kenya drought operations plan 2018-2020...vulnerability to drought is high as a result of the...

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KENYA DROUGHT OPERATIONS PLAN 2018-2020

SUBMISSION TO THE AFRICAN RISK CAPACITY OCTOBER 2018

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Contents 1 GENERAL INFORMATION .................................................................................................................................................................................................. 4

1.1 Describe the status of the country in terms of risk ........................................................................................................................................................... 4

1.2 Briefly describe the purpose of this operations plan ........................................................................................................................................................ 5

2 COUNTRY DROUGHT PROFILE ......................................................................................................................................................................................... 6

2.1 Provide general geographical distribution of drought ...................................................................................................................................................... 6

2.2 Describe the general pattern of rainfall ............................................................................................................................................................................ 8

2.3 Historical Drought description ......................................................................................................................................................................................... 9

2.4 Historical Drought impact (in terms of number of vulnerable) ..................................................................................................................................... 11

2.5 Historical Drought Response ......................................................................................................................................................................................... 12

2.6 Discussion of the historical drought conditions, vulnerable, and response (Context) ................................................................................................... 13

3 INSTITUTIONAL ARRANGEMENTS ............................................................................................................................................................................... 14

3.1 Existing National Policies or legislation ........................................................................................................................................................................ 14

3.2 Existing Assessment Processes ...................................................................................................................................................................................... 15

3.3 Contingency Planning Procedures for Drought ............................................................................................................................................................. 17

3.4 Drought Response Coordination Mechanism ................................................................................................................................................................ 18

3.5 proposed financial arrangements and coordination of arc pay out ................................................................................................................................. 19

4 RISK TRANSFER PARAMETERS ...................................................................................................................................................................................... 20

5 SCENARIO DEFINITION AND GEORGRAPHIC COVERAGE ...................................................................................................................................... 23

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ARV Drought Scenarios ............................................................................................................................................................................................................ 23

6 INTERVENTION DETAILS ................................................................................................................................................................................................ 30

6.1 First Intervention ............................................................................................................................................................................................................ 32

SECOND INTERVENTION ..................................................................................................................................................................................................... 43

7 M&E FRAMEWORK AND PLAN ...................................................................................................................................................................................... 57

Access to water log frame ...................................................................................................................................................................................................... 60

8 PROGRAM RISKS AND ASSUMPTIONS ......................................................................................................................................................................... 64

9 DEFINITION OF STANDARD OPERATING PROCEDURES .......................................................................................................................................... 66

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Kenya Country Operations Plan

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1 GENERAL INFORMATION

Name of Country:

Legal representative

(permanent

secretary/ministry) for

plan:

Name: Hon. Henry K. Rotich, EGH

Title: Cabinet Secretary

Ministry/department: The National Treasury and Planning

Email: [email protected]

Phone: +254 20 2252299

Focal point (or primary

contact person) for the

plan:

Name: James Oduor

Title: Chief Executive Officer

Ministry/department: Ministry of Devolution and the ASALs/State Department for Development of the ASALs/National

Drought Management Authority

Email: [email protected]

Phone: +254722819227

1.1 DESCRIBE THE STATUS OF THE COUNTRY IN TERMS OF RISK

Kenya experiences a number of natural hazards, the most common being weather related, including floods, droughts, landslides, lightening/thunderstorms,

wild fires, and strong winds. Other significant hazards in Kenya include HIV/AIDS and conflict. In the recent past, these hazards have increased in number,

frequency, intensity and complexity. Arid and Semi-Arid Lands (ASALs) account for more than 80% of Kenya’s landmass supporting more than half of

the livestock population and over 30% of the total human population. Drought is the principal hazard, in terms of number of people affected and the cost to

the economy. Between 1964 and 2004, droughts affected 16.3 million Kenyans, while floods (the next most pressing hazard) affected 1.2 million people.

While floods kill more people, drought causes much greater economic damage. Between 2008 and 2011 the damages and losses due to drought were

estimated at $12.1 billion.

Vulnerability to drought is high as a result of the historical marginalisation of dryland regions which has weakened the necessary foundations for food

mailto:[email protected]

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security and development, such as security, infrastructure and human capital. Resource-based conflict exacerbates food insecurity through loss of life, loss

of livelihood productive capacities, lack of access to natural resources and markets and interruptions in the delivery of interventions. Accelerated land

degradation has resulted in limited vegetation regeneration and water storage. Pastoral and marginal agricultural households are heavily dependent on

markets either to sell their livestock and products and/or to purchase cereals. However, due to poorly integrated markets because of insecurity and poor

infrastructure, these households routinely face high cereal prices and low livestock prices, compromising their purchasing power and compounding food

insecurity, with particular impacts on women and girls. Historically, the principal intervention for addressing food insecurity in Kenya has been the

provision of food assistance. Limited attention has been given to non-food interventions, resulting in unbalanced interventions while limiting the capacity to

mitigate future hazards. There has also been poor enterprise selection over the years, where farming households in marginal agricultural areas continue to

grow maize in an agroecology more suited to drought-tolerant crops such as millet, sorghum, cowpeas, etc. This has resulted to a succession of crop failures

even when rains would have been sufficient for drought-tolerant crops. In general, poverty has accentuated food insecurity, limited access to education,

healthcare, and the capacities to diversify livelihoods.

Kenya has put in place relevant legislations and institutions to deal with disasters and emergencies. The National Drought Management Authority (NDMA)

is a statutory body established under the State Corporations Act (Cap 446) of the Laws of Kenya by Legal Notice Number 171 of November 24, 2011 and

the act of 2016. The Legal Notice gives the NDMA the mandate to establish mechanisms which ensure that drought does not result in emergencies and that

the impacts of climate change are sufficiently mitigated. In pursuit of this, the NDMA is spearheading a Common Programme Framework for Ending

Drought Emergencies (CPF - EDE) programme as well as operating Kenya’s well-established drought management systems including, early warning,

contingency planning and response in the drought prone counties.

1.2 BRIEFLY DESCRIBE THE PURPOSE OF THIS OPERATIONS PLAN

This Operations Plan outlines how ARC funds will be used in case of a payout to Kenya. It first outlines the general national drought

conditions and the ARC risk transfer parameters for Kenya. It then describes in detail the activities that will be pursued with ARC funds and

finally provides additional practical and background information on the implementation, monitoring and evaluation of this Operations Plan.

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2 COUNTRY DROUGHT PROFILE

2.1 PROVIDE GENERAL GEOGRAPHICAL DISTRIBUTION OF DROUGHT

# A. County B. Sub County C. Drought

prone (yes/no)

D. Top 3 crops by area planted (only

in drought-prone zones)

E. List other important livelihoods (e.g.

pastoral, fisheries, etc.)

Only in drought-prone zones)

1 Turkana All Yes Sorghum, Maize, Cowpeas Pastoral, Agro-Pastoral, Fisheries

2 Marsabit All Yes Maize, Beans, Green grams,

Cowpeas

Pastoral, Agro-Pastoral

3 Samburu All Yes Maize, Beans, Cowpeas Pastoral, Agro-Pastoral

4 Wajir All Yes Maize, Cowpeas, Sorghum Pastoral, Agro-Pastoral

5 Mandera All Yes Maize, Cowpeas, Sorghum Pastoral, Agro-Pastoral, Irrigated

cropping

6 Garissa All Yes Maize, Cowpeas, Green grams,

Sorghum


7 Isiolo All Yes Maize, Beans, Cowpeas, Green

grams


8 Tana River All Yes Maize, Cowpeas, Green grams Marginal-mixed farming, Mixed

farming, Pastoral,

9 West Pokot All Yes Maize, Beans, Sorghum, Irish

potatoes

Pastoral, Pastoral, Agro-Pastoral,

Mixed-farming

10 Baringo All Yes Maize, Beans, Finger Millet, Irish

potatoes, Sorghum

Pastoral, Mixed-farming, Agro-Pastoral

11 Laikipia All Yes Maize, Beans, Irish Potatoes Marginal-mixed farming, Mixed

farming, Pastoral

12 Narok All Yes Maize, Beans, Irish potatoes Marginal-mixed farming, Mixed

farming, Pastoral, Agro-pastoral

13 Kajiado All Yes Maize, Beans, Irish potatoes Mixed farming, Pastoral, Agro-pastoral

14 Kilifi All Yes Maize, Cassava, Cow Peas, Green

grams

Marginal-mixed farming, Cash-

cropping, mixed farming

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15 Kwale All Yes Maize, Cassava, Cow Peas, Green

grams

Mixed farming, Livestock keeping,

Fisheries

16 Taita Taveta All Yes Maize, Beans, Green Grams,

Cowpeas

Mixed-farming crop and dairy, Mixed-

farming crop and livestock

17 Lamu All Yes Maize, Cowpeas, Green grams Fisheries & mangrove, Mixed farming

food & cash crop/ livestock, Mixed

farming food & cash-crop

18 Kitui All Yes Maize, Cowpeas, Green grams,

Pigeon peas

Marginal-mixed farming, Mixed

farming

19 Makueni All Yes Maize, Cowpeas, Green grams,

Pigeon peas


farming Crop/Livestock, Mixed-

farming Coffee/Dairy

20 Machakos All Yes Maize, Beans, Pigeon Peas Marginal-mixed farming, Mixed

farming Crop/Livestock, Mixed-

farming Coffee/Dairy

21 Embu Mbeere Yes Maize, Cowpeas, Green grams Marginal-mixed farming, Mixed

farming

22 Tharaka Nithi Tharaka Yes Maize, Sorghum, Green grams, Pearl

Millet


farming

23 Meru Meru North Yes Maize, Beans, Sorghum, Pearl millet,

Pigeon Peas

Mixed farming, Agro-Pastoral, Rain-

fed cropping

24 Nyeri Kieni East &

West

Yes Maize, Beans, Irish Potatoes Marginal-mixed farming, Mixed

farming

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2.2 DESCRIBE THE GENERAL PATTERN OF RAINFALL

Kenya has two main rainfall seasons (bimodal); the Long Rains that occur between March and June and the Short Rains that fall between

October and December; although the onset and cessation of these seasons are less predictable than in the past. However, the western highlands,

the Lake basin and the Coastal strip record a third weaker rainfall peak (season) around July-September. This makes the western areas wet

almost throughout the year. The climate in Kenya is primarily influenced by the movement of the Inter Tropical Convergence Zone (ITCZ) and

by topographic relief, especially elevation. The rainfall in Kenya is affected by large water bodies like Lake Victoria, and complex topography

with the Great Rift Valley and high mountains like Mt. Kenya and Mt. Elgon. The country can be classified into three main production zones;

High-rainfall zone receives more than 1000mm; Medium-rainfall zone receives between 750 – 1000mm; and Low Rainfall zone receives

between 200- 750mm of rainfall annually.

The seasonal crop calendar

(Source; Fewsnet)

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2.3 HISTORICAL DROUGHT DESCRIPTION

Year Counties Source of drought

information

Was drought officially

declared? (Yes/No)

Food security conditions

2008 Turkana, Marsabit, Samburu,

Wajir, Mandera, Garissa, Isiolo,

Tana River, West Pokot, Baringo,

Laikipia, Narok, Kajiado, Kilifi,

Kwale, TaitaTaveta, Lamu, Kitui,

KFSSG No Mild






Makueni, Machakos, Embu,

TharakaNithi

KFSSG Yes Severe




Laikipia, Kajiado, Kilifi, Kwale,

TaitaTaveta, Lamu, Kitui,

Makueni, Embu, Tharaka Nithi

KFSSG No Moderate




KFSSG Yes Severe

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Kwale, TaitaTaveta, Kitui,


TharakaNithi, Nyeri, Meru





Kwale, TaitaTaveta, Kitui,


TharakaNithi

KFSSG No Severe




Laikipia, Kilifi, Kwale,

TaitaTaveta, Kitui, Makueni

KFSSG No Moderate




Laikipia, Kilifi, Kwale,


KFSSG No Moderate



West Pokot, Baringo, Laikipia,

Kwale, TaitaTaveta, Kitui, Meru

KFSSG No Moderate



KFSSG No Moderate

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Tana River, Kilifi, Kwale,








TharakaNithi, Meru,Nyeri

KFSSG Yes Severe

2.4 HISTORICAL DROUGHT IMPACT (IN TERMS OF NUMBER OF VULNERABLE)

Impact of

drought

by data source

Source 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017

A # of affected

as estimated

by

KFSSG 0.89 M 3.8 M 1.62 M 3.75 M 2.16 M 1.11M 1.51 M 1.602M 0.64M 3.357M

B # of affected

determined by

long rains:

ARV 1.1M 3.3M 5.5M 0.1M 1.6 M 2.9M 1.2M .022M 4.4M 1.8M

C # of affected

determined

by:

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2.5 HISTORICAL DROUGHT RESPONSE

Description of the historical response to drought in the country in the past 10 years in terms of number of individuals/households who received

assistance.

Response to drought

By activity and source 2008 2009 2010 2011 2012 2013, 2014 2015 2016 2017

A # of individuals assisted with

General Food

distribution(GFD)source of

information: WFP

2,346,64

7

2,031,26

5

2,180

,058

1,838

,203

1,135,24

2

1,055,343 588,659 450,000 Data not

available

895,0

00

B # of individuals assisted with

Food For Asset(FFA) source

of information: WFP

52,957 98,078 145,1

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180,4

35

157,922 148,472 122,858 88,000 Data not

available

C # of individuals assisted with

School feeding program(SFP)

source of information: WFP

307,612 105,437 586,5

15

500,5

26

104,078 81,411 82,337 103,000 Data not

available

688,0

00

D # of individuals assisted with

RSMP source of information:

WFP

1,211,82

4

862,248 803,6

69

864,1

01

846,221 767,108 813,392

633,000 Data not

available

E # of individuals assisted with

Food and

Nutrition(FAN)source of

information: WFP

61,946

78,472

72,06

5

69,97

4

66,660

16,559

2,474

38,000

Data not

available

322,0

00

F # of individuals assisted with

Emergency School Meals

Program(ESMP)source of

information: WFP

- 1,115,83

0

252,2

12

373,0

04

- - - - Data not

available

1,233,

000

G # of individuals assisted with

Cash and

Voucher(CAV)source of

information: WFP

- - 11,97

6

498,1

20

463,920 485,823 363,401 Data not

available

E # of individuals assisted with - - - - - 36,983 - 36,018 Data not

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School Meals Program

THROUGH CASH

available

F # of individuals assisted with

Hunger safety net

- - - - - - - - 388,000 699,0

00

G # of individuals assisted with

County governments

- - - - - - - 300,000 200,000 600,0

00

2.6 DISCUSSION OF THE HISTORICAL DROUGHT CONDITIONS, VULNERABLE, AND RESPONSE (CONTEXT)

The numbers assisted were as result of drought. There are some type of intervention that depend on donor funding which informs the number of people to

be targeted. The numbers in 2008 are as result of flash floods interventions and that’s why they don’t match across the two tables.

During the years when Kenya had moderate and mild droughts, no official declaration was made. This was also the case in some of the years with severe

droughts because the government had organised sufficient resources internally to be able to adequately assist populations that were affected.

In the last 10 years Kenya has experienced four severe droughts in (2009, 2011 and 2012) where over 2 million people were affected. The most

significantly impacted are the Arid and Semi-Arid Lands (ASALs) which account for over 80% of Kenya’s landmass supporting more than half of the

livestock population and over 30% of the total human population.

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3 INSTITUTIONAL ARRANGEMENTS

Description in detail the institutional arrangements in place to manage a drought response.

3.1 EXISTING NATIONAL POLICIES OR LEGISLATION

Description of any national policies and/or legislation related to a) drought; b) other disaster risk management issues that are currently in place.

Drought Legislation: The country has developed a Common Programme Framework for Ending Drought Emergencies

(EDE-CPF -2014-2022). It provides a roadmap for all actors to align planning and investment in

drought risk reduction and resilience.

County Preparedness & Response Plans will be put in place setting out priority actions to End

Drought Emergencies. These will be agreed by the NDMA and all Counties, and will guide donor

and NGO initiatives.

The County Government Act, 2012 stipulates that counties should set aside 5 – 10% of total revenue

towards drought/disaster response.

The NDMA Bill operationalizes the National Drought Emergency Fund (NDEF) and strengthens the

status and powers of the NDMA. This is pending at the time of writing.

Sessional Paper No. 8 of 2012 on the National Policy for the Sustainable Development of Northern

Kenya and other Arid Lands provides for the creation of the NDMA and the NDCF and other

drought management and climate resilience measures.

Other Disaster Risk Management

legislation: Draft National Policy for Disaster Management in Kenya – February 2009.

Food and Nutrition Security Policy – 2012 spells out responses to drought.

Vision 2030 (MTP II 2013-2017).

The National Climate Change Action Plan (NCCAP) of 2013.

National Climate Change and Adaptation Policy.

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3.2 EXISTING ASSESSMENT PROCESSES

In this section, description of how regular annual assessment processes function. Name each assessment process that is conducted on a

regular basis.

# Assessment Type (for example crop

assessment, early warning, etc.)

Description of the process or workflow, including timing, data collection, financing, etc.

1. Short Rains Food Security

Assessments

1. The assessment occurs in February ever year and is coordinated by the Kenya Food Security Steering

Group (KFSSG), which is chaired by the Government and co-chaired by the WFP.

2. Data collection and analysis is done by members of the KFSSG and County Steering Groups (CSGs)

drawn from key Government ministries, UN, FEWSNET, NGOs both at the National and County

Level.

3. The tools that are used to collect and analyse the data include, household questionnaires, sectoral

checklists, interview guides, IPC guidelines and Database for analysis.

4. The key steps in the assessment process includes:

The review and collation of existing data from the early warning system which is collected on a

monthly basis and includes: administrative; IPC and livelihood zone maps; population and

livelihood zone baseline data; Coping strategies Index; food consumption scores; price data;

historical and current beneficiary figures; RFE and NDVI data; nutrition survey data; and

previous seasonal food security assessment reports.

Food security outcome monitoring indicators are collected before assessments from 2,700

households situated in 90 sentinel sites. Outcome indicators that are collected include the coping

strategy index, food consumption scores and household expenditure data.

Pre-field work training which involves refining of sectoral indicators and interview guides.

Teams are taken through the entire assessment process, including: agro-climatic information

analysis; sampling methods and field data collection techniques; integrated food security phase

classification; estimation of population in need of immediate assistance; and report writing.

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CSG briefings to fulfil basic protocol requirements and ensure full-county buy in and to explain

the objectives and methodology of the assessment. Teams also obtain impressions and

information on the current situation and collect all available and relevant data at the county level.

The teams and the technical CSG perform thorough analysis and triangulation of the data

collected including secondary information.

Sampling and field work which involves community, household and market interviews including

transect drives and use of visual inspection techniques to assess crop conditions, pasture and

browse conditions, livestock and health inspection.

CSG debriefing and presentation of preliminary findings to county stakeholders.

In depth analysis and report writing involving: finalization of county reports; analysis and

completion of IPC templates; development and finalization of cluster reports; verification and

validation of IPC maps; finalization of the national report and dissemination of all assessment

reports.

5. The funding for the assessment is about 26 Million kenya shillings and is a shared responsibility

among the Government,(3/4 of the total cost) UN and NGOs(1/4 of the total cost)with government

taking the lead.

6. The assessments are useful by providing a timely and objective, evidenced based and transparent

food security situation analysis taking into account the cumulative effects of previous seasons and

provides recommendations for possible response options to mitigate negative impacts based on the

situation analysis.

The major constraint is lack of adequate resources to timely respond to drought mitigation measures at a

desirable scale.

2. Long Rains Food Security Assessments 1. The assessment occurs in the month of August ever year and is coordinated by the KFSSG.

2. The process is similar as explained in points 2 to 6 above.

3. Early Warning System (EWS) 3. Kenya has an established early warning system which provide indicators for ensuring that

contingency plans and pragmatic mechanisms are put in place to deal with crisis situations affecting

pastoral communities in Kenya.

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3.3 CONTINGENCY PLANNING PROCEDURES FOR DROUGHT

Briefly describe any existing contingency planning (CP) procedures for drought. For instance, description on how an ARC pay out might be

used as part of a larger response. Some questions to consider:

1. Describe what might you do with a payout of less than one (1) million USD

2. Describe what might you would do with a payout of fifteen (15) million USD

3. Describe what might you do with a payout of 30 million USD

(Scenario building on utilization)

Contingency planning is based on drought cycle management (stages of drought) and linked to livelihoods at sub county level. It considers the

threshold for each drought stage based on certain parameters (biophysical, production, access and utilization indicators).

1. The 1 million USD can be used for early response activities when there is below average rainfall and at least 14% of the population in 1-5

arid counties; and or at least 5% of the population in 1-3 semi-arid counties are affected. This ensures livelihoods can withstand shocks of

drought. This will involve identifying the hotspots where the biophysical indicators are on decline. This include improving water access

(repairs of strategic boreholes, stockpiling of fast moving spare parts, among others), vaccination of livestock, scaling up school feeding

programmes

2. The 15 million USD can be used to cushion livelihoods against adverse drought shocks when counties experience below average rainfall,

coinciding with the severity of a 1 in 4 year drought and 22 % and above of the population in 5-12 arid counties, or 8% of the population in 3-

5 semi-arid counties are affected. The activities will include school feeding, accelerated market function for livestock for ease of destocking.

Water and sanitation, health and nutrition such as therapeutic feeding. Conflict resolution.

3. The 30 million USD will be used for humanitarian response to save lives due to drought when counties experience well below average

rainfall, coinciding with the severity of a 1 in 5 year drought and at least 22 % and above of the population in all the arid counties; and or at

least 11% of the population in all the semi-arid counties are affected.

At all phases of the drought cycle, the Hunger Safety Net Programme (HSNP) will provide cash transfers to HHs following its Scalability

Guidance (Standard Operating Procedures). This is invoked when at least one sub county is determined to fall in severe drought status, as

measured by the Vegetation Condition Index (VCI) over the given month reaching a score of 20 or below. Payments are made each month

following the VCI score passing this threshold. Funding for these rapid payments will be made through the National Drought Emergency

Fund (NDEF) that has now been established.

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3.4 DROUGHT RESPONSE COORDINATION MECHANISM

Drought response coordination mechanism.

The Kenya Food Security Steering Group, KFSSG, (which is multi agency, multi-sectoral) is responsible for coordination of drought response at

national level while the County Steering Group is responsible at the county level.

The role of the KFSSG is to coordinate the implementation of food security assessments, develop reports and plans for decision making. The

body develops interventions and mobilise resources for response within government and partners, monitoring and evaluation, lessons learnt and

capacity building of CSGs.

The County Steering Group is also multi-agency and multi-sectoral and the major role is to participate in the food security assessments and

implement the recommendations from the assessment reports.

Additional assessments are only done when other hazards occur after the assessment. A team usually conducts the assessment to determine the

extent and impact of the shocks on the situation.

The tools used are checklists, questionnaires, focus group discussions (FGDs) and key informants interviews (KIIs). The assessment is

conducted by KFSSG team and Count Steering Group.

The process of data collection and analysis is conducted by a team from KFSSG.

The steps are: formulation of assessment team; training of teams; data collection; analysis; and report writing.

The KFSSG mobilizes resources for the needs assessment. If it is localized, NDMA or the county can finance the assessment.

The need for assessment is triggered by the early warning information. This ensures that assessments are conducted early in time before the

situation deteriorates to emergency. The constraints include inadequate implementation of the recommendations in the assessment report due to

finance constraint.

Response is informed by drought contingency plans that are developed in the beginning of the year when the drought status of a county moves

to late alert. The contingency plan is activated and response plans developed to guide intervention and implementation.

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3.5 PROPOSED FINANCIAL ARRANGEMENTS AND COORDINATION OF ARC PAY OUT

Details on how the government agency will manage the ARC funding.

1. The funds from the ARC will flow through the established National Drought Emergency Fund (NDEF) established under NDMA act of 2016.

This fund has a dedicated independent account which will be directly accessible to the NDMA

2. NDMA board will be responsible for the account with oversight role provided by the controller of budget/Auditor General. In addition to the

ARC account, other sources of funding will include Treasury and other development partners (donors).

3. Other sources are itemized and have votes which makes it clear on whose money is in the account and how much including spending, in

addition Kenya has an elraborate disaster risk layering strategy, which clarifies the type of activities which will be utilised for ARC funds.

4.Outflows from this account are itemized and depending on the activities defined, ARC funds will be dedicated for ARC activities and

government has a system in place to track how funding from different sources are utilized.

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4 RISK TRANSFER PARAMETERS

Small Payout

Coverage period Year: Season:

Expected pay out frequency 1-in 3 Short rains (August 2015 - January

2016) Maximum pay out USD 6 million

Risk transfer level:

Estimated premium: USD 4.5 million


Expected pay out frequency 1-in 3 Long rains (February 2015 - June




Medium Payout


Expected pay out frequency 1-in 5- 10 Short rains (August 2015 - January



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Long rains (February 2015 - June

2015)

Expected pay out frequency 1-in 5- 10 Short rains(August 2015-January




Large Payouts


Expected pay out frequency 1-in 20 Short rains (August 2015 – January





Long rains (February 2015 - June

2015)

Expected pay out frequency 1-in 20 Short rains(August 2015-

January 2016) Maximum pay out USD 30 Million

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5 SCENARIO DEFINITION AND GEORGRAPHIC COVERAGE

Scenario Description

#1: No pay out Average year with regards to rainfall and less than 14% of the population in the arid counties; and / or less than 5% of

the population in the semi-arid counties are affected. No payout from ARC insurance is expected.

#2: Small pay out Below average rainfall and at least 14% of the population in 1-5 arid counties; and / or at least 5% of the population in

1-3 semi-arid counties are affected; coinciding with the severity of a 1 in 3 year drought in each category of counties.

Expected ARC payout around USD 6 million of maximum payout.

#3: Medium pay out Below average rainfall, coinciding with the severity of a 1 in 4 year drought and 22 % and above of the population in 5-

12 arid counties, or 8% of the population in 3-5 semi-arid counties are affected. Expected ARC payout around USD 15

million.

#: 4 Large pay out Well below average rainfall, coinciding with the severity of a 1 in 5 year drought and at least 22 % and above of the

population in all the arid counties; and or at least 11% of the population in all the semi-arid counties are affected.

Expected ARC payout of the ARC maximum of USD 30 million OR the country maximum based on the risk transfer

parameters.

ARV DROUGHT SCENARIOS

Risk areas and estimated numbers of affected people based on different pay out scenarios

Drought

Scenario

Original

Position

ARID (% in

need)

SEMI ARID

(% in need)

Total Population

(Arid & Semi

Arid)

No. in need in

Arid

No. in need

in Semi Arid Total in need

Severe 16% 25 11 1,150,000 825,000 1,975,000

Moderate 13% 22 8 1,012,000 600,000 1,612,000

Mild 8% 14 5 644,000 375,000 1,019,000

Population 4,600,000 7,500,000 12,100,000

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ASAL AREAS

Estimated number of vulnerable people under each pay out scenario

Admin Level

1*:(County)

Admin Level 2*:(Sub County) Total

Population

No Pay out Small pay

out(5%)

Medium

Pay out

(8%)

Large

Pay out

(8%)

1 Embu Mbeere North 89035 4452 7123 9794

2 Embu Mbeere South 130185 6509 10415 14320

3 Kajiado Ngong 348483 17424 27879 38333

4 Kajiado Magadi 32243 1612 2579 3547

5 Kajiado Mashuru 63653 3183 5092 7002

6 Kajiado Central 75545 3777 6044 8310

7 Kajiado Namanga 66384 3319 5311 7302

8 Kajiado Isinya 110227 5511 8818 12125

9 Kajiado Loitokitok 174187 8709 13935 19161

10 Kajiado Kajiado West 104376 5219 8350 11481

11 Kilifi Kilifi North 261879 13094 20950 28807

12 Kilifi Kilifi South 216489 10824 17319 23814

13 Kilifi Ganze 173669 8683 13893 19104

14 Kilifi Kaloleni 175735 8787 14059 19331

25

15 Kilifi Rabai 143339 7167 11467 15767

16 Kilifi Magarini 223597 11180 17888 24596

17 Kilifi Malindi 205268 10263 16421 22579

18 Kitui Kitui Central 142767 7138 11421 15704

19 Kitui Kitui Rural 113207 5660 9057 12453

20 Kitui Kitui West 110899 5545 8872 12199

21 Kitui Kitui East 133580 6679 10686 14694

22 Kitui Kitui South 179983 8999 14399 19798

23 Kitui Mwingi West 112482 5624 8999 12373

24 Kitui Mwingi Central 153056 7653 12244 16836

25 Kitui Mwingi North 151712 7586 12137 16688

26 Kwale Kinango 264460 13223 21157 29091

27 Kwale Lunga Lunga 193529 9676 15482 21288

28 Kwale Matuga 191793 9590 15343 21097

29 Kwale Msambweni 170416 8521 13633 18746

30 Laikipia East 147652 7383 11812 16242

31 Laikipia West 257727 12886 20618 28350

32 Laikipia North 100332 5017 8027 11037

33 Lamu Lamu East 23778 1189 1902 2616

26

34 Lamu Lamu West 104366 5218 8349 11480

35 Makueni Mbooni 200173 10009 16014 22019

36 Makueni Kaiti 130232 6512 10419 14326

37 Makueni Kilome 95264 4763 7621 10479

38 Makueni Makueni 210120 10506 16810 23113

39 Makueni Kibwezi West 179904 8995 14392 19789

40 Makueni Kibwezi East 143330 7166 11466 15766

41 Meru Igembe South 134550 6728 10764 14801

42 Meru Igembe North 154814 7741 12385 17030

43 Meru Igembe Central 193392 9670 15471 21273

44 Meru Tigania West 135980 6799 10878 14958

45 Meru Tigania East 157246 7862 12580 17297

46 Mwingi Mwingi West 112482 5624 8999 12373

47 Mwingi Mwingi Central 153056 7653 12244 16836

48 Mwingi Mwingi North 151712 7586 12137 16688

49 Narok Kilgoris 228504 11425 18280 25135

50 Narok Emurua Dikkir 119200 5960 9536 13112

51 Narok Central 88233 4412 7059 9706

52 Narok Loita 28969 1448 2318 3187

27

53 Narok Mara 85320 4266 6826 9385

54 Narok Mau 149751 7488 11980 16473

55 Narok Mulot 123947 6197 9916 13634

56 Narok Olokurto 89470 4474 7158 9842

57 Narok Ololunga 122057 6103 9765 13426

58 Narok Osupuko 42267 2113 3381 4649

59 Nyeri North Kieni East 96500 4825 7720 10615

60 Nyeri North Kieni West 79312 3966 6345 8724

61 Taita Taveta Taveta 85140 4257 6811 9365

62 Taita Taveta Mwatate 92065 4603 7365 10127

63 Taita Taveta Wundanyi 70489 3524 5639 7754

64 Taita Taveta Voi 110479 5524 8838 12153

65 Tharaka Nithi Maara 116152 5808 9292 12777

66 Tharaka Nithi Chuka 138902 6945 11112 15279

67 Tharaka Nithi South Tharaka 86874 4344 6950 9556

68 Tharaka Nithi North Tharaka 54187 2709 4335 5961

69 West pokot North Pokot 197617 9881 15809 21738

70 West pokot West Pokot 176703 8835 14136 19437

71 West pokot Pokot South 167329 8366 13386 18406

28

72 West pokot Pokot Central 107768 5388 8621 11855

73 Mandera Lafey 77485 3874 6199 8523

74 Mandera East 132770 6639 10622 14605

75 Mandera North 97757 4888 7821 10753

76 Mandera Banissa 109587 5479 8767 12055

77 Mandera Takaba (West) 112101 5605 8968 12331

78 Mandera South 181417 9071 14513 19956

79 Marsabit Saku 50458 2523 4037 5550

80 Marsabit Laisamis 71256 3563 5700 7838

81 Marsabit North Horr 81593 4080 6527 8975

82 Marsabit Moyale 112629 5631 9010 12389

83 Wajir East 94999 4750 7600 10450

84 Wajir North 93941 4697 7515 10333

85 Wajir Tarbaj 77539 3877 6203 8529

86 Wajir South 73216 3661 5857 8054

87 Wajir Eldas 87676 4384 7014 9644

88 Wajir West 31530 1576 2522 3468

89 Turkana Central 170610 8531 13649 18767

90 Turkana East 114606 5730 9168 12607

29

91 Turkana South 172180 8609 13774 18940

92 Turkana North 211291 10565 16903 23242

93 Turkana Loima 152629 7631 12210 16789

94 Turkana West 262337 13117 20987 28857

95 Samburu North 75778 3789 6062 8336

96 Samburu Central 133119 6656 10650 14643

97 Samburu East 74882 3744 5991 8237

98 Garissa Garissa Town 81080 4054 6486 8919

99 Garissa Balambala 50684 2534 4055 5575

100 Garissa Lagdera 64222 3211 5138 7064

101 Garissa Dadaab 105715 5286 8457 11629

102 Garissa Fafi 66008 3300 5281 7261

103 Garissa Hulugho 30665 1533 2453 3373

104 Garissa Ijara 33575 1679 2686 3693

105 Tana River Tana North 104197 5210 8336 11462

106 Tana River Tana River 76831 3842 6146 8451

107 Tana River Tana Delta 122019 6101 9762 13422

108 Baringo Central 98918 4946 7913 10881

109 Baringo South 106722 5336 8538 11739

30

110 Baringo North 118797 5940 9504 13068

111 Baringo Tiaty 168703 8435 13496 18557

112 Baringo Koibatek 149594 7480 11968 16455

113 Baringo Mogotio 60962 3048 4877 6706

114 Isiolo North 108685 5434 8695 11955

115 Isiolo South 46780 2339 3742 5146

TOTAL 14403069 720153 1152246 1584338

Use the lowest level of granularity within ARV (the level at which the household survey data we have is statistically representative)

6 INTERVENTION DETAILS

Briefly list the proposed interventions in the event of an ARC payout. Each intervention should have:

Intervention Name

Intervention Type

Please select from

list in Error!

Reference source

not found.

Program type

(tick box that applies)

Description

1. Cash transfer Cash transfer □ Scalable X

□Emergency

□Other {____________}

[specify, e.g. needs

assessment]

HSNP has potential to support 604,902vulnerable

people with regular cash transfers through on-line

bank accounts in Turkana, Wajir, Marsabit and

Mandera. Currently HSNP supports

605,718vulnerable people. HSNP has potential to

respond and extend support to 1,273,698 people

during deteriorated drought conditions and increase

31

the HH coverage for each month that drought

triggers are met. HSNP has paid 207,498 HHs in

addition to the regular caseload. See HSNP

Scalability Guidelines. NDMA monitors market

performances on monthly basis through Drought

Early Warning System and incase there is problems

with supply, the government works with private

sector like millers to ensure there is supply of

commodities to the markets.

2. Water Water access □ Scalable X

□Emergency

□Other {____________}

[specify, e.g. needs

assessment]

Support repairs of strategic boreholes, provision of

stand by gensets, stock piling of fast moving

borehole spare parts, repairs of water bowzers for

limited water trucking to 2 million persons.*(50%

of the population in need). This will cover all the

ASALs counties. Rapid assessment will be

conducted by CSGs in the counties to determine

strategic boreholes that require repair and backup.

Where there are no boreholes,then water boozers

will be used to provide clean water.

Table 7

Intervention Types

A Cash Transfer: need-based G Nutrition supplement

B Cash Transfer: for work H Seed distribution

C Food distribution: need based I Fodder Provision

D Food distribution: for work J Water trucking

E Supplementary feeding K Borehole development

F Distribution of food stamps, vouchers, coupons L Other: ______________________________

You will complete steps 6.1.1-6.1.12 for each intervention listed in the table above:

32

6.1 FIRST INTERVENTION

Complete steps 6.1.1-6.1.12 with details from the first intervention listed in the table above.

33

6.1.1 1

4

.

1

Enter name of intervention:

Hunger Safety Net Programme (HSNP) CT Scale up

6.1.2 1

4

.

3

Enter a brief description of the intervention:

The Hunger Safety Net Programme (HSNP), which operates under the oversight of the NDMA, provides unconditional cash transfers

via bank accounts to 604,902 chronically poor people in the four poorest counties in Kenya and among the most vulnerable to shocks

(Turkana, Marsabit, Mandera and Wajir). HSNP has registered an additional 1,273,698 people and provided each with a fully

functional bank account in the same counties. By September 2018 over 85% of all registered households have accounts and can use

their ATM card to access cash from a (expanding) network of over 450 bank agents throughout the four counties.

6.1.3 1

4

.

4

Explanation why this intervention activity is a good option for ARC funding: precisely how does it meet each ARC eligibility criteria 1.

i) It’s faster than other interventions: Households with a HSNP Equity Bank accounts can receive cash transfers immediately.

Once funds are available a payroll of households can be generated from the HSNP Management Information System (MIS) into

which the funds will be transferred within 10 days.

ii) It’s cost effective: The costs of putting the HSNP bank account infrastructure in place are covered by the GoK and DFID.

Once all households have bank accounts the only cost is the transfer value to each beneficiary household.

iii) It’s accountable: funds are received directly in beneficiary accounts, eliminating the intermediaries usually found in other

interventions.

iv) Asset protection: NDMA has Scalability Guidelines outlining when and how HSNP scales up payments to more HHs as

drought conditions deteriorate. It is agreed with NDMA that HSNP CTs will be scaled up on the basis of the remotely sensed

Vegetation Condition Index (VCI). Scaled up payments will therefore be made in response to alate early warning indicator i.e.

at a point in the drought cycle when cash can better promote resilience by protecting households’ assets such as livestock and

reducing negative coping strategies such as withdrawing children from school. Cash also provides the beneficiary with greater

choice and control in addressing needs arising as a result of the shock.

v) It can have wider multiplier effects: Cash can also stimulate local economies and markets and can have important multiplier

effects for those who are not direct recipients; e.g. petty traders, small holder farmers. A study of the multiplier effects of

Kenya’s cash transfer programme found transfers did not cause price inflation but had significant production multipliers for

1 For more information on the ARC eligibility criteria please refer to the ARC Contingency Planning Standards and Guidelines.

34

beneficiary and non-beneficiary households.

vi) Overall 59% of household heads registered on the HSNP MIS are women. Pastoralism is the predominant livelihood in each of

the four counties. It is estimated over 75% of households on the MIS are involved in pastoralism or agriculture or a

combination of both.

35

6.1.4 1

4

.

5

Implementing partners of this intervention.

Name of Partner

Organization

Name of contact at

organization

Telephone number Email address Responsibility and role in

Implementing activity

NDMA (National Drought

Management Authority )

Sunya Orre +254 723 505656 [email protected] Director Technical Services

Hunger Safety Net

Programme

Ric Goodman +254706855678 [email protected] Team Leader

Financial Sector Deepening

Kenya (FSD)

Victor Malu +254 722 516 187 [email protected] Head- Future Financial Sys.

Equity Bank Allan Waititu Allan.waititu@equityba

nk.co.ke

Director Special Projects

6.1.5

6.1.6 1

4

.

6

In the event of a pay out, how will funds flow from the Government account to each implementing partner?

The funds requested from the ARC will flow through the National Treasury to the National Drought Emergency Fund (NDEF). The

National Treasury will provide the framework for the disbursement of ARC payouts by establishing fund flow channels. This will be

an interim measure before the NDEF guidelines are issued. Once the NDEF is operational, ARC payout procedures will be integrated

within its systems.2 In the unlikely event that the NDEF guidelines are not in place, the National Treasury will continue to provide an

interim fund flow channel until another institutional arrangement – subject to approval by the ARC Governing Board – has been

achieved.

For Activity 1, all funds from either the government or its development partners are transferred to the service provider, which loads the

smart cards used by registered beneficiaries to access cash from point-of-sale devices held by a network of traders across the four

counties. Payments are automated and can quickly be scaled up and down as required. The two-factor authentication and use of

2 Kenya has civil contingency funds (e.g. via the Contingencies Fund and the County Emergency Funds) but these are for unforeseen needs. They also have financial limits, are discretionary and reactionary, and benefit only from government appropriations. The NDDCF is designed to be the opposite of such an approach. Drought can be foreseen through the early warning system and requires the systematic allocation of finance based on objective triggers, rather than an individual’s judgment.

36

biometric data protects against fraud.

As part of Kenya’s National Safety Net Programme (NSNP) for Results, the Government has committed to creating a system for

scaling up the NSNP as part of the national drought risk management system. The scalability element of the HSNP aims to create such

a crisis-response capacity within the NSNP. The conduit for funding scalability as well as a range of other drought response

interventions is the National Drought Emergency Fund (NDEF). This is not yet operational but its establishment is a key part of

achieving the Disbursement Linked Indicator (DLI) 7 as part of the KNSN Programme for Results. The establishment of a scalable

cash transfer system immediately triggers a World Bank payment into the NDEF of US$20 million. The actions required to trigger this

payment have a current deadline of July In principle, once operational NDEF will be able to secure funding from a range of donor

partners and the World Bank funding will be matched by a GOK contribution. Treasury has developed a Trust Deed for the NDEF and

gazetted it.

37

6.1.7 1

4

.

7

Definition of the the Unit Cost (cost per beneficiary) to undertake this activity for one (1) month

HSNP scaled up payments are the same value as the regular HSNP payments to routine beneficiaries. This is currently Ksh5400

(approx. US$54) per month. These figures have been enhanced to Ksh 5000 (appox. USD50) per month per HH in Arid counties and

Ksh 4000 (appox. USD40) per month per HH in semi-arid counties. Assuming each HH contains six persons this equates to approx.

US$8.33 per person and approx. US$6.67 per person for arid and semi-arid counties, respectively. Other operational and admin costs

are covered by the wider programme costs, currently funded by DFID and GoK. As the number of vulnerable households increase

when disaster occurs, the payment will be utilised to increase number of households targeted.

Unit Cost under Scenario #1: USD: $ 8.33/6.67

Unit Cost under Scenario #2: USD: $ 8.33/6.67

Unit Cost under Scenario #3 USD: $ 8.33/6.67

Unit Cost under Scenario #4 USD: $ 8.33/6.67

6.1.8 4

.

9

The intervention targeting system.

What type of targeting mechanism

and criteria will be used?

All registered households in the four counties have been wealth ranked using a

combination of community wealth ranking (known as Community Based Targeting, or

CBT) and Proxy Means Testing (PMT) based on the household information collected

during the registration process. The PMT/CBT model uses the information collected

during registration to generate a consumption score in Kenya Shillings for all

368,637households registered on the HSNP Management Information System (MIS).

This consumption score is used to wealth rank households in all locations from poorest

(lowest scores) to richest (highest scores). This methodology was used to select the

poorest households in each of the four counties as routine beneficiaries. When a scale up

is triggered in a county, households will be selected from the MIS in wealth order,

starting with the next poorest household on the list after the last routine beneficiary.

Who will do the targeting? The list will be generated by NDMA in Nairobi, where the HSNP MIS is managed and

maintained. County NDMA staff have access to the HSNP MIS and can generate scaled

up beneficiary lists.

38

How will the targeting be paid for? No targeting exercises are undertaken during or directly before a scale up period as this

will unduly delay the timing of the payment. A pre-validation process is proposed (see

below) and this will take place during a non-crisis period. The costs of this exercise will

be incorporated as part of the wider programme recertification and targeting activities.

Is there any process of verification of

targeting?

Currently households that are not routine beneficiary households are not aware of their

wealth status on the HSNP MIS. Lists are posted in each Sub-Location3, listing

households in wealth order and identifying the groups of households that are most likely

to receive a scaled up payout in certain drought conditions. Communities will be given

the chance to input into this wealth ranking to identify obvious ‘inclusion’ and

‘exclusion’ errors. This will ensure scaled up payments are not made to wealthier

individuals e.g. those with wage labour or non-agricultural incomes. Similarly, very poor

and / or vulnerable households are readjusted on the ranking to be included more quickly

as payments scale up.

In addition the HSNP has a team of independent evaluators who will ensure the impact of

scaled up CTs are monitored and documented so as to inform successive rounds of scale

up.

When will the targeting take place in

relationship to the ARC pay out?

Due to the wealth ranking of households on the HSNP MIS beneficiaries for scale up CTs

in each geographic location are already pre-selected. As outlined above the pre-

validation process is still to be finalised but it is hoped could be completed by the end of

2016.

3 Sub-Locations generally contain between 5 and 20 villages.

39

6.1.9 1

4

.

1

0

The intervention procurement of goods or supplies

How will procurement

take place?

The cash transfer will benefit from existing infrastructure under HSNP no additional equipment will

be required.

Who is responsible for

procurement?

N/A. NDMA is responsible for implementation through Equity Bank under existing arrangements.

What are the timelines

around procurement?

As guided by the public procurement Act

6.1.10 1

4

.

1

1

Please list all the items to be procured and the possible procurement sources:

Item Unit Source(s)

NA NA NA

6.1.11 1

4

.

1

2

Description of how goods will move from procurement to implementing partners to the targeted beneficiaries.

In establishing the infrastructure for HSNP, a payment service provider (PSP)was selected via open tender to provide the banking

services to the programme. Equity Bank is the selected provider since phase 1 of the project in 2009 has been working with NDMA

and other partners to open bank accounts and issue bank cards to all HHs in the four counties. Once the drought trigger has been

reached generates a list of beneficiary HHs for scale up for each affected Sub-Location on the basis outlined in the Scalability

Guidelines. This is used to generate a payroll which is approved by the Director of NDMA. This list is then sent to FSD4 who liaise

with Equity Bank to transfer the funds required for these HHs. Electronic payments are made into beneficiary bank accounts and

accessed via biometric/ pin validation through a bankcard at Equity Bank Agents throughout the four Counties.

4 Explanatory note on FSD

40

6.1.12 1

4

.

1

3

The intervention monitoring system

Does the implementing partner have a monitoring

system in place? If yes, please describe this

system in as much detail as possible. Is it paper-

based? The information gets keyed into an MIS

system? Excel?

Who can access the information

HSNP is working with the NDMA Early Warning team to ensure that regular

post-payment monitoring surveys are undertaken following scale ups. Two

rounds of monitoring has been undertaken to date which has identified areas

for improvement and further integration with NDMA’s EW data analysis.

Currently data is collected electronically using tablets by NDMA field

monitors.

HSNP is also subject to wider monitoring by independent evaluators –

Oxford Policy Management (OPM) who are charged with reviewing the

process and impact of scaled HSNP payments. All partners have access to

the information.

If an existing program, has monitoring occurred

in the past? What criteria is used to monitor one

program or not to conduct monitoring Have any

evaluations of the program been detailed in the

past?

As mentioned, post-payment monitoring is conducted following each scale

up payment. This is done to assess the proportion of HHs getting the

payment, the amount received and how it was spent.

All reviews and evaluations of HSNP are available at the HSNP website

http://www.hsnp.or.ke/index.php/component/content/article?id=68

HSNP also has a comprehensive complaints and grievance system in place to

address the concerns of beneficiaries and other community members.

Please detail the data or bits of information to be

collected by the monitoring system.

Number of beneficiaries

The amount of money received

Utilisation of funds

Frequency of disbursement

Complaints and grievances

Impact of the cash transfers to beneficiaries and local economy

http://www.hsnp.or.ke/index.php/component/content/article?id=68

41

Who is responsible for collecting this information?

Who is responsible for analysing the information?

The NDMA’s County HSNP Programme Managers in liaison with its

County Drought Information Officers and their network of early warning

monitors.

In the first instance EW and PILU MIS experts at national level with input

from the HSNP Monitoring and Evaluation Manager.

How is M&E of the specific intervention financed? Regular monitoring is part of HSNP costs with support from NDMA’s

regular EW budget. The current independent evaluation element is funded by

DFID.

What measures have been introduced to ensure the

timely and accurate collection of monitoring data?

Given the electronic nature of payments it is relatively straight forward to

track when payments have been transferred into each bank account.

Post-payment monitoring to check access and utilisation of the payments is

being undertaken using the NDMA EW data collection teams. The EW field

monitors were trained on the tools and use of the data collection devices.

County information officers provide backstopping during data collection for

quality assurance. Data quality check are also conducted at national level

and feedback given to the county teams

What is the timing around M&E in relationship to

the ARC pay out?

Post-payment monitoring will be carried out after all scaled-up CTs

irrespective of the source of funding.

42

6.1.13 1

4

.

1

4

Intervention Action Plan

Step

Month Implementing

Body Jan Feb Ma

r Apr

Ma

y

Jun

e

Jul

y

Au

g

Sep

t Oct Nov Dec

1. Identification of

drought conditions

(on-going assessments)

NDMA/KFSSG/K

enya

Met/FEWSNET

Provision Early

warning system

information

NDMA/Kenya

Met

2. Confirmation of

drought / declaration

KFSSG

3. ARC payout

announced

ARC

4. Contingency plan

enacted

NDMA

5. Needs assessment

conducted to

validate/confirm

affected districts

KFSSG

6. Targeting of

households for

intervention

NDMA

7. Procurement… NDMA

1. Begin distribution NDMA

2. monitoring NDMA

43

SECOND INTERVENTION

6.1.14 1

4

.

1

Enter name of intervention:

Water Activities

6.1.15 1

4

.

3

Enter a brief description of the intervention:

This Activity proposes two components to be implemented under the ARC: (i) Water trucking and (ii) actions to ensure the functionality of strategic

boreholes.

The provision of water during drought emergencies is a key response activity and has a major impact on several adverse drought effects including rates

of malnutrition and morbidity, livestock condition, crop production, and the labour demands on women and girls. It is particularly important during the

alarm and emergency stages of a drought. The funds available from Government and development partners are often insufficient to address rapidly

increasing water resource demands. ARC funding will thus enable the target population to access water for both domestic and livestock use during the

critical stages of drought.

However, the provision of water must also be undertaken with great care, since poor design can contribute to conflict and environmental degradation.

First, water trucking is often necessary at different stages of a drought but can be constrained by the lack of storage facilities, particularly in areas

where the water infrastructure is poorly developed. Under the ARC, County Steering Groups would take an inventory of existing community storage

facilities and the gaps and provide temporary plastic tanks where necessary to widen the benefits from water trucking. The tanks are also appropriate

for use in rangelands in circumstances where livestock have moved into areas with pasture but no water. The temporary tanks can serve as strategic

water points and be replenished. Subsequently, water would be supplied to targeted communities. In these circumstances, water trucking would sustain

both the core livestock herd left behind by satellite herds and the household members who have accompanied them. Water trucking will only be

implemented during the emergency stage of a drought, on a limited scale, and only in those pockets of counties which are identified by the rapid needs

assessments to face chronic water shortages.

Second, there is high demand at strategic boreholes during drought periods, particularly those located in dry season grazing areas. As a result the

boreholes are prone to breakdown. Borehole downtime is a major cause of livestock mortality. Moreover, as pastoralists’ purchasing power declines,

so does their ability to procure the necessary fuel and lubricants. ARC funds would be used by County Steering Groups to provide fuel subsidies to

44

strategic boreholes, stockpile fast-moving spares, and constitute rapid response teams (including trained community technicians) who can keep the

boreholes running. The water user associations (WUAs) responsible for managing these boreholes will pass on the subsidy to community members by

temporarily reducing the cost of water. Further, with resources from the NDCF and other development partners, the rehabilitation of strategic water

points during the recovery stage of drought will contribute to building resilience.

6.1.16 1

4

.

4

Explaination why this intervention activity is a good option for ARC funding: precisely how does it meet each ARC eligibility criteria5

Fast delivery of water can prevent asset depletion and increase the ability of households to carry on income-generating activities rather than

selling assets and trying to keeps herds alive.

Early intervention to prevent borehole breakdown is key to preventing livestock mortality and the loss of assets, hence funds for response are

required within the early stages of a drought. Early actions to ensure continued access to water also have an impact on livelihoods. For

example, during the 2008-11 droughts there was a substantial loss of wages as household members replaced normal economic activities with

fetching of water.

vii) Maintenance of strategic boreholes to provide continuous water supply for livestock will enable access to pastures in dry season grazing areas.

viii) Water trucking will save the weak herds left behind when strong herds migrate in search of pasture and water. In addition, water trucking will

reduce the workload of women who spend an average of 5 hours per day looking for water and hence they will devote more time to other

economic activities.

ix) During peak of drought most schools risk closure as the water situation worsens and therefore water trucking will ensure pupils remain in

school and the home grown school meals programme (HGSMP) will run smoothly.

x) Repairs of boreholes and other water facilities will reduce conflict over water and help redistribute livestock over the grazing resources and

therefore reduce overgrazing and environmental degradation.

5 For more information on the ARC eligibility criteria please refer to the ARC Contingency Planning Standards and Guidelines.

45

6.1.17 1

4

.

5

Intervention partners

Name of Partner

Organization

Name of contact at

organization

Telephone number Email address Responsibility and role in

Implementing activity

NDMA (National Drought

Management Authority )

James Oduor Chief Executive Officer

Authority to incurre expendi

ture(AIE) holder

County Government (Ministry

of Water)

Chief Officer Chief Officer-AIE holder for ministry of water at

county level.

County level(NDMA/HSNP) County program Manager Oversee cash transfers at county level

6.1.18 1

4

.

6

Funds flow from the Government account to each implementing partner.

The funds requested from the ARC will flow through the National Treasury to the National Drought Contingency Fund (NDCF). Although the NDCF

is not yet in place, the National Treasury has confirmed that it can provide the framework for the disbursement of ARC payouts by establishing fund

flow channels. This will be an interim measure while the NDCF is being formally established. Once the NDCF is operational, ARC payout procedures

will be integrated within its systems.6 In the unlikely event that the NDCF should not be established, the National Treasury will continue to provide an

interim fund flow channel until another institutional arrangement – subject to approval by the ARC Governing Board – has been achieved.

For Activity 1, all funds from either the government or its development partners are transferred to the service provider, which loads the smart cards

used by registered beneficiaries to access cash from point-of-sale devices held by a network of traders across the four counties. Payments are

6 Kenya has civil contingency funds (e.g. via the Contingencies Fund and the County Emergency Funds) but these are for unforeseen needs. They also have financial limits, are discretionary and reactionary, and benefit only from government appropriations. The NDDCF is designed to be the opposite of such an approach. Drought can be foreseen through the early warning system and requires the systematic allocation of finance based on objective triggers, rather than an individual’s judgment.

46

automated and can quickly be scaled up and down as required. The two-factor authentication and use of biometric data protects against fraud.

For Activity 2, Funds are transferred from the NDCF directly into the NDMA’s existing county accounts. The key partners who will collaborate with

the CSGs and their sectoral working groups include:

Water service providers, such as the Northern Water Service Board and the Athi Water Service Board

Water User Associations (WUAs)

The counties develop the response plans outlining the water sector interventions which are submitted to the NDMA’s head office for review,

refinement and funding. Based on these approved response plans the Head office will disburse the funds to NDMA respective counties accounts

depending on the need. Once the funds are in the county level accounts, the CSG technical working group (TWG) will develop the implementation

arrangements in terms of activation of rapid response teams and stocking piling of fast moving spares. The rapid response team will attend to reported

broken-down boreholes and gensets.

Monthly expenditure returns are submitted by the county drought coordinator to the NDMA’s head office on 5th of the following month for quality

control and reimbursements. In addition CSG carries out quarterly monitoring of the activities implemented and give recommendations on areas of

improvement and replication of best practices.

6.1.19 1

4

.

7

Definition of the Unit Cost (cost per beneficiary) to undertake this activity for one (1) month.

Unit Cost under Scenario #1: USD: _____NB: Water sources are within normal range and management/maintenance is normal.

Unit Cost under Scenario #2: USD: _____$ 6.7 (On average water trucking costs Kshs 28,400 per three trips in ten days (Fuel, DSA for driver and

loader and cost of water). On average 500-1,000 persons per sub-location in the arid counties; translating to an average of 167 HH).

Unit Cost under Scenario #3 USD: ____$ 6.7

47

Unit Cost under Scenario #4 USD: ___$ 13.4

6.1.20 4

.

9

Intervention targeting system

What type of targeting mechanism

and criteria will be used?

For both water trucking and borehole activities, targeting at the national level is informed

by the drought EWS which indicates the drought status per county. Those communities

whose water supply systems have collapsed or have low yield /poor quality will qualify

for targeting based on their geographical location within each county and determined by

the rapid assessments. Water trucking would be implemented purely based on such

geographical targeting. If water stress levels are high enough for water trucking to be

implemented, everybody in the affected region would receive water supplies from this

activity. During peak drought periods the existing water facilities are overstretched and

water trucking will relieve the pressure on these water facilities.

For borehole activities, intervention is based on “bottom-up” requests from Community

Borehole Committees to the respective County Steering Groups. Priority will be given to

strategic and high-yielding boreholes for the provision of fast-moving spare parts and fuel

subsidies to ensure continuous supply of water during the stress period.

Who will do the targeting? The County Technical Working Group (CTWG) will do the targeting with information

gathered during the rapid needs assessment. The input of the beneficiaries will guide the

targeting by the CTWG(county technical working group) Committee.

How will the targeting be paid for? The county Technical Working Group(CTWG) of the County food security will utilize

the funds disbursed from the NDMA head office to implement the activities. The officers

involved will be paid their subsistence allowance DSA depending on their job groups in

line with civil service guidelines.

Is there any process of verification of

targeting?

Routine monitoring missions are used to verify the beneficiaries and community feedback

meetings.

48

When will the targeting take place in

relationship to the ARC pay out?

During the needs assessment and the development of response plans and this will inform

the payout.

6.1.21 1

4

.

1

0

Procurement of goods or supplies

How will procurement

take place?

Any procurement required for water activities would be done in line with the Public Procurement

and Disposal Act 2005 and as stipulated in government regulations.

The NDMA has pre-qualified suppliers for all items at both the county and national levels. For

water trucking, the Ministry of Water county office would procure the water from water service

providers. For borehole activities, CSGs would procure fuel and lubricants for the boreholes using

Local Purchase Orders (LPOs). They would keep issue registers and ensure that delivery notes are

signed by the WUAs.

The NDMA has established tendering committees at both the national and the county levels to

oversee the tendering process, as envisaged in the Act. Local communities will also be assisted to

oversee the planning, implementation, monitoring and evaluation of their preparedness and

mitigation measures.

Who is responsible for

procurement?

NDMA : Procurement and Tender Committees at National and County levels where the Supply

Chain Manager at in the NDMA Head Office and the NDMA’s Supply Chain Assistant at County

level are the secretaries respectively)

What are the timelines

around procurement?

30 days maximum

49

6.1.22 1

4

.

1

1

Please list all the items to be procured and the possible procurement sources:

Item Unit Source(s)

Fuel and Lubricants Litres Fuel Stations/Suppliers

Fast Moving Spare Parts No. Prequalified Suppliers

Standby gensets and submersible

pumps

No. Prequalified Suppliers

Water Storage Tanks No. Prequalified Suppliers

Water Treatment Chemicals Kg Prequalified Suppliers

6.1.23 1

4

.

1

2

How goods will move from procurement to implementing partners to the targeted beneficiaries.

There is an elaborate requisition and issue mechanism in place for all goods and services procured. The user department places a

requisition order to the stores department who will analyse the requisition against the items in stock and fill in the delivery notes and

delete the items issued from the stock control ledger and a gate pass is issued to the user department. The user department signs the

S11 and S13 cards and carries the duplicate copy for record purposes. The community/beneficiaries will countersign the delivery

documents for their boreholes/gensets/water tanks/chemicals and indicate their mobile numbers and contact names. Each project

will open a record book at the beneficiary level to record all the interventions and this book is under the custody of the project chair

(County drought coordinator).

50

6.1.24 1

4

.

1

3

Intervention monitoring system

Does the implementing partner have a monitoring

system in place? If yes, please describe this

system in as much detail as possible. Is it paper-

based? The information gets keyed into an MIS

system? Excel?

For both activities, the web-based Management Information System (MIS)

that has been developed to support the NDCF business process will track the

progress of each intervention. The MIS allows financial transactions to be

accessed on a monthly basis. Reports will be generated and disseminated to

the relevant sectors and stakeholders. County Steering Groups are

responsible for monitoring and evaluation of all drought mitigation

interventions. Their efforts will be supplemented by ad hoc monitoring and

evaluation missions constituted from the national level.

County Steering Group monitoring committees have already developed

monitoring and evaluation frameworks. The county governments also have

their own monitoring systems with proper guidelines. One of the key

parameters to be monitored and evaluated will be the mainstreaming of

thematic issues such as gender, HIV/AIDS, and environmental impacts. The

interventions supported by ARC payouts will be subject to these same M&E

frameworks in order to ensure consistency and conformity at the county

level. A strong gender focus is critical throughout the project cycle,

particularly to ensure equitable impact of interventions on beneficiaries. The

cash transfers and water interventions will both seek to enhance community

participation in decision-making. The HSNP grievance and complaints

committees and the water resource user associations, which are already

established, also have equal participation of both men and women across all

age brackets.

On a monthly basis, or at the end of the intervention if earlier, at the county

level all ministries and other organisations which have received drought

contingency finance submit comprehensive implementation and expenditure

51

Who can access the information

reports to the County Drought Coordinator (CDC). The CDC validates the

reports by making a physical inspection of the interventions and submits the

report on to the NDMA. The monthly reports form the basis for a monthly

report that the NDMA submits to the ARC in accordance with the reporting

guidelines of the ARC Secretariat.

At the end of implementation, at the county level the CDC compiles a

financial report while the NDMA’s county finance officer carries out a

reconciliation exercise and ensures that all funds disbursed have been

accounted for. The reports are passed on to NDMA headquarters, where the

NDMA carries out a sample audit and produces a consolidated national

financial report which is submitted to the National Treasury. In addition, the

NDMA consolidates a final operational and financial report that is submitted

to the ARC.

Periodic internal audits will be conducted by the NDMA’s Internal Audit

section. An external private audit verifying the flow of ARC funds will be

commissioned at the end of implementation, following terms of reference

prepared by the ARC Secretariat. In addition, the National Treasury will

carry out a further audit at the end of implementation. These audit reports

will generate lessons and highlight areas for improvement in future drought

response. External audit reports will be disseminated to all stakeholders, and

audit reports for ARC funds will be submitted to the ARC.

All actors at both National and County level can access the information since

the drought continguency fund is web based.

52

If an existing program, has monitoring occurred in

the past? What criteria is used to monitor one

program or not to conduct monitoring Have any

evaluations of the program been detailed in the

past?

There are functional TWG of the CSG who conduct quarterly M&E in each

county. Currently, the M&E framework is being improved . However, in the

meantime they have been using the checklists, TORs and Questionnaires. For

data analysis they use the excel spreadsheets.

Please detail the data or bits of information to be

collected by the monitoring system.

Number of beneficiaries

Number of boreholes/gensets/hand pumps/windmills repaired or

rehabilitated.

Number of water tanks purchased and distributed

Number of livestock provided with water

Number of schools and dispensaries supplied water

The amount of fuel used for water trucking

The amount of money used on subsistence allowance for staff trucking

water

Complaints and grievances

Impact of the program to beneficiaries

53

Who is responsible for collecting this information?

Who is responsible for analysing the information?

Both county and national officers

HSNP and DCF programs already have established MIS which are manned

by administrative officers. For the proposed cash transfer the same officers

will still develop and ensure the MIS monitoring framework.

The data bases administrative officer s for both HSNP and DCF-P will be

responsible for analysis of generated data through the MIS.

MIS experts at National and county level

How is M&E of the specific intervention financed? CSG monitoring committees have already developed monitoring and

evaluation frameworks. The county governments also have their own

monitoring systems with proper guidelines. One of the key parameters to be

monitored and evaluated will be the mainstreaming of thematic issues such

as gender, HIV/AIDS, and environmental impacts. The interventions

supported by ARC payouts will be subject to these same M&E frameworks

in order to ensure consistency and conformity at the county level. A strong

gender focus is critical throughout the project cycle, particularly to ensure

equitable impact of interventions on beneficiaries. The cash transfers and

water interventions will both seek to enhance community participation in

decision-making. The HSNP grievance and complaints committees and the

water resource user associations, which are already established, also have

equal participation of both men and women across all age brackets. The M

and E function will be intergrated into the implementation process where

CSG committees are able to follow up and monitor the phase of

interventions implementation.

54

What measures have been introduced to ensure the

timely and accurate collection of monitoring data?

The M&E is conducted quarterly. MIS system ensures data is collected

accurately and data collection tools such as questionnaires, checklists are

available.

What is the timing around M&E in relationship to

the ARC pay out?

Quarterly after receiving the ARC payout.

55

6.1.25 1

4

.

1

4

Intervention Action Plan

Step

Month Implementing

Body Jan Feb Mar Apr Ma

y

Jun

e July Aug Sept Oct Nov Dec

1. Identification of

drought conditions

(on-going assessments)

NDMA/KFSSG/Ke

nya

Met/FEWSNET

Provision Early

warning system

information

NDMA/Kenya Met

2. Confirmation of

drought / declaration

KFSSG

3. ARC payout

announced

ARC

4. Contingency plan

enacted

NDMA

5. Needs assessment

conducted to

validate/confirm

affected districts

KFSSG

56

6. Targeting of

households for

intervention

NDMA

7. Procurement… NDMA

8. Begin

distribution

NDMA

9. monitoring NDMA

57

7 M&E FRAMEWORK AND PLAN

Cash transfer

Intervention: Scale-up of cash transfers through the Hunger Safety Net

Programme

Impact: Household assets during drought stress are protected

Results Indicators Means of

Verification

Assumptions

OUTCOME

Outcome 1:

Reduced

response time for

assistance to

targeted

households.

Targeted beneficiary

households can receive

pay-outs within 2 weeks

after funds approval.

Post payment and

final monitoring

reports from

NDMA to ARC.

Reports from

transparency

International

Incidence of inter-

community

conflict is reduced.

Outcome 2:

Improved

implementation

time for ARC

activities

Activity’s

implementation duration

not exceeding 180 days.

Post payment and

final monitoring

reports from

NDMA to ARC

Timely deposit of

funds by ARC into

Treasury and by

Treasury into

NDCF

Timely

disbursement by

NDCF to NDMA

for HSNP.

Reduced

incidences of

intercommunity

conflicts.

Outcome 3:

Increased

proportion of

households able

to retain assets

with HSNP

payouts per

household

More than 60% of

households retain their

assets throughout the

drought period.

40% of targeted

households adopt other

livelihoods

diversification options.

MIS, analysis of

monthly EW and

post payment

monitoring data

Food price

inflation will

affect the real

value of the

transfer.

OUTPUTS

Output 1.1: Cash transfers

disbursed to

drought-affected

households

Up to 272,520 HHs receive

transfers following the

HSNP Scalability Guidelines

(i.e. no. months payout

depending on VCI per Sub-

County and at prevailing

agreed amount).

MIS, monthly and

final monitoring

reports from

NDMA to ARC

Functioning local

markets.

Dollar fluctuation-

weakening of the

shilling.

58

(Note exchange rate 1USD

approx. = KES 100)

Output 2.1: Timely delivery

of assistance to

the affected

households.

Actual time taken to roll

out response programme

from ARC pay-out date

against planned.

Actual time taken to

provide cash to targeted

households following

drought triggers as per

HSNP Scalability

Guidelines.

Actual time taken

between ARC payment

and Treasury depositing

money in NDCF.

Monthly and final

monitoring reports

from NDMA to

ARC

Timely release of

funds from ARC.

Output 2.2

Improved quality

of services and

efficient conflict

resolution during

implementation

Working complaint

mechanism established

Documented and

resolved

complaints

An efficient

complaint

mechanism would

result in improved

quality of services

Both Activities will put in place a mechanism to solicit feedback from beneficiaries on any

complaints and satisfaction with the services provided. This will be incorporated in the M and

E framework of both interventions.

59

Action Plan

ARC payouts could occur after either of the insured seasons (short rains and long rains). The

sequence of events as illustrated in the following would remain the same.

Month Implementing body

Activities 1 2 3 4 5 6 7

Signing of

agreements.

Review and update

of contingency plans.

Development of

response plans.

ARC and NDMA

HSNP Scale-up as

per Scalability

Guidelines

(independent of ARC

payout) (day 26-111)

NDMA, Equity Bank.

Money goes straight from Equity Bank to

beneficiaries no partners involved except

NDMA communications and monitoring

role.

Equity Bank deposits money in to

beneficiary bank accounts.

County

implementation and

financial report are

submitted to NDMA

headquarter at the

end of

implementation (day

112-133)

NDMA county offices, NDMA

headquarter

Consolidate county

reports and submit to

Treasury (day 134-

164)

NDMA headquarter

Get review from

Treasury and submit

final report to ARC

(day 165-180)

Treasury, NDMA headquarter

60

Access to water log frame

Intervention: Access to water

Impact: Access to water is enhanced for household and livestock use

during drought.

Indicators Means of

Verification

Assumptions

OUTCOMES / RESULTS

Outcome 1:

Increased access to

water via water

trucking and fuel

subsidies

Over 90 percent of

households have access to

clean and safe water

Incidences of water borne

diseases reduced by 80

percent

MIS, monthly

monitoring from

CSGs to NDMA,

monthly and final

monitoring reports

from NDMA to ARC

Incidents of

conflict are

effectively

managed to ensure

access to water.

Outcome 2:

Strategic boreholes

remain operational

with the use of

rapid response

teams.

60 percent of strategic

boreholes being able to

sustain water demand during

drought period.

MIS, monthly

monitoring from

CSGs to NDMA,

monthly and final

monitoring reports

from NDMA to ARC

Rapid response

teams and WUAs

are able to carry

out basic

maintenance

throughout the

implementation

period.

80 percent of the

operational

boreholes are

giving optimum

yield.

Outcome 3:

Reduced response

time for assistance

to targeted

households.

Drought response period

reduced to less than 30 days.

Monthly and final

monitoring reports

from NDMA to ARC

Timely

disbursement of

funds by ARC.

Outcome 4:

Improved

implementation

time for ARC

activities.

Drought interventions

implemented in less than 6

months

Monthly and final

monitoring reports

from NDMA to ARC

Timely release of

funds

Incidences of

inter-community

conflict are

effectively

managed to

facilitate repair of

boreholes.

OUTPUTS

Output 1.1: Plastic

tanks distributed to

strategic

community points

in 23 ASAL

counties.

25 water tanks (10m3)

per county delivered and

utilised as water

reservoirs by

communities and

institutions.

MIS, monthly

monitoring from

CSGs to NDMA,

monthly and final

monitoring reports

from NDMA to ARC

Water trucking

proceeds as

planned

Output 1.2: Water

trucking carried out 100,000 beneficiaries MIS, monthly

monitoring from Careful assessment

61

to vulnerable

households in 23

counties

access water throughout

the drought period.

CSGs to NDMA,

monthly and final

monitoring reports

from NDMA to ARC

of the ecological

implications and

impact on

customary rights

will be required.

Water trucking

activities do not

lead to human

settlements along

watering points.

Output 1.3: Fuel

subsidies provided

to water user

associations

responsible for

managing strategic

boreholes.

60% of motorised

boreholes running

throughout the drought

period.

60% of WUAs are able

to manage strategic

boreholes.

MIS, monthly

monitoring from

CSGs to NDMA,

monthly and final

monitoring reports

from NDMA to ARC

Clear agreements

in place with the

WUAs governing

the terms on which

subsidies are

given.

Output 2.1: Rapid

response teams

equipped with fast-

moving spares and

equipment to repair

strategic boreholes.

Rapid response teams in

23 counties activated

and able to respond to

borehole breakdowns.

At least 5 WUAs per

county trained and

equipped to undertake

minor repairs.

MIS, monthly

monitoring from

CSGs to NDMA,

monthly and final

monitoring reports

from NDMA to ARC.

Ready access of

spares and

equipments in the

counties.

Cooperation of the

County

governments.

Output 2.2

Improved quality

of services and

efficient conflict

resolution during

implementation

Working complaint

mechanism established

Documented and

resolved complaints An efficient

complaint

mechanism would

result in improved

quality of services

.

62

Action Plan

ARC payouts could occur after either of the insured seasons (short rains and long rains). The sequence of events as illustrated in the following

would remain the same. Where exact implementation times particularly depend on individual circumstances, an estimate of the timing was

applied (indicated).

Month Implementing body

Activities 1 2 3 4 5 6 7

Signing of agreements

Review and update of

contingency plans

Development of response plans

ARC and NDMA

Bi-annual food security

assessment

KFSSG

Rapid assessments (day 0-15) CSGs

Targeting (estimate) NDMA county offices

Water trucking: Assessment of

water storage facilities and

distribution of temporary

containers (estimate)

CSGs

Water trucking: Procurement

of water (estimate)

Ministry of Water county offices

Water trucking: Provision of

water to targeted communities

(estimate)

Ministry of Water county offices

Borehole activities: Provide

fuel subsidies to strategic

boreholes, stockpile fast-

moving spares, and constitute

rapid response teams

CSGs, Ministry of Water county offices, WUAs, NDMA

county offices

63

Implementation reports are

compiled and submitted to

NDMA headquarters (day 112-

133)

NDMA county offices

Consolidate county reports and

submit to Treasury (day 134-

164)

NDMA headquarter

Get review from Treasury and

submit final report to ARC

(day 165-180)

Treasury, NDMA headquarter

64

8 PROGRAM RISKS AND ASSUMPTIONS

#

Risk

Likelihood of

occurrence of

this risk (low,

medium, or

high)

Describe Impact Mitigation Strategy: what you will do to make

sure this does NOT happen?

1 Exchange Rate Risk High Weakening of the

KES. Will lead to

inflation and

escalation of cost of

goods and services.

HSNP has provisions in place to protect the

value of the regular transfer. This is by adjusting

the value of transfer by 5% every year.

2 Inflation reduces the value of cash

transfers

High The volume of

purchase will less.

Increased cost of

production.

The actual value of the transfer can be adjusted

with a minimum of lead time (since the process

is automated). HSNP also has provisions in place

to protect the value of the regular transfer (e.g. an

annual review under the HSNP).

3 Risk that intervention(s) do not

reach the targeted populations (most

vulnerable)

Low The project will be

able its objective.

Stringent methodology in beneficiary targeting.

Community participatory process is now part of

revised targeting guidelines.

4 Outbreaks of conflict in dry season

grazing areas

High Restricted access to

pasture and water.

High livestock

mortality.

Loss of lives and

livelihoods.

NDMA works closely with the National

Steering Committee on Peace Building and

Conflict Management (NSC) which supports

rapid response to local-level conflicts.

Likely hotspots where groups converge are

generally known and will be mapped in order

to facilitate response planning.

The willingness of the community to live in

harmony for coexistence and sharing of

resources.

65

5 The National Drought Contingency

Fund is not operational before the

next drought period.

High Timely response is

hampered. NDMA is working hard to ensure that the

NDCF is established and operationalised

before the next drought period.

In the event that it is not, the National

Treasury has given assurances that it can

facilitate the flow of ARC funds.

6. Reducing recharge levels of the

boreholes during drought period.

Medium Reduced water yield

both for domestic

and livestock

consumption

Construction of sand dams and protection of

water sheds.

Assumptions

1. County governments have sufficient capacity to carry out their responsibilities.

2. Drought coordination structures continue to work effectively at both national and county levels.

3. Collaborative working relationships continue to be maintained between the national and county

governments.7

4. Outbreaks of conflict can be managed and controlled.

5. Timely disbursement of funds by ARC.

6. Ready access of spares and equipments in the counties.

7. Cooperation of the County governments.

8. Clear agreements in place with the WUAs governing the terms on which subsidies are given.

9. Rapid response teams and WUAs are able to carry out basic maintenance throughout the

implementation period.

10. Water trucking activities do not lead to human settlements along watering points.

11. 80 percent of the operational boreholes are giving optimum yield.

7The NDMA has been taking concrete steps to ensure that there is close collaboration between the national and the county governments on matters of drought management. These include detailed briefings and meetings with the new Governors and their teams – one held on 7-8 June 2013 and a second on 22-23 August 2013.

66

9 DEFINITION OF STANDARD OPERATING PROCEDURES

# SOP Name SOP Details Responsible

Officer Timing

Turnaroun

d time

(days) Type

Mi

n Max

Informational and Planning Processes

01 Monitor food security

levels

Intense monitoring of ARV and other EW tools

(including VCI) to track severity and

deterioration of food security situation.

NDMA Ongoing Ong

oin

g

Ongo

ing

Task

02 Update contact

databases

Confirm contact details for HSNP TWG

members, implementing partners and other staff

involved in the rollout of a disaster risk

management plan.

NDMA As soon as

possibility of

payout is

identified under

HSNP

Scalability

Guidelines.

1 5 Task

03

FIP development and

submission

Mobilize the ARC TWG responsible for

contingency planning.

NDMA

As soon as

possibility of

payout is

identified

1 14 Task

Decide most likely scenario. KFSSG 1 14 Decision

Decide on most likely regions/districts to

receive ARC funding .

NDMA in

case of

HSNP.

KFSSG in

case of water

1 14 Decision

Decide on most likely interventions to fund

given the scenario

KFSSG

(water)

1 14 Decision

Estimate the number of vulnerable people

targeted

KFSSG

(water)

1 14 Task

67

HSNP HH

calc is

automated.

Draft FIP, including detailed budget NDMA 1 14 Task

Obtain internal government approval for the

FIP

NDMA

(water)

HSNP is pre-

agreed.

As soon as FIP

has been drafted

1 7 Approva

l

Submit FIP to ARC Secretariat for approval NDMA Not less than 30

days before

anticipated pay

out

5 16 Task

04

FIP re-submission (if

necessary)

Integrate feedback and resubmit FIP if not

approved by the ARC Board

NDMA As soon as FIP

Review Process

decision has

been

communicated

1 14 Task

05 Coordinate Needs

Assessment

Work with the group responsible for

coordinating the larger country drought

response [enter name here] to get results from

the needs assessment

KFSSG 14 28 Task

06 FIP adjustment (if

necessary)

Following the needs assessment adjust the FIP

estimates regarding number of vulnerable

people targeted and how ARC funds will be

used

NDMA (for

water – HSNP

will have

already paid

out)

Following the

needs

assessment

2 7 Task

Financial Processes

07 Notification to

financial institution to

receive ARC funding

Inform National Treasury and/or Ministry of

Finance of the country of imminent pay out and

verify all the bank details.

NDMA 30 days before

payout

7 14 Task

08 Notification to

implementing partners

Inform implementing partner(s) and or

procurement sources of possible funds transfer

NDMA

5 14

68

of potential funds

transfer

and verify the bank details After payout

09 Verify the ARC funds

national account

Ensure that a dedicated account for ARC funds

exist (NDCF in case of HSNP)

Verify that off cycle transfer is possible if

ARC funds go to national treasury

NDMA

After payout

2 5

10 Funds transfer to


and audit

Transfer funds to implementing agencies and/or

procurement sources in timely manner

NDMA After payout 5 14 Task

Operational Processes

11

Operational Processes

Coordination

Inform other implementing partners of the

possibility of payout

NDMA As soon as

possibility of

payout is

identified

2 5 Task

Inform county and sub-county structures of

possibility of payout

NDMA As soon as

possibility of

payout is

identified

2 5 Task

12

12

Targeting and

registration

Inform existing programme managers of

possibility of scale up (if selected intervention

is scalable)

NDMA As soon as

possibility of

payout is

identified

2 5 Task

Identify additional beneficiaries and update

beneficiaries’ lists

NDMA As soon as

payout is

confirmed

10 14 Task

13

13 Procurement (if

required by

intervention selected)

Assess completeness of list of beneficiaries in

each identified district/county

NDMA As soon as

payout is

confirmed

10 14 Task

Identify responsible actors for the procurement

of goods / supplies

NDMA As soon as

possibility of

payout is

2 5 Task

69

identified

14

Verify functionality of

existing systems

Verify that procurement sources and

procedures are functional

NDMA As soon as

possibility of

payout is

identified

2 5 Task

14 Verify functionality of

existing systems

Confirm that food transfer distribution/

payment systems are in place and functional

and can handle additional caseload (in case of

scalable intervention)

NDMA 10 days before

payout

10 14 Task

15

16

Communication

Monitoring and

Evaluation

Develop clear communication channels among


NDMA As soon as

payout is

confirmed

2 5 Task

Identify additional M&E personnel and training

needs for a possible pay out

NDMA As soon as

possibility of

pay out is

identified

7 14 Task

Ensure implementing partners are familiar with

ARC M&E requirements (monthly and final

implementation report)

NDMA As soon as

payout is

confirmed

5 10 Task

Ensure that implementing partners submit

monthly progress reports

NDMA Ongoing during

pay out

30 40 Task

Ensure that the implementing institutions will

cooperate with independent auditors by

maintaining all the relevant documents open

NDMA On going ong

oin

g

ongoi

ng

Task

Submit monthly monitoring reports to ARC

Secretariat

NDMA Ongoing during

pay out

30 40 Task

Please complete the ARC Standard Operating Procedure timeline based on your country’s seasonal calendar and EW/CP processes. To do so:

i)Add any additional SOPs that are specific to your country; ii) Replace the numbers in the month column with those months related to your

seasonal calendar and ARC insurance contract; (iii)Either highlight in colour or use “X’s” to indicate the month(s) in which the activity occurs.

70

#

SOP Name

Month

Short Rains Dependent Harvests

Oc

to

be

r

Nov

emb

er

Harves

t

Mar

ch

Apr

il May June

Jul

y

Au

gus

t

Monitor food security levels(EWS Information)

FIP development

Update contact databases

FIP submission

FIP re-submission (if necessary)

Coordinate and execute needs assessment

FIP adjustment (if necessary)

Notification to financial institution to receive ARC funding

Notification to implementing partners of potential funds transfer

ARC Pay-out

Funds transfer

Inform existing programme managers of possibility of scale up

Identify responsible actors for the procurement of goods/supplies

Verify that procurement sources and procedures are functional

Inform implementing partners of possibility of payout

Inform county/sub-county structures of possibility of payout

Identify additional beneficiaries and update beneficiary lists

Assess completeness of beneficiary lists in each identified district/county

Develop clear communication channels among implementing partners

Identify independent external financial auditor

Identify additional M&E personnel and training needs for a possible payout

Ensure implementing partners are familiar with ARC M&E requirements

71

Annex 1: Supporting Documents

: MOST DROUGHT-PRONE LIVELIHOOD ZONES

A. Northwest pastoral cluster

Counties: Turkana, Marsabit, Samburu

Approximate size: 173,876 km2

Estimated population: 1.3 million people.

AEZ: arid (annual rainfall 150mm-550mm)

Food and income security are tied to livestock. Pastoralism is practised by around 60% of

people, and agro-pastoralism and fishing by a further 20% and 10% respectively.

Figure 10: Northwest Pastoral Cluster

72

B. Northeast pastoral cluster

Counties: Mandera, Wajir, Garissa, Tana River, Isiolo



AEZ: arid (annual rainfall 150mm-550mm)

Livestock and crop production account for 60% and 30% of total income respectively. The

dominant livelihood is pastoralism, followed by agro-pastoralism and mixed farming.

Figure 11: Northeast Pastoral Cluster

73

C. Agro-pastoral cluster

Counties: Kajiado, Narok, West Pokot, Baringo, Laikipia, part of Nyeri (Kieni)



AEZ: semi-arid (annual rainfall 550mm-850mm)

The main livelihoods are mixed farming, pastoralism, marginal mixed farming and agro-

pastoralism. Households in this cluster access 30% of food from their own production and

60% from the market.

74

Figure 12: Agro-pastoral Cluster

i.

D. Southeast marginal agricultural cluster

Counties: Kitui, Machakos, Makueni, Tharaka Nithi, part of Embu (Mbeere), part of Meru

(Meru North)




Mixed farming and marginal mixed farming predominate, practiced by 65% and 26% of the

population respectively. Crop production contributes 40% to household income; livestock

production 35% and employment 25%. Remittances are also important.

Figure 13: Southeast Marginal Agricultural Cluster

75

i.

E. Coastal marginal agricultural cluster

Counties: Kwale, Kilifi, Taita Taveta, Lamu




The main livelihoods are mixed farming, formal and informal employment, and marginal

mixed farming.

Figure 14: Coastal Marginal Agricultural Cluster

76

Annex 1.2: Briefing on the National Drought Contingency Fund, NDMA, 2013.

Annex 1.3: Business Process for Disbursement of Drought Contingency Funds:

Summary Report, NDMA.

Annex 1.4: Drought Response Manual: Sectoral Activities Eligible for Funding from the

National Drought Contingency Fund, NDMA, 2010.

Annex 1.5: Ending Drought Emergencies Common framework, 2013-17.

Annex 1.6: County government Act, 2012.

Annex 1.7: Sessional paper No.8 of 2012 on national policy for sustainable Development

of Northern Kenya and other Arid Lands.

Annex 1.8: Draft National Policy for Disaster Management- Feb 2009.

Annex 1.9: Food and Nutrition Security Policy, 2012.

Annex 1.10: National Climate Change Action Plan (NCCAP) of 2013.

Annex 1.11: National Climate Change and Adaptation Policy.

Annex1.12: HSNP Scalability Guidelines

77

Annex 2: Budget

Activity Allocation (%) Amount (USD m)

Cash transfers 75 22.5

Water 25 7.5

TOTAL 100 30