USAID MISSION ORGANIZATIONAL DEVELOPMENT SUPPORT (MODS)

USAID MISSION ORGANIZATIONAL DEVELOPMENT SUPPORT (MODS)

MONTHLY OPERATIONAL STATUS REPORT MARCH 1 – MARCH 31, 2021 USAID Contract# GS-10F-098AA/72061519M0003

Submission Date: March 31, 2021 This publication was prepared by Dexis Consulting Group for review by the United States Agency for International Development.

USAID Mission Organizational Development Support (MODS)

MONTHLY OPERATIONAL STATUS REPORT MARCH 1 – MARCH 31, 2021

Submitted to:

Roseanne Mugo, COR USAID/KENYA

Prepared by:

Dexis Consulting Group

DISCLAIMER The author’s views expressed in this publication do not necessarily reflect the views of the United States Agency for International Development or the United States Government.

CONTENTS

Acronyms and Abbreviations ii

Part A: Introduction 1

Part B: Technical Assistance, Organizational Development & Capacity Building 2

Part C: Monitoring, Evaluation and Learning 15

Part D: Program Management and Administration 16

Part E: Outcome Harvesting 17

Part F: Cross-cutting Issues 17

Part G: Tools Developed or Adapted 18

Part H: Challenges and Mitigation 18

Part I: Lessons Learned 18

Part J: Assumption Monitoring 18

ACRONYMS AND ABBREVIATIONS ADS Automated Directives System AKF Aga Khan Foundation AOR Agreement Officer’s Representative APS Annual Program Statement BA Business Association CIDP County Integrated Development Plan CLT County Liaison Team COP Chief of Party COR Contracting Officer’s Representative COVID-19 Coronavirus Disease 2019 CSA Context and Systems Analysis DHPT Division of Health Products and Technologies ERP Enterprise Resource Planning HPN Health, Population and Nutrition ICT Information and Communication Technology IS Institutional Strengthening ISP Institutional Strengthening Plan IT Information Technology J2SR Journey to Self-Reliance LDO Local Development Organization MCP Medical Commodities Program MEL Monitoring, Evaluation and Learning MODS Mission Organizational Development Support MOU Memorandum of Understanding NRM Natural Resource Management NRTT Northern Rangelands Trust Trading NUPAS Non-US Organization Pre-Award Survey OCA Organizational Capacity Assessment OCAT Organizational Capacity Assessment Tool OD Organizational Development ODK Open Data Kit OEGI Office of Economic Growth and Integration OGAC Office of the U.S. Global AIDS Coordinator PEA Political Economy Analysis PEPFAR President’s Emergency Plan for AIDS Relief PIC Project Implementation Committee PIRS Performance Indicator Reference Sheets PREG Partnership for Resilience and Economic Growth PWD Person with Disabilities SPA Strategic Planning and Analysis TA Technical Assistance TIP Technical Implementation Plan TLD Top Level Domain UNES University of Nairobi Enterprise Services USAID United States Agency for International Development USAID/KEA United States Agency for International Development/Kenya and East Africa WASH Water, Sanitation and Hygiene WHO World Health Organization WO Work Order

MISSION ORGANIZATIONAL DEVELOPMENT SUPPORT (MODS) 1

PART A: INTRODUCTION Dexis Consulting Group is in the second year of implementing the United States Agency for International Development (USAID) Kenya and East Africa (USAID/KEA) Mission Organizational Development Support (MODS) project. MODS is a three-year (2019-2022) project that provides organizational development (OD) and capacity building technical assistance (TA) to strengthen the role and capacity of local development organizations (LDOs), existing local Kenyan entities, and local governments to foster ownership, locally led-development and implementation of sustainable development. It is envisaged that strengthening local organizations’ systems will lead to sustainable development outcomes at the national, county, sub-county, and community levels. USAID MODS takes a capacity building approach that applies learning cycle components, using methods such as needs assessments, the development of Institutional Strengthening (IS) plans, the implementation of IS plans, knowledge management and reviews to inform interventions, and reassessing partner’s performance. By improving transparency, accountability, and performance of local organizations, and support to the USAID/County collaborative framework development and implementation, USAID MODS will contribute to the goals of USAID’s Journey to Self-Reliance (J2SR). USAID MODS is comprised of four business areas as follows:

1. Support of the Annual Program Statement (APS) process. At the request of USAID, MODS staff work closely with the Strategic Planning and Analysis (SPA) Office of USAID/KEA, assisting USAID with managing the routine operations of the APS process. USAID retains responsibility for the oversight of all grants and cooperative agreements under the APS.

2. Institutional strengthening support to APS recipients. Currently there are no APS recipients, but it is expected that the APS applicants may have no prior direct USAID funding experience. Through the proposal process, APS applicants themselves may identify capacity needs, and USAID’s pre-award survey and Organizational Capacity Assessment (OCA) will identify areas for capacity building. USAID MODS will address these issues and other capacity needs identified by USAID/KEA, through direct assistance and/or short-term consultants.

3. Support the Mission in implementing the Memorandum of Understanding (MOU) between USAID/KEA and Prosper/Nawiri county governments for J2SR. USAID MODS supports the USAID County Liaison Teams (CLTs), Prosper and Nawiri Counties to implement the provisions of the MOUs through defining collaboration frameworks and sector technical annexes. USAID retains the responsibility and oversight of the MOUs, collaboration frameworks, and sector technical annexes.

4. Technical Assistance (TA) to existing local Kenyan entities that partner with the U.S. President’s Emergency Plan for AIDS Relief (PEPFAR) and the Office of the U.S. Global AIDS Coordinator (OGAC). At least 70 percent of PEPFAR awards were to be transitioned to local partners by September 2020. This mandate required re-positioning in USAID’s PEPFAR programming to work directly with local partners, many of which need to strengthen their capacity and systems to implement effective and sustainable programs. USAID MODS with request from USAID/KEA, works to address the capacity needs of local partners through provision of capacity building TA.

This Monthly Operational Status Report presents the activities implemented by the USAID MODS team in the month of March 2021.


PART B: TECHNICAL ASSISTANCE, ORGANIZATIONAL DEVELOPMENT & CAPACITY BUILDING

1 SUPPORT OF THE APS PROCESS

In February 2021, MODS received a WO from USAID to onboard an LDO Manager and Admin/logistics personnel to support the process of LDO co-creation in 15 counties. MODS onboarded the LDO Manager and Admin/logistics personnel, and they started working immediately. In March 2021, MODS staff and Consultants provided support to the USAID CLTs in the process of LDO co-creation as indicated below.

1.1 KISUMU LDO

• Supported the CLT in planning for Kisumu County LDO co-creation Launch. The MODS team developed, shared and reviewed for input the final draft outline for the presentation by the Kisumu LDO Chair during LDO co-creation launch.

• Completed and presented the social mobilization strategy to the Kisumu CLT on March 10, 2021. The CLT were happy with the systematic approach presented and the number of organizations reached so far.

• Developed and validated the key messages and the 1st level social mobilization plans.

• Developed a database of CSOs and private sector actors. • Mapped 200 APS applicants and partners for preparation

for first level social mobilization. • Held first level social mobilization with 160 member organizations who were drawn from the member

organizations of the 10 APS applicants’ members and partners. • Documented the key questions and comments arising from the 1st level social mobilization exercise. • Mobilized members to join the second level of social mobilization targeting 550 CSOs and private sector

entities, the majority of which were mapped during the context and systems analysis (CSA). • Held eight meetings with the Kisumu LDO Interim Committee. During these meetings, the Interim

Committee: developed a deeper understanding of the LDO co-creation process, the vision, and registration process; confirmed the Kisumu LDO name; validated and approved a costed social mobilization plan; and formed sub committees, including Coordinating, Social Mobilization, and Communications and Registration.

Kisumu APS applicants making a presentation on social mobilization.


Next Steps:

• Second level social mobilization plan roll-out to commence at the ward level. Goal is to reach a total of 550 CSOs and private sector entities to involve them in the social mobilization process.

• Interim Committee members to start the process of contacting and inviting the mapped and unmapped CSOs and private sector.

• First level social mobilization to be conducted for the two remaining APS applicants: Maseno University and PATH.

1.2 KIAMBU LDO

USAID MODS team supported the CLT in the implementation of the LDO co-creation activities as follows:

• Components of the social mobilization strategy were discussed with the LDO Interim Committee and agreed upon.

• The LDO co-creation workshop with APS applicants was held March 16-18, 2021. • Facilitated two meetings of the Interim Committee where:

o The name of the Trust – ‘Kiambu Tujenge Pamoja Trust’, was agreed upon. o The organizational structure of the Trust was determined, and the Board of Trustees will be

competitively selected comprising of 12 sub-county representatives and three professionals, Supervisor, Custodian, Project Executor, Investment Manager, Secretariat.

o Four Interim Trustees were selected: Chairman, Vice Chairman, Secretary and Vice Secretary. o Trustors were determined to be development partners, national and County governments,

private sector, international funders, Kiambu residents, high-value individuals, and faith-based organizations.

Next Steps:

• Sensitization of the 100 Consortium members associated with the four APS applicants. • Mobilizing the 542 mapped CSOs and private sector actors identified in the CSA and stakeholder

mapping. • Identification and capacity building of social mobilizers, aiming to have the enumerators who conducted

the stakeholder mapping reach out to the 542 CSOs. • Reaching out through meetings at the ward levels (60 wards) to mobilize the mapped CSOs and private

sector actors. • Recruit additional Interim Committee members to make a total of 35 members (9 existing, 24 selected

from the 12 sub-counties (male & female) and 2 persons with disabilities (PWDs) representatives at county level (male & female). It is anticipated that the 35 members will have a bigger voice for decision-making and will be involved in second level of LDO registration and strategic planning.

1.3 KAKAMEGA LDO

USAID MODS team supported the Kakamega CLT in the implementation of the LDO co-creation activities as follows:


• Selection of Interim Committee was completed. After a successful LDO co-creation workshop in February 2021, the Kakamega APS applicants agreed on the composition of the Interim Committee – whose membership was capped at nine members. The aim was to ensure inclusiveness and representation of the face of Kakamega county. The names of Interim Committee members were also agreed upon.

• Facilitated the zoning and mapping of the unmapped CSOs: The CSA and stakeholder mapping report was shared with the Interim Committee and was used to zone the CSOs in the County and to identify the regional, sector, and groups representation. The Interim Committee was also tasked to identify active CSOs and private sector players that have not been captured by the CSA report and need to be included in the social mobilization process.

• New CSOs identified by the APS applicants: A strategy was developed that allocated members of the Interim Committee and other consortium members to County wards to map out those CSOs who were not captured in the CSA report. From this process, 152 new CSOs were identified.

• The Kakamega team, with support from MODS, finalized the development of a strategy and targets for social mobilization, aimed at reaching 688 CSOs. A social mobilization budget for each county was also finalized.

Next Steps:

• The Interim Committee plans to sensitize other APS members to take part in the social mobilization process.

• Mobilization at ward level where the 688 CSOs from 60 wards will be reached and invited to participate in the planned sub-county meetings.

• Sub-county meetings to be conducted as follows: Matungu and Shinyalu sub-counties on April 7, 2021; Butere, Khwisero and Ikolomani sub-counties on April 13, 2021; Lugari, Likuyani and Malava sub-counties on April 14, 20201; Mumias East, Mumias West and Navakholo sub-counties on April 15, 2021; and Lurambi sub-county on April 16, 2021.

1.4 TURKANA LDO


• Held virtual kick-off meeting with the County Government of Turkana on March 18, 2021, attended by the Turkana County Point of Contact (POC) and County social services representative, USAID CLT,

Interim Committee selection criteria:

• Representation of women • Representation of PWDs • Representation of Youth • Representation of Business

Sector • 3 APS Consortium leaders • County Government of

Kakamega Representative

Development of a strategy and targets for social mobilization for Kakamega LDO


USAID LDO Secretariat, and MODS. The purpose of this meeting was to introduce the LDO co-creation process and get buy-in from Turkana County Government.

• Held a virtual kick-off meeting with the five APS applicants on March 18, 2021. The meeting was attended by the CLT, LDO Secretariat and MODS. The purpose of this meeting was to give the applicants an update on the APS concept notes and to explain how their applications fit in the LDO Co-creation.

• A two-day LDO co-creation workshop was held on March 24-25, 2021 in Lodwar town. A total of 20 APS applicants and their consortium members attended this workshop. Welcoming remarks were made by the Chief of Staff and Head of Strategy Delivery Unit in Turkana County Government. The USAID Turkana CLT and LDO Secretariat joined the workshop virtually. The Chief of Staff emphasized the importance of having a strong civil society with stable agencies to deliver services and to work collaborate with the government in development work. He emphasized the essence of utilizing the County Integrated Development Plan (CIDP) to inform development priorities. The two-day workshop provided an opportunity for MODS to take applicants through the LDO concept, social mobilization, and legal options available for registering the LDO. By the end of the two days:

a) The APS applicants unanimously selected the ‘Trust’ as the registration instrument for the Turkana LDO.

b) The meeting further agreed on the name of the LDO as Turkana Community Development (TURCODE) Trust.

c) An Interim Committee was selected with a total of 10 members. d) The meeting confirmed that the selected APS applicants were a good first fit for the LDO, as

they are well known and legitimate.

Next Steps:

• Hold a meeting of the Interim Committee to develop a work program. • Interim Committee and the APS applicants to participate in the CSA and stakeholder mapping process.

1.5 SAMBURU LDO


• Held a successful kick-off meeting with 13 APS applicants on March 14, 2021. The purpose of an LDO and the USAID vision for LDO formation were explained. The APS applicants sought clarity on several issues: why USAID was undertaking the LDO initiative; what informed the development of the LDO process and whether there is evidence that this process has worked elsewhere; what protection

‘It is important to find out ways to work seamlessly and use leaner resources to ensure/propel development.’ Chief of Staff and Head of Strategy Delivery Unit

in Turkana County government


mechanism was in place to protect the integrity of the LDO; and what is the mode of registration for the LDO once it is formed.

• A co-creation workshop in Maralal, Samburu County scheduled for March 30-31 was cancelled following the COVID-19 lockdown imposed on March 26, restricting travel out of Nairobi and other surrounding counties.

Next Steps:

• Reschedule the LDO co-creation workshop, subject to obtaining travel permits out of Nairobi. A total of 25 participants had confirmed attendance, and the County Government team had been invited to attend. MODS will scale down the number of participants in conformity with the government directive and organize a hybrid workshop with physical and virtual participation.

Summary of LDO Co-Creation Reach:


1.6 CSA AND STAKEHOLDER MAPPING STUDY FOR THE COUNTIES

As part of the LDO co-creation process, MODS was assigned by USAID/KEA to undertake a context and systems analysis (CSA) and stakeholder mapping study in 9 counties. The study helps MODS, USAID, and other stakeholders understand the political, socio-economic, and cultural factors that influence the development agenda in these counties. The stakeholder mapping study identifies who the civil society organizations (CSOs) and private sector players are, where they are based, their typologies, their actual and potential capacities, and the various methods they employ in engaging county governments, especially on the devolved functions. Of key importance is to identify the real County-based CSOs and private sector actors at the grassroots level who have a bigger stake and represent the local community or are part of it. These actors could play a greater role compared to the extensions of national or international NGOs. The CSOs may range from village-based women groups to farmers’ cooperatives or water users’ associations. They may also include local organizations championing the rights of minorities in devolved governments. In the month of March 2021, USAID MODS accomplished the following activities:

• Finalized and submitted the CSA and stakeholder mapping study reports for the first three counties (Kisumu, Kakamega and Kiambu) to USAID CLTs.

• Shared copies of the CSA and stakeholder mapping reports with the LDO Interim Committees in Kisumu, Kakamega and Kiambu.

• The USAID MODS team commenced CSA and stakeholder mapping studies in six counties: Turkana, Samburu, Homa Bay, Kitui, Bungoma, and Taita Taveta. USAID MODS has onboarded a Lead Consultant, two Associate Consultants, and six County Supervisors, one for each of the six counties. On March 24, 2021, MODS team held an inception meeting with the six selected CSA County Supervisors. During the meeting, MODS shared the objectives of CSA and stakeholder mapping study; tools for data collection; and the roles and deliverables for each category of Consultants. MODS has also onboarded CSA Enumerators, one for each subcounty in the six counties (Turkana-6, Samburu-3, Bungoma-9, Homabay-8, Kitui-8, Taita Taveta-4).

Next Steps:

• Conduct data collection for the CSA and stakeholder mapping in all the sub-counties in the six counties (Turkana, Samburu, Bungoma, Homabay, Kitui, and Taita Taveta).

• Present CSA and stakeholder mapping findings to the CLTs and LDO Interim Committees.

1.7 AGA KHAN FOUNDATION (AKF)-YETU PROJECT LEGAL SUPPORT TO NAKURU LDO

In Q4 FY2020, the AKF-Yetu project requested technical assistance from USAID MODS for the services of a Legal Consultant to facilitate the legal creation of a local-non state actor. The envisaged non-state actor is expected to champion the cause of citizen participation in the development agenda, among other actions. The USAID MODS legal consultant has been working with Yetu and Nakuru APS applicants over the last six months to build consensus on the criteria, composition and the process of recruiting the Board of Trustees (BoT). The complete Nakuru Endelevu Trust Initiative (NETI) Trustee Deed was submitted for registration on February 23, 2021, after it was revised to include the General Assembly appointed committee. NETI was finally registered on March 19, 2021, marking the end of this assignment.


1.8 AGA KHAN FOUNDATION (AKF)-YETU PROJECT LEGAL SUPPORT IN THE REGISTRATION OF THE MAKUENI LDO.

In February 2021, USAID MODS received a WO to provide TA to Yetu in the form of legal support to the LDO formation process in Makueni County. USAID MODS contracted a legal expert to support the drafting of the Makueni LDO Trust Deed, recruitment and vetting of board members, submission of the registration documents and induction of board members. The specific tasks for the legal expert are as follows:

• Working in partnership with the Makueni County Government legal office and in consultation with Makueni LDO registration Steering Committee prepare a draft LDO Trust Deed.

• Support the recruitment / selection of BoT as agreed with the Steering Committee. • Induct the selected trustee on the draft Trust Deed and finalize the deed. • Submit Trust Deed for registration under the Registry of Documents.

Progress to date:

• The MODS Consultant has attended briefing meetings and an inception workshop with Yetu. In addition, the Consultant conducted a two-day workshop in Wote, Makueni County to introduce the Interim Steering Committee to several legal and governance related issues on the possible legal vehicle to house the Makueni LDO. Progress to date includes awareness built and choice of the trust as the legal house for the Makueni LDO. The draft Trust Deed was discussed and shared with the Interim Committee. A second one-day meeting was held with the Steering Committee to discuss their concerns on the draft Trust Deed.

• The Consultant has refined the Trust Deed and shared an updated draft with the team. The criteria for the selection of Board Trustees has been discussed and agreed. The Yetu initiative is engaging with the Governor of Makueni County before going public in seeking potential trustees through an open and transparent competitive process.

Next Steps:

• Develop the agreement on the selection panel for the BOT. • A call for applicants, interviews and vetting of BOT members. • Execution of the Trust Deed. • Induction of BOT. • Registration of the Trust Deed lodged.

2 INSTITUTIONAL STRENGTHENING SUPPORT TO APS RECIPIENTS

2.1 SUPPORT TO THE NAKURU LDO – NAKURU ENDELEVU TRUST INITIATIVE

In March 2021, MODS received a work order for Technical Assistance (TA) Support to AKF-Yetu project to develop organizational policies and procedures templates and then customize them for the Nakuru LDO. MODS recruited two Senior Consultants (HR and Finance) to support this activity. To prepare the Consultants for the assignment, the MODS team held a meeting with the Consultants to take them through the LDO formation process and the scope of work for the TA. A kickoff meeting took place on March 30, 2021 which brought together the AKF-Yetu team, and the MODS team, including Consultants.


Next Steps:

• Update the assignment timelines to reflect the changes necessitated by Covid restrictions to movement and physical meetings.

• Complete desk review of policies and procedures. • Draft the HR, Procurement and Financial Management templates. • Present draft HR and Finance policies and procedures to the NETI Board of Trustees.

2.2 OD SUPPORT TO THE USAID ENVIRONMENT OFFICE & OFFICE OF OFFICE OF ECONOMIC GROWTH AND INTEGRATION (OEGI)

In March 2021, MODS received approval to support the USAID Environment and OEGI offices to conduct organizational capacity assessments (OCAs) for three USAID partners: Nuru Kenya, World Renew, and Wildlife Direct. Kick-off meetings have been held for all three organizations. Desk review for Nuru Kenya has commenced, while the MODS team are waiting for documents from World Renew and Wildlife Direct. Next Steps:

• Complete desk review for the three USAID partners. • Conduct OCA workshop for Nuru Kenya on April 7-9, 2021 and World Renew on April 27-30, 2021. • Conduct a rapid analysis for the three organizations and document the findings.

3 SUPPORT THE MISSION TO IMPLEMENT THE MOU BETWEEN USAID/KEA & PROSPER/NAWIRI COUNTY GOVERNMENTS FOR J2SR.

3.1 SUPPORT TO SAMBURU AND TURKANA CLTS IN DEVELOPMENT OF SECTOR ANNEXES

In January 2021, the COR requested the MODS COP to develop a WO for supporting Samburu and Turkana CLTs to complete the development of the sector technical annexes. During the month of March 2021, MODS accomplished the following activities: 3.1.1 Samburu CLT The three sector annex drafts for (1) Agriculture, (2) Environment & Natural Resources Management, and (3) Tourism, Economy and Livelihoods have been completed. A validation meeting scheduled for March 24-25, 2021 with the County Government and USAID CLT did not take place. It has been rescheduled to a later date. 3.1.2 Turkana CLT The four sector annexes (1) Disaster Risk Reduction, (2) Education and Youth, (3) Health (Nutrition, Sanitation and Hygiene), and (4) Water, have been completed and submitted to USAID for internal review and approval. Next Steps:

• Validation meeting with the Samburu County Government and USAID CLT. • Validation meeting with the Turkana County Government and USAID CLT.


3.2 OEGI-LANDSCAPE ASSESSMENT OF BUSINESS ASSOCIATIONS

In FY2020, the USAID/KEA Office of Economic Growth and Integration (OEGI) issued a WO to USAID MODS to undertake a landscape assessment of business associations (BAs) in three counties – Nakuru, Makueni, and Kakamega. Within the USAID/KEA J2SR strategy, strengthened BAs will effectively fit in and complete the ‘three-legged stool’ County development approach, which includes a functional county government; a vibrant private sector; and an organized civil society that holds the county government accountable and hence creates a stable democratic system. The purpose of the work order was to:

i. Undertake a desk review to identify the BAs operating at the target counties. ii. Focus on those BAs operating in the three selected counties to understand their modus operandi to identify

areas of capacity strengthening that would enable them to engage with the national and county governments in the areas of service provision, advocacy, and overall management.

iii. Recommend next steps for strengthening the BA ecosystem in the target counties.

In FY2020, USAID MODS recruited a team of Consultants which was approved by USAID. The Consultants completed the assessment, produced a report and on February 3, 2021, presented the findings to the USAID/KEA OEGI team. Based on the feedback received the consultants revised the report and it was resubmitted to USAID on March 11, 2021. This WO is now closed.

3.3 USAID/ENV POLITICAL ECONOMIC ANALYSIS (PEA) FOR THE MARA, NORTHERN AND SOUTHERN RANGELANDS

During the month in review, the USAID/KEA Environment Office issued a WO to USAID MODS to facilitate a Political Economic Analysis (PEA) for the Mara, Northern and Southern Rangelands. The assessment will help USAID/ENV and its implementing partners to become more aware and responsive to the political context and incentives affecting natural resource management (NRM) governance in community conservancies in Kenya. This assignment fulfils two main objectives:

• To undertake a sector focused (community based NRM) PEA in the Mara, Northern and Southern Rangelands.

• Bring in more politically aware approaches to overcoming and eliminating constraints to successful community based NRM in the three landscapes.

USAID MODS identified four consultants to undertake the assignment and held a kickoff meeting with the USAID ENV team to clarify the SOW, geographical coverage, and timelines of the assignment. Next Steps:

• Prepare a detailed statement of work. • Conduct a literature review with initial analysis. • Produce initial draft agenda and proposed research questions/interview guide. • Hold an applied PEA workshop to finalize research agenda and questions. • Conduct the field research. • Analyze and synthesize data.


4 TECHNICAL ASSISTANCE TO EXISTING LOCAL KENYAN ENTITIES THAT PARTNER WITH PEPFAR AND OGAC.

4.1 OD SUPPORT TO AFYA UGAVI – MOH DIVISION OF HEALTH PRODUCTS AND TECHNOLOGIES (DHPT)

Following completion of the DHPT OCA and completion and costing of the Institutional Strengthening Plan (ISP), MODS was requested to recruit a consultant to support implementation of the ISP. The MODS team supported shortlisting of the CVs and the interviews. Two candidates were identified as suitable for the assignment. Afya Ugavi will complete the selection process. Next Steps:

• The Afya Ugavi team have requested for MODS support to oversee the implementation of the ISP. They will follow up with their AOR and MODS COR to seek guidance on this.

4.2 SUPPORT ERP IMPLEMENTATION – UNIVERSITY OF NAIROBI ENTERPRISE SERVICES (UNES)

During the month under review, the ERP vendor continued to provide user support to ensure that users are comfortable with usage of the system and resolving various user challenges. The Finance, HR and Procurement modules are currently in use. The team begun keying in the January 2021 and February 2021 transactions into the system. The procurement module is also in use as the team can update the Items and Supplier master details as well as directly create LPOs. Recently, the HR master data and payroll master data were loaded into the system and consequently, the January 2021 and February 2021 payroll successfully processed. Deployment of the different contractor payment types to enable UNES process the different categories of payments that are not based on the regular accounts payable workflow was implemented. The employee service portal was activated, and the ICT team completed updating the SSL certificate based on an internally generated certificate. The integration between UNES e-procurement system and the ERP is still pending. During the assessment carried out by MODS to identify the ERP requirements, it was established that UNES had an existing e-procurement portal that was up and running. All that was required was the integration of the e-procurement portal by creating an interface on both systems. MODS and the UNES team factored this requirement as part of ERP specifications and Functional Requirements Document (FRD). Polaris, the ERP vendor, has since completed the required interface as per these specifications. However, the e-procurement vendor has not created the required complementing interface on their side. The interface is important as it supports exchange of information between the two systems, especially in the analysis of the vendor quotations and award of orders. Without the interface file, the UNES team will perform the analysis manually (outside of the systems). Consultations have been ongoing between UNES and the e-procurement vendor since November 2020. MODS was requested by the UNES management team to assist them to build a new portal that is compatible to the ERP, but because this was not factored as a requirement for the ERP during the project design, MODS was unable to fulfil this request. At the project implementation phase, it was envisaged that the e-procurement portal would be integrated with the ERP for effective management of the purchase requisitions. The current setup requires generation of purchase requests from the ERP, followed by bid acceptance of the e-procurement system. Once the award is issued, the LPO is then processed in the ERP. This process is both inefficient and prone to errors, e.g., awarding of the LPO to the wrong vendor, capture of incorrect bids to process the LPOs, among others.


To obtain maximum value in efficiency and internal controls, we recommend that the e-procurement sub-system/capability be developed for UNES. Since the current e-procurement module does not have the required functionality, we propose that UNES considers re-implementation of a solution that will be fully and securely embedded with the new ERP.

Next Steps:

• Commence the migration of users from remote desktop access mode to full web-browser client access. Vendor has already performed training to the ICT team to support this process.

• Post all inventory date and sign-off of the same. Additional UNES resources required to support the finalization of the posting group setup.

• The ICT team will embark on update of the SSL certificate based on an internally generated certificate. • Loading of system budgets into ERP. • User support in the performance of bank reconciliation for January 2021 using the new ERP system. On

target for April 2, 2021. • Finalization of system reports on all system modules. • Posting of February 2021 transactions to clear any backlog. • Continuous user support.

4.3 ORGANIZATIONAL DEVELOPMENT SUPPORT TO UNES

Although this WO was closed in December 2020, the HR Consultant was aware that he would make a presentation to the UNES Board later, when the UNES Board meets. The MODS team met with the UNES Board on March 16, 2021. During the meeting, the HR Consultant presented the final draft of HR Policies and Procedures Manual for Board review and approval. The team also presented the proposed organizational structure for Board review and approval. The two documents were approved by the Board with a few amendments. The few changes recommended by the Board have already been incorporated and final documents submitted to the Managing Director. The Board was very grateful for the OD support provided by the USAID/KEA Mission through MODS. He also appreciated the MODS team for completing these two important tasks, and for being able to develop a structure they have been desiring since 2015. The Board is now confident that with the completion of the HR Policies and Procedures Manual, the organizational structure and other support accorded in review of the board governance structures, Finance and Supply chain, UNES will achieve efficiency and effectiveness required to improve operations and profitability. This WO and assignment are now closed.

4.4 SUPPORT ERP IMPLEMENTATION – CHILDREN OF GOD RELIEF INSTITUTE (COGRI)

During this reporting month, the ERP vendor and the MODS ERP Project Manager continued with the post implementation support. The COGRI team continued to log the system issues on the issue log. Weekly project implementation meetings were held to review the issues identified and to agree on action plans. The Nyumbani Village staff training was carried out in the week ending March 19, 2021 at Nyumbani Village. Two Consultants (Procurement and Agriculture) from Iansoft, the ERP vendor, accompanied accountants from Nyumbani head office where training and support was carried out in the following areas:


• Agriculture module • Procurement process • Fleet management • Student management

The team also carried out refresher trainings on other system areas. Additional issues were resolved on system functionality issues identified at Nyumbani Village.

Next steps:

Post go-live support from the vendor continues. This entails:

• Logging of issues and reviewing them as per the established response times. This is set as per criticality of reported issues:

o Critical – maximum 2 hours o High – maximum 3 hours o Medium – maximum 24 hours o Low – Maximum 48 hours

• Support on the following scope items: o Processing of Payroll o Support of COGRI by Iansoft in ongoing Year 2020 Financial statements audit.

4.5 KENYA MEDICAL SUPPLIES AUTHORITY (KEMSA) – INVOICE VERIFICATION

The USAID/KEMSA Medical Commodities Program (MCP) which is in its fifth year of implementation, was slated to end in December 2020. As the MCP Contractor, KEMSA’s mandate is to provide supply chain and logistics services for health products and technologies required in all public health facilities. As the MCP Contractor, KEMSA submits invoices to USAID for two broad expense categories: 1) Procurement of commodities, and 2) Procurement of services. During the period leading up to MCP’s December 2020 closeout, USAID/KEA required the assistance of MODS to review recent and upcoming MCP invoices. USAID/KEA issued a WO to MODS to undertake the verification of the invoices. MODS hired two experts and commenced the verification exercise in November 2020. In December 2020, the KEMSA MCP contract was granted a four-month no-cost extension period. During this period, no additional invoices are expected from suppliers. However, KEMSA would continue submitting invoices for disposal of commodities, DHL clearing and forwarding, award fee, direct costs, and indirect costs. HPN will continue to use USAID MODS Consultants to verify each invoice as outlined in checklists provided in the SOW during the no cost extension period. The USAID MODS team prepared and submitted for approval a modification to the KEMSA support WO seeking an extension of the period of performance and an increase in the WO ceiling. In March 2021, MODS accomplished the following activities:

• MODS Consultants certified and sent out to USAID seven batches of certificates. To date, MODS has completed and submitted to USAID a total of 50 certificates which have all been accepted by USAID.

Next Steps:


• Complete the Invoice verification exercise and submit a final report to USAID.

4.6 PROCUREMENT OF ICT INFRASTRUCTURE SUPPORT TO HPN

In July 2020, the Health, Population and Nutrition (HPN) Office of USAID/KEA issued a WO to USAID MODS to provide support in the procurement, delivery, and installation of ICT infrastructure for 14 counties in Kenya before the end of the Fiscal Year 2020. The USAID MODS team identified and issued a contract to a vendor—Circuit Business Systems—to supply, deliver, and install ICT infrastructure for the 14 counties in Kenya. However, given the quick turnaround period of the ICT procurement (20 days), and CLIN 3 obligation ceiling, a few items were not supplied, and the rest have been in a warehouse pending incremental funding of CLIN 3. On December 21, 2020, HPN approved a second WO to fund the procurement of the outstanding items, warehousing costs, the deployment, and installation of the equipment. At the instruction of the USAID HPN office, MODS started working on a joint deployment plan with the HealthIT project managed by UNES. The USAID MODS COP held a meeting with the HealthIT COP, and it was agreed that MODS would share their deployment plan with HealthIT so that the latter can consolidate it with their own and share it with the HealthIT AOR, the WO approver. MODS shared its deployment plan with the HealthIT team on December 16, 2020. HealthIT consolidated the deployment plan with their own and submitted it to their AOR for approval on January 27, 2021. The plan proposed a deployment kick off during the first week of February 2021. MODS finalized the deployment subcontract with vendor and sought concurrence with HPN for deployment. In February 2021, the vendor delivered approximately 60% of the outstanding equipment. In March 2021, the following activities were accomplished:

• The vendor has been working to assemble the remaining balance of 40% of the outstanding equipment. Owing to production delays of some items, the vendor requested for extra time to deliver the items.

• The HealthIT AOR on March 30, 2021, instructed HealthIT and MODS to move forward with the deployment and installation for the Counties that have had inception meetings with USAID.

Next Steps:

• Complete the procurement of the 40% outstanding equipment. • Follow up with HealthIT to commence on deployment.

4.7 SUPPLY CHAIN ADVISOR TO SUPPORT USAID HPN OFFICE

In December 2020, USAID HPN office issued a WO for the recruitment and deployment of a Senior Supply Advisor to the HPN office. The purpose of the position is to provide support to USAID/KEA to achieve the following three main objectives:

• Provide technical assistance to USAID supply chain implementing partners in implementing organizational reforms.

• Work with the Ministry of Health to develop a Supply Chain Management Strategy. • Provide mission-level technical support and mentorship in supply chain management to strengthen

support to the GOK. For the month of March, the Supply Chain Consultant supporting HPN has been involved in the following activities:


• Continuing analysis of the distribution strategy for all USAID funded commodities. • The Consultant has been assigned to the KEMSA Reform Implementation Committee. The Committee

has been put together to assist in improving the efficiency and effectiveness of KEMSA based on several reports. Initially, the focus will be on both the finance function as well as the process around the receiving of donated product. The Consultant attended workshops, and preliminary meetings with all stakeholders during the month.

• Assistance to the HPN team in the development of key performance indicators for all supply chain activities.

Next Steps:

• Ongoing assistance to the KEMSA Reform Implementation Committee. • Development of an overarching strategy to address the shortfalls invisibility across the supply chain for

all health commodities. • Continuing support to the HPN team in both data analysis and supply chain strategy. • Assistance with COP planning and relevant supply chain activities Continue providing support to HPN

office through the Supply Chain Advisor.

4.8 PRE-AWARD ASSESSMENT OF HPN LOCAL PARTNERS

The USAID/KEA HPN Office of Awards and Acquisitions (OAA) is in the process of developing awards to six local organizations. The award process includes a pre-award assessment usually undertaken by USAID Office of Financial Management (OFM) and OAA. OAA has requested USAID MODS to provide support in the pre-award assessment of the six local HPN partners. During the month of January, MODS developed a WO for the first organization and submitted it to USAID. Two WOs to support the assignment were approved on January 28 and February 2, 2021, and the assignment commenced on January 29. Because the assessments are procurement sensitive, we are not able to share the names of the organizations.

In March 2021, MODS accomplished the following activities:

• Five NUPAS were conducted, and draft reports submitted to USAID for review. The five reports were at different levels of review by the end of March 2021.

• Work on the sixth NUPAS commenced on March 26, 2021 will be completed in early April. Next Steps:

• Review reports to incorporate feedback from USAID. • Complete work for the sixth NUPAS and submit report to USAID for review.

PART C: MONITORING, EVALUATION AND LEARNING The purpose of the USAID MODS’ Monitoring, Evaluation and Learning (MEL) is to guide the project in assessing progress towards its intended objectives and results, provide feedback on the project’s performance to the stakeholders, and enhance the project’s learning agenda to inform future programming. USAID MODS staff


are required to collect data that meets USAID’s Data Quality Standards as outlined in ADS 201: Validity, Integrity, Precision, Reliability, and Timeliness.

During the month of March 2021, the USAID MODS team accomplished the following:

• Led the CSA and stakeholder mapping Consultants in the finalization of the study reports for Kiambu, Kakamega and Kisumu counties. The reports were submitted to USAID CLTs and disseminated to the three respective LDO Interim Committees.

• Facilitated the preparations and commencement of CSA and stakeholder mapping study for six counties: Turkana, Samburu, Homa Bay, Kitui, Bungoma and Taita Taveta.

• Participated in the monthly CLT meetings for Turkana and Samburu counties to respond to issues on CSA and stakeholder mapping.

• Participated in the meetings for developing LDO social mobilization plans for Kisumu and Turkana Counties.

• Participated in the OCA preparatory meetings for two organizations: World Renew and Nuru Kenya. • Undertook orientation to seven Tableau software modules: Data literacy, Recognizing well-structured

data, Exploring variables and field types, Exploring aggregation and granularity, Understanding distributions, Understanding variation for wise comparisons, Using correlation and regression to examine relationships.

Next Steps:

• Facilitate CSA and stakeholder mapping processes in six counties: Turkana, Samburu, Bungoma, Homa Bay, Kitui, and Taita Taveta.

• Outcome harvesting and documentation of the lessons learned in project Q2/FY2021. • Prepare USAID MODS Monthly Operational Status report for the month of April 2021. • Prepare USAID MODS Q3/2021 workplan. • Undertake further orientation to other Tableau software modules, and jointly with a Data consultant

develop visualization dashboards for MODS.

PART D: PROGRAM MANAGEMENT AND ADMINISTRATION During the month under review, the USAID MODS team accomplished the following management and administration tasks:

• Provided logistical support to the Consultants who were conducting the LDO co-creation workshops in Turkana and Samburu counties.

• Provided logistical support to the Interim Committee meetings and social mobilization workshops in Kiambu, Kisumu and Kakamega counties.

• MODS contracted the Consultants supporting the CSA in 6 counties (Homabay, Kitui, Taita Taveta, Bungoma, Turkana and Samburu), HPN Pre-Award Assessment, OEGI & ENV WOs.

• MODS is currently looking for Covid-19 compliant venues for the upcoming OCAs. • Continued identification of consultants for new WOs.


Next Steps:

• USAID MODS continues to update the current database of consultants in all sectors to make it more robust with a view to continue supporting USAID seamlessly.

• Organize logistics for CSA and Stakeholder mapping study, and LDO co-creation meetings for 6 counties (Homabay, Kitui, Taita Taveta, Bungoma, Turkana and Samburu).

PART E: OUTCOME HARVESTING

Activity Outcome description (who was affected by this outcome?)

Contribution of USAID MODS to this outcome

1 UNES OD Support – completion of the review and updating of the HR Policies and Procedures Manual and the organizational structure

MODS Team completed the review of the HR policies and procedures manual and the UNES organizational structure. The UNES Board approved the two documents appreciating that the structure aligns well with the UNES strategic direction, vision and the aspirations of UNES

MODS provided OD support to UNES

2 Kisumu LDO Social mobilization

Improved skills of the Interim Committee members on social mobilization

Through technical support by the MODS Consultants

PART F: CROSS-CUTTING ISSUES

• In implementing project activities, USAID MODS acts with sensitivity to the need for mainstreaming cross-cutting issues (gender, sustainability, and environment impact considerations) into project operations. Coincidentally, some of the focus counties where USAID MODS Consultants were providing technical support (e.g., Kiambu, Kisumu and Kakamega) have prioritized gender and social protection as priority sectors for developing collaborative activities and technical annexes. Also, in Kiambu County during formation of the LDO Interim Committee, there were concerns of inclusivity on minority and gender balance. This necessitated additional members to make 35 Interim Committee members: 9 existing committee members, 24 selected from the 12 sub-counties (male & female) and 2 PWDs representatives at county level (male & female). The 35 members give a bigger voice at decision making level.

• USAID MODS has continued to use the Consultant’s Progress Reporting template which requires that MODS Consultants report on gender inclusivity of the individuals participating in the USAID-supported activities with partner organizations.

• During the LDO co-creation processes, USAID MODS emphasized the participation of the county sector teams in every stage to enable them build their own internal capacity and adapt the processes and tools for use in similar situations in future. Through this effort, USAID MODS intends to transfer skills to the county teams as a way of enhancing sustainability.


PART G: TOOLS DEVELOPED OR ADAPTED

Activity (In which activity was the tool developed/or adapted?)

Describe the tool developed/or adapted Remarks/Comments

1 LDO co-creation in Kisumu county Template for summarizing Key Messages

The template has been rolled out in other LDO co-creation processes in Kiambu, Kakamega, and Turkana

2 Social mobilization strategy development workshop for Kakamega LDO

Developed Information Pack for ward mobilizers and sub-county mobilization meetings / forums

The tool is being pre-tested at sub-county level in Kakamega county

PART H: CHALLENGES AND MITIGATION • COGRI ERP end users not being technology savvy, especially support staff who do not have smart

phones and are not computer literate. The ERP vendor has continued with refresher training targeting these users.

• The partial lockdown for Nairobi due to the upsurge of COVID-19 will adversely limit travel during CSA and stakeholder mapping and LDO co-creation processes. The Samburu co-creation workshop was cancelled due to the lockdown. USAID MODS will devise strategies for conducting CSA and stakeholder mapping, and LDO co-creation processes virtually/hybrid.

PART I: LESSONS LEARNED • Kisumu LDO: The legal component for the LDO formation process needs to be integrated into the social

mobilization processes, to infuse into key issues raised during the co-creation process. • Kiambu LDO: Joint collaborative meetings of the key LDO formation actors: Interim Committee, USAID

CLT, County Governments and MODS team, help in ensuring better outcomes at each level. • Kakamega LDO: Involving the LDO Interim Committee members to take ownership of the co-creation

process accelerates mobilization of other CSOs to join the LDO formation process. It is important to regularly update the County Government officials on the progress of LDO co-creation process, as a way of enhancing their participation.

PART J: ASSUMPTION MONITORING

County Assumption

(as stated in the MODS MEL Plan)

Status: Is the likelihood of this

assumption low, medium or high?

Any effect(s) on activity implementation? Mitigation

Kisumu, Kakamega, Kisumu

Stable socio-political environment

High Provides a conducive environment for the LDO co-creation process.

N/A

Ongoing strong stakeholder participation

High Will ensure wider buy-in and ownership through wide consultations of stakeholders

There is need to engage the County Assembly to ensure buy-in as is the case for the Executive to counter opposing forces to the LDO co-creation process

USAID’s involvement and participation

High Builds confidence of support to the partners

N/A

-END-


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U.S. Agency for International Development/Kenya & East Africa

www.usaid.gov

USAID MISSION ORGANIZATIONAL DEVELOPMENT SUPPORT (MODS)

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