and Abok HC II’s to III’’s with funding from Central Government and the availability of a Surgeon Dr’ Okullo Obong who was welcomed in the District.

The above Health Sector committee deliberations were presented to full Council Meeting of 30th – 31st October, 2018 which deliberated and approved issues of the Education, Health and Community Based Services Standing Committee.

9 2 The LG committee • Evidence that the The Health Sector committee presented issues that require responsible for health health sector approval to Council. met, discussed service committee has pre- delivery issues and sented issues that This was confirmed by the Education, Health and Community presented issues that require approval to Based Services Standing Committee meeting deliberations require approval to Council: score 2 which were presented to full Council consideration and Council approval at meetings held on 30th – 31st October, 2018; 26th March, 2019, and 30th - 31st May, 2019.

For instance, in the full Council Meeting of 30th – 31st Maximum 4 for this October, 2018 under MIN. 19/06/2018 there was a discussion performance measure and approval of deliberations from the report of the Standing Committee on Health, Education and Community services

In the full Council meeting of 30th - 31st May, 2019 under MIN. 05/05/2019, the Council deliberated and approved the Health Sector budget allocation of UGX 3,802,217,000 and work plan for FY 2019/20. 10 2 The Health Unit Evidence that health Evidence was adduced to the effect that not all health Management facilities and Hospitals facilities had functional HUMCs. For instance only 3 of the 5 Committees and have functional health facilities provided evidence that they had held all the Hospital Board are HUMCs/Boards mandatory quarterly HUMC meeting for FY 2018/2019. The operational/functioning (established, meetings following are the meetings per facility visited: held and discussions of budget and resource • Amwoma HCII did not provide any HUMC meeting issues): minutes for FY 2018/2019; Maximum 6 points • If 100% of randomly • Dokolo HCIV provided only 3 of 4 quarterly HUMC sampled facilities: meeting minutes for FY 2018/2019. These were dated: 12th score 6 November 2018, 27th March 2019 & 3rd July 2019;

• If 80-99 %: score 4 • Awire HCII provided all quarterly HUMC meeting minutes for FY 2018/2019. These were dated: 3rd August 2018, 6th • If 70-79: %: score 2 November 2018, 8th February 2019 & 10th July 2019;

• If less than 70%: • Bata HCIII provided all the mandatory quarterly HUMC score 0 meeting minutes for FY 2018/2019. These were dated: 7th September 2018, 16th November 2018, 29th March 2019 & 19th June 2019;

• Agwata HCIII provided all the mandatory quarterly HUMC meeting minutes for FY 2018/2019. These were dated: 13th September 2018, 25th January 2019, 9th May 2019 & 16th July 2019.

11 4 The LG has publicised • Evidence that the All health facilities visited (Dokolo HCIV, Bata HCIII, Agwata all health facilities LG has publicised all HCIII & Awiri HCII) had a posting on their public notice board receiving PHC non- health facilities of PHC non-wage recurrent grants received by each. In wage recurrent grants receiving PHC non- addition, there was a posting of all 17 health facilities that wage recurrent grants received PHC non-wage recurrent grants for quarter 1 of e.g. through posting on FY19/20 on the public notice board at the DHOs office. public notice boards: Maximum 4 for this score 4 performance measure

Procurement and contract management 12 2 The LG Health • Evidence that the There was a health department procurement work plan for FY department has sector has submitted 2019/2020 presented as evidence. The following are its submitted input to input to procurement details: Prepared by DHO on the 16th April 2019, received by procurement plan and plan to PDU that cover PDU on the 16th April 2019. The following were some of the requests, complete all investment items in items on it: (1) Upgrade of Amwoma HCII to HCIII (2) with all technical the approved Sector Rehabilitation of doctor`s house at Dokolo HCIV requirements, to PDU annual work plan and that cover all items in budget on time by April the approved Sector 30 for the current FY: annual work plan and score 2 budget

Maximum 4 for this performance measure 12 2 The LG Health • Evidence that LG There was a copy of form PP1 with a subject of procurement - department has Health department construction of a two stance VIP drainable latrine at Dokolo submitted input to submitted procurement HCIV was submitted on the 11th July 2018 by DHO to the procurement plan and request form (Form PDU. It was confirmed by CAO on the same day. requests, complete PP5) to the PDU by 1st with all technical Quarter of the current requirements, to PDU FY: score 2. that cover all items in the approved Sector annual work plan and budget

Maximum 4 for this performance measure

13 4 The LG Health • Evidence that the Review of 3 payments made to suppliers for works and department has DHO/ MHO (as per supplies for the sector revealed that requests for payment certified and initiated contract) certified and from suppliers were certified and sector head recommended payment for supplies recommended payments timely (i.e. 30 days from submission of request for on time suppliers timely for payment as per contract) payment: score 4. Request for payment for the construction of Twin Staff house with Kitchen, solar power, water harvesting system and 2 Maximum 4 for this stances VIP latrine at Abalang HC11 was made by M/s performance measure Mamelih Investment Ltd on the 5th November 2018 and forwarded by DHO on the 8th November 2018, 3 days after the request for payment was made by the contractor. Final Certificate for UGX 10,966,992 was prepared by Supervisor on the 8th November 2018, 3 days after the request for payment was made by the contractor.

Request for payment for supply and installation of solar system at Adok Health Centre II Maternity ward was made by M/s Jeridan Company Limited on the 6th June 2019 and forwarded for approval by DHO on the 10th June 2019, 4 days after the request for payment was made by the contractor. Payment certificate no 1 for UGX 31,568,307 was compiled by Ass Engineering Officer on the 7th June 2019 and confirmed by DE on the 10th June 2019, 3 days after it was prepared and 4 days after the request for payment was made by the contractor.

Request for payment for construction of 2 units of 5 stance latrine was made by M/s Dreamers Enterprise limited on the 24th May 2019 (received central registry on the 30th May 2019) and recommended by DHO on the 14th June 2019, 15 days after the request for payment was received in central registry. Payment certificate No 1 for UGX 34,682,038 was compiled by Ass Engineering Officer on the 14th June 2019 and checked by DE same day, 15 days after the request for payment was received in the central registry of the DLG.

Financial management and reporting 14 4 The LG Health • Evidence that the The Health department submitted the four Quarterly Reports department has department submitted for FY 2018/2019 to District Planner as indicated below: submitted annual the annual reports (including all performance report for o Quarter One Report was submitted on 20th November 2018 quarterly reports) in the previous FY o Quarter Two Report was submitted on 25th January 2019 time to the Planning (including all four Unit quarterly reports) to the o Quarter Three Report was submitted on 12th May 2019 Planner by mid-July for consolidation: score 4 o Quarter Four Report was submitted on 13th July 2019

Maximum 4 for this The Health department submitted all the four quarterly reports performance measure and the fourth quarter was submitted on 13th July 2019 a date which was within the deadline of 15th July 2019 as required by the PFMA Act, 2015.

15 0 LG Health department Evidence that the During the FY2018/19, the sector had an issue arising from has acted on Internal sector has provided the 3rd quarter internal audit report. There was no evidence Audit recommendation information to the that the sector provided information on the status of (if any) internal audit on the implementation of this finding in the internal audit report for status of quarter 3 FY 2018/19. implementation of all audit findings for the Issue arising from the 4 quarterly internal audit reports. Maximum 4 for this previous financial year performance measure Q3 • If sector has no • Administrative advances not accounted for within one audit query: Score 4 month of disbursement i.e. UGX 107,171,572 (Health UGX • If the sector has 12,155,000) provided information to the internal audit on the status of implementation of all audit findings for the previous financial year: Score 2 points

• If all queries are not

responded to Score 0

Social and environmental safeguards 16 2 Compliance with • Evidence that There was evidence that all Health Unit Management gender composition of Health Unit Committees (HUMCs) met the gender composition as per HUMC and promotion Management guideline. For instance; of gender sensitive Committee (HUMC) sanitation in health meet the gender • Dokolo HCIV – 3 out of 9 members were female facilities. composition as per • Agwata HCIII – 2 out 6 members was female, guidelines (i.e. minimum 30 • Awiri HCII – 2 out of 5 members were female, Maximum 4 points % women: score 2 • Bata HCIII – 2 out of 6 members were female 16 2 Compliance with • Evidence that the Distribution list of the 2017 National Sanitation & Hygiene gender composition of LG has issued guideline was presented at the DHOs office. This was HUMC and promotion guidelines on how to collaborated by copies of the guideline found at (Dokolo of gender sensitive manage sanitation in HCIV, Bata HCIII & Agwata HCIII). In addition, it was sanitation in health health facilities observed during facility visits that OPD toilet facilities at facilities. including separating (Dokolo HCIV, Agwata HCIII & Amwoma HCII) were facilities for men and separated for men and women. women: score 2.

Maximum 4 points

17 0 LG Health department • Evidence that all Not all 7 health facility infrastructure projects implemented has ensured that health facility during FY 2018/19 had screening forms and mitigation action guidelines on infrastructure projects plans. Screening forms and plans were presented for only environmental are screened before two projects: (1) Construction of 2 units of 5 stances management are approval for drainable latrine at Kwera HC III and (2) Construction of 2 disseminated and construction using the units of 5 stances drainable latrine at Dokolo HC IV. complied with checklist for screening of projects in the No Screening forms plus plans were presented for the budget guidelines and following projects: (1) Upgrading of Adok HCII to HCIII; (2) where risks are Upgrading of Awelo HCII to HCIII; (3)Construction of placenta Maximum 4 points for identified, the forms pit at Agwata HCII, (4) Construction of placenta pit at HCII, this performance include mitigation Kwera HC III and (5) Construction of placenta pit at Kangai measure actions: Score 2 HCIII.

17 0 LG Health department • The environmental Five of the seven sites did not have screening forms, has ensured that officer and community mitigation plans, site visit reports and inspection reports guidelines on development officer hence were not visited by the environmental officer and environmental have visited the sites community development officer to check whether the management are to checked whether the mitigation plans had been complied with. disseminated and mitigation plans are complied with complied with: Score 2 Site visit reports were presented for only two projects: (1) Construction of 2 units of 5 stances drainable latrine at Kwera HC III- monitoring checklist dated 21st May 2019 and signed by both CDO and Environment Officer and (2) Construction of Maximum 4 points for 2 units of 5 stances drainable latrine at Dokolo HC IV - this performance monitoring checklist dated 20th May 2019 and signed by both measure CDO and Environment Officer.

18 4 The LG Health • Evidence that the All health facilities visited during the assessment period department has issued LG has issued (Dokolo HCIV, Bata HCIII, Agwata HCIII & Awiri HCII) had guidelines on medical guidelines on medical guidelines in place on the management of medical waste. All waste management waste management, had the guidelines on the segregation of medical waste. including guidelines (e.g. sanitation charts, posters, etc.) for Maximum 4 points construction of facilities for medical waste disposal2: score 4.

575 Water & Sanitation Dokolo Performance 2019 District

Summary of Definition of No. Compliance justification Score requirements compliance Planning, budgeting and execution 1 4 The DWO has • Evidence that the Information from the MIS indicated that, the district safe water targeted district Water average coverage was 86%. The district had eleven (11) sub allocations to sub- department has counties and safe water coverage per sub county as follows; counties with safe targeted sub- Adeknino 74%, Adok 74%.Agwata 84%, Amwoma 95%, Batta water coverage counties with safe 95%, Dokolo 95%, DokoloTC 71%, Kangai 95%, Kwera 80%, below the district water coverage Okwalongwen 95% and Okwongodul 88%. Five of the eleven sub average. below the district counties Adeknino, Adok, .Agwata, Dokolo TC and Kwera were average in the below district safe water average coverage. The current FY budget for the current 2019/2020 the district Water department had targeted budget FY: allocations to four sub counties (Adeknino, Adok Okwalongwen Maximum score 10 and Okwongodul) as evidenced in the approved budget estimates for this o If 100 % of the 2019/2020 generated on 25th July 2019. Accordingly, the district performance budget allocation for budgeted for eight (8) boreholes as indicated below; Adeknino 3, measure the current FY is Adok 2 Okwalongwen 1 and Okwongodul 2. Out of eight (8) allocated to S/Cs boreholes to be implemented in the FY 2019/2020, five (5) were in below average sub counties below safe coverage which translated to 5/8x100= coverage: score 10 63%.

o If 80-99%: Score 7

o If 60-79: Score 4

o If below 60 %: Score 0 2 5 The district Water • Evidence that the The approved budget estimates 2018/2019 generated on 8th May department has district Water 2018 showed that the district water department budgeted and implemented department has implemented budgeted water projects. The allocation was in six (6) budgeted water implemented sub counties as indicated below; Adeknino 1, Adok 1,Okwongodul projects in the budgeted water 1, Kwera 1, Dokolo TC 1 and Batta 1. That allocation did not target targeted sub- projects in the sub counties below district safe water average coverage. The counties (i.e. sub- targeted sub- district implemented six (6) boreholes and only four (4) of them in counties with safe counties with safe sub counties which had coverage below district average which water coverage water coverage translated to 4/6x100 = 67%. below the district below the district average) average in the previous FY.

o If 100 % of the Maximum 15 water projects are points for this implemented in the performance targeted S/Cs: measure Score 15

o If 80-99%: Score 10

o If 60-79: Score 5

o If below 60 %: Score 0

Monitoring and Supervision 3 15 The district Water Evidence that the Reviewed documentation revealed that water and sanitation department carries district Water facilities constructed by district water department in the FY out monthly department has 2018/2019 were monitored. That was revealed in multi-sectoral monitoring of monitored each of monitoring report for on-going and completed projects by the project investments WSS facilities at district technical committee dated 12th August 2019. The in the sector least annually. monitoring took place from 22nd July to 1st August 2019. There was also a report on multi-sectoral monitoring by works and • If more than 95% sectorial committee for fourth quarter dated 28th June 2019. The of the WSS facilities evidence provided indicated that the projects implemented in the Maximum 15 monitored: score 15 FY 2018/2019 were monitored which puts water and sanitation points for this monitoring at about 100%. performance • 80% - 95% of the measure WSS facilities -

monitored: score 10

• 70 - 79%: score 7

• 60% - 69% monitored: score 5

• 50% - 59%: score 3

• Less than 50% of WSS facilities monitored: score 0 4 5 The district Water • Evidence that the Information provided in form 1s submitted to the MWE on six (6) department has district has submitted water sources (Teilwa, Ayet Ayet, Olelpek, Adari, Elwange and submitted accurate/consistent Ocamayom) drilled and constructed in the FY 2018/2019 matches accurate/consistent data for the current with the information contained in the district fourth quarter reports/ data lists of FY: Score 5 performance report received by the MWE on 12th August 2019. In water facilities as addition reviewed MIS reports of 2018/2019 on point water sources per formats indicated that three out of six water sources were captured in the provided by MoWE system.

Maximum 10 for this performance measure

4 5 The district Water • List of water The reviewed MIS reports of 2018/2019 on point water sources department has facility which are indicated that three (3) water sources (Teilwa, Ayet Ayet, and submitted consistent in both Ocamayom) drilled and constructed in the previous FY 2018/2019 accurate/consistent sector MIS reports were included in the system. That was consistent in the MIS report reports/ data lists of and PBS: score 5 and the district performance report. water facilities as per formats provided by MoWE

Maximum 10 for this performance measure

Procurement and contract management 5 4 The district Water Evidence that the There was evidence that water sector submitted in put for the department has sector has submitted district procurement plan to PDU that covered all investment items submitted input for input for the district in the approved Sector Annual Work Plan and Budget. The district’s procurement plan to submission was received by the Head of PDU on 23rd April 2019, procurement plan, PDU that cover all which was within the stipulated submission deadline of 30th April. complete with all investment items in technical the approved Sector requirements, to annual work plan PDU that cover all and budget on time items in the (by April 30): score 4 approved Sector annual work plan and budget

Maximum 4 for this performance measure 6 2 The district has • If the contract In an internal memo dated 11th February 2019 and signed by appointed Contract manager prepared a CAO, the district appointed a contract supervisor (Quintos Opio) for Manager and has contract supervision of seven deep borehole siting, drilling and installation effectively management plan and construction of a 4 - stance drainable latrine at Amwoma managed the WSS and conducted market. The following documents were availed for assessment a contracts monthly site visits for contract management plan and supervision reports for FY the different WSS 2018/2019. A progress report dated 27th February 2019 and a infrastructure status report dated 13th September 2019 for the construction of a 4 projects as per the stance drainable latrine at Amwoma market. Also availed were Maximum 8 points contract supervision reports for borehole drilling dated 30th April 2019 and for this management plan: pump testing and installation dated 24th June 2019. performance score 2 measure

6 2 The district has • If water and All designs for water supply and sanitation facilities were approved appointed Contract sanitation facilities by the District Engineer and were availed for assessment. Two (2) Manager and has constructed as per water projects Olelpek and Teilwa, and one drainable latrine at effectively design(s): score 2 Amwoma market implemented in the previous FY 2018/2019 were managed the WSS inspected. All the facilities were found well designed as per the contracts specifications and functioning satisfactorily. For example, water was clean, apron slab had a smooth finishing and raised edge, and the drainage channel slopes away from the apron slab. The latrine was accessible and had a ramp. Maximum 8 points for this performance measure

6 0 The district has • If contractor Copies of handover reports by the contractor to the community appointed Contract handed over all signed by chairman L.C.1 were availed for assessment. For Manager and has completed WSS example, handover for Olelpek and Teilwa boreholes was done on effectively facilities: score 2 24th June 2019 and was witnessed by the chairman water user managed the WSS committee and chairman L.C.1 Olelpek and chairman L.C.1 contracts Teilwa. However there was no proof of handover for the 4-stance drainable latrine at Amwoma market.

Maximum 8 points for this performance measure

6 2 The district has • If DWO Copies of completion and interim certificates for six (6) boreholes appointed Contract appropriately and one drainable latrine construction were availed for Manager and has certified all WSS assessment. effectively projects and managed the WSS prepared and filed For example; certificate of completion dated 20th November 2019 contracts completion reports: and interim certificate dated 6th November 2019 for the score 2 construction of six (6) boreholes. And also final certificate dated 17th September 2019 for the construction of 4 stance drainable latrine at Amwoma market were availed for assessment. Maximum 8 points for this performance measure 7 3 The district Water • Evidence that the Review of 3 payments made to suppliers for works and supplies for department has DWOs timely (as per the sector revealed that requests for payment from suppliers were certified and initi- contract) certified certified and sector head recommended payments timely (i.e. 30 ated payment for and recommended days from submission of request for payment as per contract) works and supplies suppliers for on time payment: score 3 Request for payment for hydrogeological survey, drilling of 1 points production borehole was made by M/s East Africa Boreholes Ltd Maximum 3 for this on the 17th June 2019. Request was forwarded by DWO on the performance 24th June 2019, 7 days after the request for payment was made by measure the contractor. Payment Certificate No 1 for UGX 28,822,444 was compiled by Civil Engineer on the 24th June 2019, 7 days after payment request was made by the contractor.

Request for payment for construction of 4 stance drainable latrine at Amwoma Market was made by M/s O.K. Noah on the 18th February 2019. Request was forwarded by DWO on the 28th February 2019, 10 days after the request for payment was made by the contractor. Payment Certificate for UGX 14,278,177 was compiled by Contract Supervisor on the 27th February 2019 and verified by DWO on the 28th February 2019, a day it was prepared and 10 days after the request for payment was made by the contractor.

Request for payment for the rehabilitation of 7 boreholes was made by M/s Wajap Holdings Limited on the 7th February 2019. DWO forwarded request on the 7th February 2019, same day the request for payment was made by the contractor. Payment Certificate No 1 for UGX 29,879,780 was compiled by Civil Engineer on the 7th February 2019, same day the request for payment was made by the contractor.

Financial management and reporting 8 0 The district Water • Evidence that the The Water department submitted the four Quarterly Reports for FY department has department 2018/2019 to District Planner as indicated below: submitted annual submitted the annual reports (including performance report o Quarter One Report was submitted on 18th November 2018 all quarterly for the previous FY o Quarter Two Report was submitted on 28th January 2019 reports) in time to (including all four the Plan- ning Unit quarterly reports) to o Quarter Three Report was submitted on 15th May 2019 the Planner by mid- July for o Quarter Four Report was submitted on 29th July 2019 consolidation: score Maximum 5 for this 5 The Water department submitted all the four quarterly reports but performance the fourth quarter was submitted on 29th July 2019 a date which measure was beyond the deadline of 15th July 2019 as required by the PFMA Act, 2015. 9 0 The District Water • Evidence that the During the FY2018/19, the sector had several issues arising from Department has sector has provided the 4 quarterly internal audit. CAO Dokolo DLG on the 29th April acted on Internal information to the 2019 made submissions Ref: CR/D/213/2 (RE: Submissions of Audit internal audit on the status of implementation of internal audit reports for 3rd and 4th recommendation (if status of quarter of FY 2017/2018 and 1st and 2nd Quarter of FY 2018/19) any) implementation of all to PS/ST, PS MoLG, District Chairperson and Head of Internal audit findings for the Audit communicating status of implementation of issues arising previous financial from negative findings in the internal audit reports for Q1-Q2 year FY2018/19. However, there is no evidence that the sector provided Maximum 5 for this information on the status of implementation of all findings in Q3-Q4 performance o If sector has no FY 2018/19 internal audit reports. measure audit query score 5 Issues arising from the 4 quarterly internal audit reports. o If the sector has provided information Q2 to the internal audit on the status of • Financial records for UWEP and some vouchers for Roads and implementation of all Water were not availed for verification. Vouchers for UGX audit findings for the 65,788,500 under works and water not presented for verification. previous financial Q3 year: score 3 • Administrative advances not accounted for within one month of If queries are not disbursement i.e. UGX 107,171,572 (Works and Water UGX responded to score 0 77,903,239)

• Administrative advances UGX 49,673,759 not accounted for within one month (Works and water UGX 22,384,510)

Governance, oversight, transparency and accountability 10 3 The district • Evidence that the Dokolo DLG Standing Committee responsible Works and committee council committee Technical Services met and discussed water service delivery responsible for responsible for water issues including contracted water projects, inspection and water met, met and discussed supervision reports. discussed service service delivery delivery issues and issues including There was evidence of minutes for Works and Technical Services presented issues supervision reports, meetings held on 19th -20th September, 2018 under MIN. that require performance 11/02/2018, 12th -13th March, 2019 under MIN.06/02/2019 and approval to assessment results, 28th – 29th May, 2019 under MIN.10/01/2019 and that of 21st Council LG PAC reports and June, 2019 under MIN.4/WPN/5/18/19 discussing reports of the submissions from the Water sector. District Water and For instance, Works and Technical Services Standing Committee Sanitation Maximum 6 for this meeting held on 19th - 20th September, 2018 under MIN. Coordination performance 11/02/2018; report on Water Sector delivery discussed the repair of Committee measure the water sector vehicle, 4th quarter plan for FY 2017/18, (DWSCC) etc. during improvements in water and sanitation coverage, water user the previous FY: committees for most of the water points, involvement of sub county score 3 chiefs to ensure the functionality of all water user committees and lobbying through the area MP so that the central government or development partners extend water from Kachung to Dokolo Town Council.

The above Water Sector committee deliberations were presented to full Council Meeting of 30th – 31st October, 2018 which deliberated and approved issues of the Works and Technical Services Standing Committee

10 3 The district • Evidence that the The Water Sector committee presented issues that require committee water sector approval to Council. responsible for committee has water met, presented issues This was confirmed by the Works and Technical Services discussed service that require approval Standing Committee meeting deliberations which were presented delivery issues and to Council: score 3 to full Council consideration and approval at meetings held on 30th presented issues – 31st October, 2018; 26th March, 2019, and 30th - 31st May, 2019 that require in the District Council hall. approval to For instance, in the full Council Meeting of 30th – 31st October, Council 2018 under MIN. 19/06/2018 there was a discussion and approval of deliberations from the report of the Works and Technical Services. Maximum 6 for this performance In the full Council meeting of 30th - 31st May, 2019 under MIN. measure 05/05/2019, the Council deliberated and approved the Water Sector budget allocation of UGX 411,286,000/= and work plan for FY 2019/20. 11 2 The district Water • The AWP, budget There was evidence that the district water department shared department has and the Water information to the public. AWP and the Water Development grant shared information Development grant releases and expenditures were clearly displayed on the District widely to the public releases and Notice Boards as per the PPDA Act. For example; the following to enhance expenditures have were displayed submission of AWP for FY 2019/2020 dated 12th transparency been displayed on August 2019, quarter one release and expenditure limit and the district notice quarter two release and expenditure limit dated 21st October 2019. boards as per the PPDA Act and Maximum 6 points discussed at for this advocacy meetings: performance score 2. measure

11 2 The district Water • All WSS projects Considering the sampled WSS projects, it was found that water department has are clearly labelled supply sources Olelpek and Teilwa were clearly labelled on the shared information indicating the name apron slab indicating the name of the source (Village), the DWD widely to the public of the project, date of Number, the FY and the date of construction. The 4stance to enhance construction, the drainable latrine at Amwoma markets was labelled on the curtain transparency contractor and wall indicating the client, project name, financial year and source of funding: contractor. score 2

Maximum 6 points for this performance measure

11 2 The district Water • Information on Information on tenders and contract awards (indicating contractor department has tenders and contract name /contract and contract sum) were displayed on the District shared information awards (indicating Notice Boards. widely to the public contractor name to enhance /contract and For example, siting, drilling and installation of eight (8) deep transparency contract sum) boreholes, best evaluated bidder notice was displayed on 14th displayed on the October 2019 and the best evaluated bidder was M/S MSR District notice Technologies (U) LTD. boards: score 2 Maximum 6 points for this performance measure

12 0 Participation of • If communities There was no information availed for assessment to show that communities in apply for water/ communities apply for water as per sector critical requirements. WSS programmes public sanitation facilities as per the sector critical requirements Maximum 3 points (including for this community contribu- performance tions) for the current measure FY: score 1 12 2 Participation of • Water and The sampled WSS facilities had functional committees as communities in Sanitation evidenced below. The water sources Teilwa and Olelpek WSS programmes Committees that are boreholes and drainable latrine at Amwoma market were fenced, functioning the surrounding was clean and functioning satisfactorily. evidenced by either: i) collection of O&M Maximum 3 points funds, ii( carrying out for this preventive mainte- performance nance and minor measure repairs, iii) facility fenced/protected, or iv) they an M&E plan for the previous FY: score 2

Note: One of parameters above is sufficient for the score.

Social and environmental safeguards 13 2 The LG Water • Evidence that Considering the sampled WSS projects that were implemented in department has environmental the FY 2018/2019, there was evidence of environmental and social devised strategies screening (as per screening. For example, Teilwa and Olelpek boreholes there were for environmental templates) for all screening forms (ESSF) filled and signed by district environmental conservation and projects and EIAs officer dated 22nd October 2018 and 30th October 2018 management (where required) respectively. The availed evidence indicated that environmental conducted for all and social screening for the drainable latrine at Amwoma market WSS projects and was done on 22nd October 2018. reports are in place: Maximum 4 points score 2 for this performance measure

13 1 The LG Water • Evidence that There was proof of follow up on environmental concerns. For department has there has been example, for water facilities (Teilwa and Olelpek) site restoration devised strategies follow up support was done. Trees and grass were planted to restore the vegetation. for environmental provided in case of That was evidenced in the environmental monitoring reports dated conservation and unacceptable 8th May 2019 and 6th May 2019 respectively signed by district management environmental environmental officer. concerns in the past FY: score 1

Maximum 4 points for this performance measure 13 1 The LG Water • Evidence that Sampled construction and supervision contracts had a clause department has construction and (1.4.1) on environmental protection of the site. Also under special devised strategies supervision contracts conditions of the contract GCC50.2 was about the social and for environmental have clause on environmental mitigation and certification. conservation and environmental management protection: score 1

Maximum 4 points for this performance measure

14 3 The district Water • If at least 50% Reviewed information on submitted form 1s on point water sources department has WSCs are women for FY 2018/2019 revealed that the district had promoted gender promoted gender and at least one equity in WSC composition. At least 50% WSCs were women and equity in WSC occupying a key at least one occupied a key position (chairperson, secretary or composition. position treasurer) as per the sector critical requirements. Considering the (chairperson, sampled water projects Teilwa and Olelpek water sources. Teilwa Maximum 3 points secretary or committee had 7 members, four (4) were female and the vice for this Treasurer) as per the chairperson and treasurer were female while the remaining three performance sector critical (3) positions were occupied by male. For Olelpek committee three measure requirements: score (3) were female, two occupied the position of treasurer and vice 3 chairperson while the remaining four (4) were male.

15 3 Gender and • If public sanitation The sampled sanitation facilities, latrines at Amwoma and Batta special needs- facilities have markets and Regorego RGC constructed in the FY 2018/2019, sensitive sanitation adequate access 2017/2018 and 2016/2017 respectively. The facilities were gender facilities in public and separate sensitive, they could easily be accessed by PWDs and each had places/ stances for men, separate stances. However they were not labelled to give women and PWDs: guidance on gender sides. RGCs provided by score 3 the Water Department.

Maximum 3 points for this performance measure