promoting basic services ethiopia social accountability...
TRANSCRIPT
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Promoting Basic Services
Ethiopia
Social Accountability Program
Grant Agreement [TF099878]
Social Accountability Implementation Manual
Version March 2014
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Contents
1 INTRODUCTION ................................................................................................ 3
1.1 Why this Implementation Manual? ...................................................................................... 3
1.2 Objectives of the Implementation Manual ........................................................................... 3
2 DEFINITIONS AND ABBREVIATIONS ............................................................... 4
3 THE SOCIAL ACCOUNTABILITY PROCESS ........................................................ 6
Table 1: Specific activities in the social accountability project ............................................7
4 ROLLING-OUT THE SOCIAL ACCOUNTABILITY TRAINING .............................. 9
4.1 The ESAP2 Capacity Development Approach ...................................................................... 9
4.2 Who is responsible for Rolling-out the SA Training? .......................................................... 9
4.3 What needs to be done before rolling-out the SA training? ................................................10
4.3.1 Launching ..................................................................................................................10
4.3.2 Sensitization ..............................................................................................................10
4.3.3 Organizing citizen representation ............................................................................ 11
4.3.4 Gender sensitivity ..................................................................................................... 11
4.3.5 Establishment and composition of SA committee .................................................... 11
4.4 Who participates in the SA training? .................................................................................. 12
4.5 How to organize the Woreda level SA Training?................................................................. 12
Other preparatory activities for the SA training: ............................................................... 12
Table 2: Generic training program for rolling-out the Social Accountability training...... 13
4.6 Overview of steps, activities, responsibilities and performance measures ......................... 13
Table 3: Steps in rolling out the SA training ...................................................................... 14
5 ACTIVITIES OF SAIPS AND SA COMMITTEES .................................................. 15
5.1 When can the SAC start the SA process? ............................................................................. 15
5.2 Why and how to develop a MoU with the SAC? .................................................................. 15
Table 4: General content of the SAC MoU Objectives of MoU .......................................... 15
5.3 How to organize participation in SA process? .................................................................... 16
5.3.1 Citizens ...................................................................................................................... 16
5.3.2 Service providers ....................................................................................................... 16
5.4.3 Administration and Council members...................................................................... 16
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5.5.4 Potential allies for the spread of social accountability ............................................. 16
5.6 How to organize Interface Meetings and Joint Action Plan? .............................................. 16
5.7 Who is responsible for monitoring and support to the SA process? ................................... 17
5.7.1 Rapid assessment ...................................................................................................... 17
5.7.2 Stakeholder review meetings .................................................................................... 17
5.7.3 Quarterly narrative reports ....................................................................................... 17
5.7.4 Mid-Term Evaluation ................................................................................................ 17
5.7.5 End line Evaluation ................................................................................................... 17
5.8 Overview of all the activities of SAIPs ................................................................................. 17
Table 5: Templates for step-by-step Project Management and common SA activities ..... 18
Annex 1: Launching the ESAP2 project at the Woreda .......................................... 21
Annex 2: Summary SA Guide - Community Score Card ........................................ 24
Annex 3: Summary SA Guide - Citizens’ Report Card ............................................ 27
Annex 4: Summary SA Guide - Community Mapping ........................................... 29
Annex 5: Summary SA Guide - Participatory Planning and Budgeting .................. 31
Annex 6: Summary SA Guide - Gender Responsive Budgeting steps ..................... 33
Annex 7: Summary SA Guide - Social Auditing steps ............................................ 34
Annex 8: Public Expenditure Tracking Survey ..................................................... 36
Annex 9: Interface Meeting steps ......................................................................... 38
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1 INTRODUCTION
1.1 Why this Implementation Manual?
The Management Agency (MA) conducts training on Social Accountability (SA) for all SAIPs
(Social Accountability Implementing Partners) after the award of their grant. The SAIPs
learn to roll-out the SA Guide in their respective Kebeles and Woredas. The SA guide is a
training manual on SA concepts and tools. During the review of Action Plans of the first 30
grantees, the Management Agency identified the need for more practical guidance on rolling
out the SA Guide. This implementation manual aims to overcome potential constraints to
effective implementation of the SA projects by SAIPs.
1.2 Objectives of the Implementation Manual
This Manual is developed to give practical guidance to SAIPs for standardized and consistent
implementation of their social accountability project, so that the desired objectives can be
effectively achieved.
The Manual is designed to:
provide a guiding framework to help all SAIPs to have a common understanding of
key steps and procedures in rolling out the SA Guide;
provide a guiding framework to help all SAIPs to have a common understanding of
key steps and procedures in the application of the SA tools.
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2 DEFINITIONS AND ABBREVIATIONS
Capacity Building developing the capabilities of individuals and groups to adopt SA approaches and the related mechanisms and tools
CBO Community Based Organization – Collaboration with these organizations in the SA process is critical to ensure broad based participation of citizens. CBOs are people’s organizations such as Iddir’s and savings union, but also traditional structures for water point management.
ESAP2 Ethiopian Social Accountability Program phase 2 – ESAP2 is funded by DFID, EU, Irish Aid and KfW through a World Bank administered Multi Donor Trust Fund.
FGD Focus Group Discussant – Focus Group Discussants ensure that voices of vulnerable groups are taken into consideration in the SA process. SAIPs together with the SA Committees organize a large variety of FGDs in each Kebele. Each FGD brings together a specific social group in the Kebele.
FTA Financial Transparency and Accountability program – Both FTA and ESAP2 are part of the Citizen Engagement component of Promoting Basic Services (PBS). FTA works to create more transparency and accountability on the supply side, i.e. within government systems, and ESAP2 works to create more capacity to hold the government to account for basic service delivery.
Gender mainstreaming
Women are specifically invited to meetings and are supported to express their needs and views. Needs and views of both women and men are taken into account and addressed during the SA process.
MA Management Agency of ESAP2 – Responsible for grants allocation and disbursement, monitoring and evaluation of SAIP projects, and capacity development and training of SAIPs and other ESAP2 stakeholders.
MoU Memorandum of Understanding – a written agreement put in place to establish a clear understanding of how an arrangement will practically function, in this case the SAC. It includes each member’s role and responsibilities for the implementation of SA.
PBS Promoting Basic Services – ESAP2 and FTA are part of the Promotion Basic Services program, which is implemented by the Government of Ethiopia to contribute to improve the delivery of basic services.
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PSNP Productive Safety Nets Project – Objectives are to provide transfers to the chronically food insecure population in a way that prevents asset depletion at the household level and creates productive assets at the community level. PSNP and ESAP2 collaborate in a number of Woredas in the country.
Rolling out SAIPs are rolling out the SA guide, which means that they are training Kebele and Woreda level stakeholders on selected SA approaches and the related mechanisms and tools.
SA Social Accountability – the process by which ordinary citizens, who are the users of basic services, can voice their needs, preferences and demands regarding basic services, and are able to hold policy makers and service providers accountable for weak performance.
SA Guide A set of training materials on Social Accountability approaches and tools designed specifically with ESAP2 grantees and Woreda audiences in mind. Grantees use it to design and rollout the Woreda level SA trainings. The SA guide can be downloaded in English and Amharic at www.esap2.org.et
SAIPs Social Accountability Implementing Partners – ESAP2 grantees, organizations that are implementing Social Accountability projects across all regions of Ethiopia. In April 2013, the first 30 grantees started, and in October 2013 an additional 19 grantees started their Social Accountability project as part of ESAP2.
SAC Social Accountability Committees – Kebele and Woreda level tripartite structures established to take ownership of and responsibility for implementation of the SA process. The committees have a majority membership of citizens.
Selected sectors of ESAP2
The 5 basic service sectors covered by PBS/ESAP2 are: Education, Health, Water and Sanitation, Agriculture and Rural Roads.
Stakeholders Stakeholders in Social Accountability – Citizens and their groups (e.g. CBO’s, NGO’s and informal organizations), including private sector, Service Providers, Woreda/Kebele Council and Administration, Woreda, Zonal and Regional Bureaus and Ministry of Finance and Economic Development, SAIPs and the ESAP2 MA.
Vulnerable groups
People who experience multiple difficulties and live in poverty and isolated from economic, social and cultural life. People living with disabilities or HIV, Youth, and Elderly, but also context specific groups such as food insecure households. Gender relations are such that women tend to be more vulnerable than men. Both women and men should be heard in the social accountability process.
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3 THE SOCIAL ACCOUNTABILITY PROCESS
The SA process is summarized in the visual below. The process starts with the identification
of service standards, plans and budget so that there is a basis against which to assess the
performance of services. The SA tools then facilitate a proper assessment by citizens and
service providers. Central to applying the SA tools are the Interface Meetings where each
stakeholder engages, negotiates and voices concerns on service delivery. Stakeholders come
up with a Joint Action Plan / Reform Agenda, which will be monitored periodically with
similar meetings to ensure that service delivery is improving. (See Annex 9 for Interface
Meeting Steps)
The SAC is responsible for implementing the SA process in the Woreda and selected sectors
as per the SAIP project. The SA process is guided by one of the seven (7) SA tools. When the
SAC is following the steps of selected SA tools as specified in the SA Guide, it is facilitating
the SA process. In applying the SA tools, mainstreaming of Social Inclusion and gender are
core elements of ESAP2. For easy reference, a summary of the steps for each SA tool have
been included in the annexes of this manual.
The SAC will benefit from close monitoring and technical support of SAIPs, which are in turn
coached by the MA. The specific project activities of SAIPs and SAC in the SA process are
described in table 1 on the next page.
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Table 1: Specific activities in the social accountability project
Steps in the SA project
Key Stakeholders
Specific Activities Performance Measures
SAIPs identify stakeholders who take part in and sustain ESAP2
Citizens, Service Providers, Woreda Officials
focus on vulnerable groups
collaborate with existing CBOs, traditional leaders
List of Stakeholders
SAIPs facilitate SACs formation in Woreda, Kebeles
Citizens, Service Providers, Woreda Officials
launching workshops
sensitization workshops
roll-out the SA training; draft action plans
List of SAC members
SAIPs conduct Rapid Assessment on selected sectors (see ESAP2 M&E manual for guidance)
Citizens/CBOs, Selected Sector officials and service providers, BoFED, WoFED, other relevant (zone/region) Government officials
collect data
compile data
analyze data
compile the report
Report of Rapid Assessment
SAIPs and SAC share Rapid Assessment findings with citizens and other stakeholders
Citizens, Service Providers, Woreda Officials, and MA
Invite stakeholders for a Dissemination Workshop
Conduct the workshop
Compile workshop report
Dissemination Workshop Report
SAIPs facilitate development and signature SAC MoU
SAC at Woreda and Kebeles
develop MoU
approve and sign MoU among SAC members
Signed MoU
SAIPs facilitate finalization of SAC Action Plan
SAC at Woreda and Kebeles
Meeting among SACs to finalize Action Plans
Action Plan signed by SAC members
SAIPs and SAC organize citizens (e.g. FGDs), service providers and other stakeholders
Citizens, Service Providers, Woreda Officials
focus on vulnerable groups
collaborate with existing CBOs and traditional leaders
List of representative social groups, e.g. FDGs and their members
SAIPs and SAC conduct Surveys as per the selected SA tools
Citizens, Service Providers, Woreda Officials
Apply the selected SA tool step by step
conduct survey when and where needed
Report of SA tool / survey results
SAC with support from SAIPs organize FGDs, Community Forums, Council meetings as per the SA tool
Citizens, Service Providers, Woreda Officials
Apply the selected SA tool step by step and invite target participants when and where needed
Reports of findings of FGDs, Forums and meetings
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Steps in the SA project
Key Stakeholders
Specific Activities Performance Measures
SAC with support from SAIPs prepare findings from the steps of SA tools for presentation at the interface meeting
Citizens, Service Providers, Woreda Officials
Ensure all SA tool steps have been applied and recorded
Prepare presentation of findings at each step
Communicate/validate with stakeholders
Matrix for Input Tracking (CSC) or other findings, depending on the SA tool
SAIPs facilitate Interface Meetings and support SAC to discuss findings, identify reforms, and develop a Joint Action Plan
Citizens, Service Providers, Woreda Officials
Invite stakeholders
Facilitate the meetings
Report on findings, Reforms and Joint Actions and disseminate
Report of the Interface Meetings
Joint Action Plans
Joint Action Plan implementation and monitoring by SAC with support from SAIPs
Citizens, Service Providers, Woreda Officials
Organize to monitor actions of citizens as well as service providers, and other relevant stakeholders to improve basic services
Improved services
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4 ROLLING-OUT THE SOCIAL ACCOUNTABILITY TRAINING
4.1 The ESAP2 Capacity Development Approach
Capacity Development is the corner stone of ESAP2 and is reflected in a three-staged
Capacity Development approach. In the first stage, the MA provides training to SAIPs on SA
right after the award of their grant. The SA Guide serves as the training manual for the MA.
The training will ensure that all SAIPs are prepared and able to address the capacity needs of
their targeted audiences in stage 2.
In stage 2 SAIPs will raise awareness of citizens, Woreda officials and service providers, and
briefly explain the specific SA tools to be introduced. Subsequently, SAIPs will roll out the SA
training for citizens, service providers and Woreda officials on a selection of two out of seven
(7) SA tools. The same SA guide serves as the training manual, hence “rolling out the SA
training”.
The rolling-out training on SA tools familiarizes participants in detail with the steps of at
least two selected SA tools. The participants will be guided through the various steps of each
SA tool. At the end of the training, participants will develop an action plan for rolling out the
specific tool in the Kebeles and Woreda. The action plan will also indicate where further
assistance might be required as a follow-up. The SAC will finalize and approve the action
plan at their next meeting.
Stage three of Capacity Development is monitoring and technical support, which is described
in the SA guide (13.4 Monitoring and tailored support at the Woreda level, page 238) as well
as under section 4.7 below.
4.2 Who is responsible for Rolling-out the SA Training?
The Woreda Coordinators/Facilitators and the Project Coordinators are responsible for
rolling out the SA training. The SA Guide provided to SAIPS during the MA training should
be used to design the training program and content (see table 1 for a generic training
program). SAIPs must ensure that trainers, i.e. the Woreda Coordinators/Facilitators and
the Project Coordinators, are well versed with the SA guide. SAIPs should orient and train
new staff that comes on board after the initial training provided by the MA.
Consider inviting resource persons from the Woreda, such as Sector Heads of the selected
sectors, and an official from PBS/Financial Transparency and Accountability (FTA) or Public
Finance Management (PFM) committee. During the SA Training their experiences can be
tapped, and areas of collaboration in SA implementation can be brainstormed towards the
end of the training.
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4.3 What needs to be done before rolling-out the SA training?
This paragraph summarizes the activities that need to be completed before the SA training,
so that the right trainees can be selected and invited to the training. These are project
launching, sensitization workshops and establishment of the SA Committee.
4.3.1 Launching
The purpose is to officially start the implementation of ESAP2 and introduce the concepts,
objectives and approach of the project. The Launching is supposed to be done at Woreda
level with citizens and service providers from all target Kebeles, and selected Woreda sector
officials and council members, as well as Woreda, Zonal and Regional BoFED FTA focal
people etc. The launch is an opportunity to create awareness about social accountability and
the selected sectors and SA tools. Identification of context specific vulnerable groups and
their representatives needs to be done prior to the launching, for instance by using the
community mapping tool in the SA Guide (refer to page 133). The formation of the SA
committees can start before the launching, so that the SA committee can be confirmed
during the launching. Detailed guidance on launching can be found in Annex 1: Launching
the ESAP2 project at the Woreda.
4.3.2 Sensitization
The SAIP should perform strong awareness-raising workshops and activities with citizens
(specific attention to context specific vulnerable groups!), service providers and Woreda
officials, to introduce the concepts of SA and briefly explain the selected specific SA tools to
be implemented in the Kebeles and Woreda. This is to ensure maximum participation of
service users, service providers and other local stakeholders. SAIPs are encouraged to work
with existing Community Based Organizations (CBOs) to facilitate the spread of key SA
messages.
Sensitization should be an ongoing activity of SAIPs during the implementation years, so
that gradual behavior change is supproted. Each sensitization can have a unique theme per
quarter, with special focus on one of the training topics (see table 1). Ongoing Sensitization
can benefit from:
SA topic presentations during mass meetings of the government or workshops of
other partners (without incurring budget),
SA topic presentations during gathering of stakeholders for different project
purposes, such as launching, dissemination of rapid assessment report, and FGD
meetings.
Information, Education and Communication materials and/or Behavioral Change
Communication materials, like brochures, leaflets, posters, billboards.
Interactive drama (forum theatre) where by audience is invited to discuss on a SA
theme.
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4.3.3 Organizing citizen representation
It is important to carefully organize citizen representation, so that SA is becomes a credible
process that builds an evidence base from a broad participation of citizens. SAIPs are
required to identify social groups, including vulnerable groups, which represent the diversity
of people in the Woreda (consider using the community mapping tool for this purpose, SA
Guide page 133). Vulnerable groups are people who experience multiple difficulties and live
in poverty and isolated from economic, social and cultural life. People who are physically
challenges, people living with HIV and AIDS, Youth, and Elderly, but also context specific
groups such as food insecure households, should be identified and represented in the SA
process. In order to organize representation, it is recommended that SAIPs consult existing
CBOs, mass based organizations and leaders of traditional and religious organizations, as
appropriate. Note that gender relations are such that women tend to be more vulnerable
than men. Both women and men should be heard in the social accountability process.
4.3.4 Gender sensitivity
When conducting sensitization and other project activities, it is appropriate to first create
awareness of women’s participation and the benefits of this. At times, women might feel
threatened to voice their views freely when there are men from the community in the same
room. Such gender relations may require SAIPs to create safe spaces in which women and
young girls can participate and voice their issues. After this, bring women and men together
to share their points of view. Also practice with women representatives before interface
meetings, so that they feel comfortable and confident to raise issues. Issues of both women
and men need to be considered in improving basic service delivery.
4.3.5 Establishment and composition of SA committee
The SACs is established to own and execute the implementation of the SA process in the
respective Kebele and Woreda. At Woreda level, the SAC can be established prior to and
confirmed during the launching of the SA project, provided that enough sensitization has
been done so that the right representatives of citizens have been selected (see 4.3.3).
The Social Accountability Committee (SAC) is composed of representatives of citizens,
service providers, and Woreda officials. The number of SAC members at Woreda level can
range from 7 to 9, while at Kebele level it can range from 5 to 7 members. The majority
should be citizens, because they hold service providers accountable. Note that SAC members
are generally working on voluntary basis and with a neutral political mission. Their selection
should be based on criteria set by the SAIPs in consultation with the stakeholders. Generally
the criteria for composition of the SAC include representatives of each social group,
particularly vulnerable groups, and should be men and women who are socially responsible
and respected by citizens, service providers, Kebele and Woreda officials. Consider inviting
leaders of CBOs and traditional organizations as SAC members.
The SAC can work in more than one sector selected by the SAIP. Therefore, consider
regularly replacing SAC members by new members, e.g. every 6-9 months or at the start of a
new SA tool application, for effective mainstreaming of sector specific vulnerable groups,
and positive motivational purposes.
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4.4 Who participates in the SA training?
The SA training is targeted at a mixed group of participants, namely members of the SAC,
representatives of citizens, with special attention to vulnerable groups, service providers
from the selected sectors, and Woreda officials. SAIPs should facilitate the selection of
citizens and representatives of vulnerable groups who can support the application of the
selected SA tools in their respective Kebele. It is important to target participants, both
women and men, who will actually take part in the application of the SA tools, because this
training focuses on developing the skills to apply the SA tools. The awareness of additional
stakeholders will be created during Ongoing Sensitization (see 4.3.2 above).
4.5 How to organize the Woreda level SA Training?
The SA training program has to be developed and delivered by the Project Coordinator and
the Woreda Coordinators/Facilitators. It will focus on the specific SA tools which the SAIP
has selected and communicated to the MA earlier in their approved Action Plan. SAIPs
should use relevant sections of the SA guide (see table 2 below) to design and conduct the SA
training. Where needed tools should be translated in the local language. The MA encourages
SAIPs to collaborate on translation, so as to make efficient use of project resources.
For all training programs the first four sessions on 1) Social Accountability, 2) Stakeholder
roles, 3) Social Inclusion, and 4) the budget process (day 1 and 2) will be mandatory. SAIPs
are encouraged to adjust training content where relevant to the local situation. For each of
the selected SA tools one day will be reserved (day 3 and 4). If selected tools are more than 2,
an additional day per tool should be included. On the last day, participants will develop an
action plan for application of the selected SA tools in their respective Kebele and Woreda, as
input for SAC Action Planning. This will be followed by an evaluation and wrap-up of the
training. The generic program with indicative timing is summarized in table 2.
Other preparatory activities for the SA training:
Book a venue at the Woreda for a reasonable price; use facilities that can stand the test of
sustainability
Invite selected participants (both women and men) for the SA training (see 4.3)
Avail stationary materials and develop/copy handouts for participants; Note that SAIPs
are encouraged to use the SA guide to develop locally relevant handouts for participants:
translate and contextualize training materials to local languages and culture, with focus
on SA concepts and the selected SA tools.
Prepare the sessions of the training program together with Project Coordinator and
Woreda Coordinator/Facilitator; The SA guide provides details on preparation and
conduct of the training, as well as insights on training approaches (see page 224).
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Table 2: Generic training program for rolling-out the Social Accountability
training
Day 1: Social Accountability and roles of citizens, Woreda officials and service providers
SA Guide pages:
Morning Session 1: Introduction to Social Accountability 19-39
Afternoon Session 2: Roles of citizens, Woreda officials and service providers
40-51
Day 2: Social inclusion and vulnerability, and the regional and Woreda budget processes
Morning Session 3: Social inclusion and vulnerability 52-64
Afternoon Session 4: Overview of the regional and Woreda budget process
66-81
Day 3: Social Accountability tool 1
Morning Session 5: Steps of the selected tool 1 and practice Select from pages 66-213 Afternoon
Day 4: Social Accountability tool 2
Morning Session 6: Steps of the selected tool 2 and practice Select from pages 66-213 Afternoon
Day 5: Action Plans
Morning Development of action plans, including need for further support
45, and 225-229
13h00 – 14h30 Evaluation and wrap-up 1/1
4.6 Overview of steps, activities, responsibilities and performance measures
The table 3 on the next page outlines key steps, stakeholders, specific activities, and
performance measures for the roll-out of the SA training at Woreda level.
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Table 3: Steps in rolling out the SA training
Steps Key Stakeholders Specific Activities Performance Measures Manual
Ensure trainers are trained on the SA Guide
SAIP Woreda Coordinators /Facilitators and Project Coordinator, and sub-partners
Ensure attendance of the SA training given by MA / orientation by MA trained person(s)
Certificate of Completion See 4.1
Ensure that representative groups are in place
Representatives of citizens (vulnerable groups), service providers of selected sectors, and Woreda officials
Establishing representative groups during launching and/or sensitization workshops
List of representative social groups of citizens, e.g. FDGs and their members, of Service Providers, and of Woreda officials
See 4.2.3 and 4.3
Organize the SA Roll-out training
Woreda Coordinators/ Facilitators and Project Coordinator of SAIPs and their sub-partners
Preparatory activities:
book venue at Woreda for a reasonable price
invite selected participants for the SA training
avail stationary materials
prepare the specific SA Roll-out Training Program (from Training Program in Table 1)
facilitators of the training prepare their sessions of the training program
Program of Roll-out Training
Translated SA tools (where applicable)
List of Participants to be invited
List of Stationary material
See 4.4
Facilitating the Roll-out Training
Woreda Coordinators/Facilitators and Project Coordinator of SAIPs and their sub-partners
Key Activities during the SA Roll-out training:
facilitate each session as per program and SA Guide with Adult Learning approach
ensure clarity of SA concepts and application of tools by each participant
ensure development of feasible Action Plans by participants on how to apply the SA tools
Attendance sheet including type of participants who attended the roll-out training
Report of the roll-out training; focus on context specific issues raised
SA guide:
230-238
Ensuring Action Plans are developed by SA trainees
Woreda Coordinators/Facilitators and Project Coordinator of SAIPs and their sub-partners
explain the Action Plan Format
strategically divide participants to work in groups on the Action Plan
give sufficient time and guide participants to come up with feasible Action Plans
Participants Draft Action Plans (to be finalized and approved by the SAC)
SA guide: page 45
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5 ACTIVITIES OF SAIPS AND SA COMMITTEES
5.1 When can the SAC start the SA process?
Before the SAC can start the SA process (i.e. the application of the two selected SA tools), SAIPs
have to accomplish rolling-out the SA Training and the establishment of the SAC – with an MoU
signed and an approved Action Plan. The Action Plan developed during the SA Training and
finalized and approved by the SAC will be the document that guides the application of the SA
tools during the SA process.
5.2 Why and how to develop a MoU with the SAC?
SAIPs will assist in the development of a MoU (see table 4 for general content of such a MoU).
SAC members will develop and sign the MoU to ensure that each member is clear about working
conditions and roles during the implementation of the SA process.
The MoU shall have provisions on how often to meet, and how to address any troubles that may
arise during the SA process. The signed MoU shall be submitted to the stakeholders within 5
working days following the date of signing.
A SAC will have regular meetings among each other and with other Woreda/Kebele level SACs.
Frequency of meetings depends on agreement reached, considering how much time is required
to apply the selected SA tool in the local context. Consider meeting at least monthly during SA
tool implementation.
After signing the MoU, one of the first tasks of the SAC will be to finalize and approve the Action
Plan developed during the SA training. This Action Plan guides the SAC on how to go about the
step-by-step application of the specific SA tools in a time bound framework.
Table 4: General content of the SAC MoU Objectives of MoU
Names and Address of each member
The Purpose of the SAC (e.g. improve services in which sector?)
Activities to be performed by the members (refer to the final Action Plan)
Location (Woreda/ Kebele)
Selected SA tools
SAC Working months (when it starts and ends)
Meeting schedule (among members and with other SACs in the Woreda)
Timing and requirements of meeting reports
Deliverables (e.g. Input Tracking Matrix, depending on the SA tool)
Terms of office, replacement of members, and acceptable reasons (termination agreement)
Handing over to a new SAC members (e.g. awareness and use of SA tools; useful contacts)
Disciplinary measures (for Conflict Management and other issues)
Place and date of Signature
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5.3 How to organize participation in SA process?
The Woreda and Kebele SA Committees are organizing the SA process with close guidance,
mentoring and technical support of SAIPs, who in turn are backed up by the MA.
5.3.1 Citizens
Together with the SACs, the SAIPs organize a representative number of FDGs at Kebele level.
This is to ensure that the voice of a wide variety of citizens and vulnerable groups, both women
and men, can be heard in the SA process. SAIPs are encouraged to work closely together with
CBOs and traditional leaders and organizations, such as Iddir, to ensure broad based
participation of citizens in the respective FDGs.
5.3.2 Service providers
Front line service providers, such as teachers, nurses, extension officers, and rural engineers are
the main face of the government at the local level. They may also benefit from the SA process,
because they are not always informed by the Woreda sector bureau about service standards,
entitlements and budgets. When they understand the resources available to do their job, they
can be empowered to provide better services.
5.4.3 Administration and Council members
It is important to develop close relationships with Woreda sector officials and elected councilors,
because they can provide the support, resources and decisions needed to improve service
delivery. They need to develop a good understanding of the SA process and must learn to see the
advantages of it: efficient and effective delivery of services.
5.5.4 Potential allies for the spread of social accountability
It is important to consider from the start of the SA process how SA can spread in the Woreda
beyond the 3-5 Kebeles covered by the SAIP project in each Woreda. The FTA can be an
important ally, and also think about collaborating with other NGO’s and sector projects. Also
consider the private sector, because they are often asked to support development investments in
the Woreda and might be interested (and influential) to holding the government to account.
5.6 How to organize Interface Meetings and Joint Action Plan?
Interface meetings are multi-stakeholder dialogues, where a variety of stakeholders (e.g. citizens
and CBOs, service providers, and Woreda officials, but also consider inviting relevant regional
officials and NGOs that have an interest in the Woreda or sector) can jointly discuss their
concerns, challenges, and experiences with the delivery of the basic service as identified with the
SA tool. The aim is to find common ground for resolving challenges in a constructive manner.
The SA process seeks to ensure that services are delivered to citizens in an equitable, qualitative,
transparent and accessible manner. A key outcome of (a series of) interface meetings is a Joint
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Action Plan for reform that all stakeholders contribute to and agree on. This Joint Action Plan is
used to monitor the activities of citizens as well as service providers and other stakeholders to
improve the service delivery. See annex 9 for detailed steps to conduct an interface meeting and
developing a Joint Action Plan.
5.7 Who is responsible for monitoring and support to the SA process?
When the SAC starts implementing the SA process, stage three of the ESAP2 capacity
development approach starts (see 4.1 in this manual, and a more detailed description of stage
three on page 6 of the SA Guide). For the full adoption of the SA tools, additional on-the-job
support to the SAC, citizens groups, service providers and Woreda officials will be provided by
the SAIPs. The MA will monitor and where needed support the Capacity Development initiatives
of the SAIPs.
Next to ongoing monitoring and support, the following monitoring and evaluation activities
need to be conducted (more information in the ESAP2 M&E manual):
5.7.1 Rapid assessment – This assessment is done at the start of the project to identify key
issues in service delivery, and to assess the status of SA in the Woreda. The information thus
gathered is used to finalize the indicators in the project logframe.
5.7.2 Stakeholder review meetings –In these quarterly meeting organized at Woreda level,
SAIPs seek feedback from all the stakeholders on project progress and challenges with
implementation. This will help SAIPs to improve project implementation.
5.7.3 Quarterly narrative reports – While these reports have to be submitted to the MA,
they should also serve as learning moments for project staff. If possible, organize a meeting with
all project staff to discuss key achievements and challenges, and to learn from each other’s
experiences among the Woredas.
5.7.4 Mid-Term Evaluation – The main aim is to check project progress and make
adjustments to the SAIP Action Plan so that the project results can be achieved within the
project period. The Mid-Term Evaluation is an important learning moment and should be used
to document interesting cases and experiences.
5.7.5 End line Evaluation – This evaluation verifies the changes that have been achieved
compared to the situation in the beginning of the project (see rapid assessment). The evaluation
is conducted by an external consultant.
5.8 Overview of all the activities of SAIPs
Table 5 provides an overview of all SAIP activities per quarter, per Kebele and Woreda, and per
SA tool. SAIPs may find this useful for their Action Planning.
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Table 5: Templates for step-by-step Project Management and common SA activities
Quarter Common Project Management Activities
Common Activities per Woreda Common Activities per Kebele
1 Recruitment of project staff
1 Procurement
1 and 2 One time Launching
Sensitization workshops
SAC establishment
1 and 2 Rapid assessment
2 – 8 Continuous Sensitization Continuous Sensitization
3 One time Roll-out of SA Training
(with focus on the selected SA tools)
One time Refresher Training (where 2 or more tools are implemented in a Woreda and where necessary)
3 – 8 Technical backstopping and mentoring to SAC
Technical backstopping and mentoring to SAC
3 - 8 Quarterly Stakeholder review meetings
5 and 6 Mid Term Evaluation
2 – 8 Institutionalization activities to sustain the SA process
Institutionalization activities to sustain the SA process
8 End Line Evaluation
8 Close out activities
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Common Activities per Woreda for Tools Common Activities per Kebele for Tools
CSC CRC CSC CRC
Step 2. Prepare input tracking matrix.
Step 2. Pre-survey ground work Identifying issues through FGD (providers and users)
Step 1. Organize FGDs:
At least 5 FGDs of Service Users, 4 sessions each (= minimum 20 sessions per Kebele)
Step 2. Pre-survey ground work Identifying issues through FGD (providers and users)
Phase 2: Score Card self-evaluation (1-2 FDGs service providers)
Designing the survey instrument
Framing a Scientific Sample
Training for Enumerators
Pre-testing of questionnaire
Step 3 FGDs: Generating and Prioritizing Issues
Pre-testing of questionnaire
Step 4 FGDs: Developing Indicators and a Matrix for Scoring
Step 3. Conducting the Survey administering questionnaire, FGDs
Step 3. Conducting the Survey. administering questionnaire, FGDs
Step 5 FDGs: Conducting the Score Card with the community
Step 5. Dissemination of Findings and Improving Services
4 sessions of Service User's representatives of the selected Kebeles + other users of sector services at Woreda level
Step 4. Post Survey Analysis data analysis
Step 6 FDGs: Consolidating the Community Score Card
Step 6. Organizing and facilitating Kebele level interface meetings
Step 5. Dissemination of Findings and Improving Services organizing & facilitating interface meetings
Phase 3: Kebele Service Provider’s Score Card self-evaluation (1 FGD per type of services)
Developing the Reform Agenda / Joint Action Plan
Interface Meeting for woreda level services, Reform Agenda / Joint Action Planning
Step 6. Improving services: interface meeting / Reform Agenda / Joint Action Planning and
Phase 4: Interface meetings / Joint Action Planning (1 per Kebele or clustered Kebeles receiving similar services)
Monitoring to ensure that stakeholders are implementing their agreed changes to the services.
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Common Activities per Woreda Common Activities per Kebele
GRB PPB GRB PPB
Analyzing Gender Situation with regards to service delivery
Multi-Kebele Participatory Planning and Budgeting (PPB) Forum: elected delegates from the Kebeles and the Woreda representatives will form the PPB forum.
Analyzing Gender Situation with regards to service delivery
1st meeting: distribution of information in public hearing (estimation of revenues, the establishment of the general resource allocation or budgeting criteria and methodology)
Monitoring, spending and service delivery
Woreda Council Meetings: The final Woreda council approved plan and budget is sent to the Regional Council for approval.
Monitoring, spending and service delivery
2nd meeting: citizens to identify their needs and priorities, elect delegates to represent their Kebeles in the Woreda council, decision on the relevant participatory structures
Assessing budget allocations Final PPB is amended and approved by the Woreda council.
Assessing budget allocations Community Monitoring of Budget Execution: the communities monitor their approved recommendations
Assessing the Gender-Responsiveness of policies/ budget allocations
Multi-Kebele PPB forum take the final plan and budget to the Woreda council for approval.
Assessing the Gender-Responsiveness of policies/ budget allocations
Assessing outcomes Assessing outcomes
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Annex 1: Launching the ESAP2 project at the Woreda
This annex will guide SAIPs how to successfully deliver a launch of ESAP2 in each of the
Woredas. The purpose of the launch is to officially start the implementation of ESAP2 and
introduce the concepts, objectives and approach of the project. The launch is also an
opportunity to create awareness about the selected service sectors and SA tools among all the
stakeholders: citizens, service providers, and Woreda administration and council members.
A1.1 Preparations in the month before the launch:
Invitations – Identification of citizens and their groups, especially vulnerable groups, needs to
be done prior to the launching. A wide representation of citizens should be invited to the launch,
as the project resources are for them. Invite Farmers, Teachers, Students, Elderly, People living
with disabilities or HIV, Youth, Women and children. Work with CBOs and Traditional Leaders
to identify a wide and representative selection of citizens.
Invite Woreda and Kebele service providers and officials from the relevant sectors, elected
councilors, and other relevant stakeholders in the Woreda. From the region, invite BoFED,
PBS/FTA, sector officials, and other relevant stakeholders such as NGO projects working in the
same sectors.
Note that the SA committees can only be formed during the launching when some work has
gone into identification and awareness raising of strong citizen representatives.
Presentations – Develop short welcoming speeches, presentations and other information
that needs to be shared. Keep it short (maximum 15 minutes each), to the point and
interesting. If SAIPs would like to obtain feedback from the MA, the presentations should be
shared 10 working days before the launch.
Agenda – Allot enough time for discussion, so that citizens can ask questions about SA and
the selected basic services. This will allow the SAIPs and sub-partner to get a better idea of
issues felt by citizens.
Venue – Consider Iddir tents in the Woreda as a potential venue, because citizens may feel
more free to speak there than in more formal settings.
Translation – Arrange for a translator if needed, so that vulnerable groups can participate.
A1.2 Suggested agenda and tips
Create an open atmosphere by welcoming and speaking with citizens informally before the
meeting starts. Encourage them to ask questions, and to share experiences with basic
services in the selected sectors during the meeting.
Encourage vulnerable people to sit at the front of the meeting room. During the meeting,
enable vulnerable people and women to speak. Address them individually, and ask if they
are willing to share an experience with basic services. Never force people to do this, as it may
embarrass them.
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Table A1: Suggested agenda
Time Activities Who Remarks
8:30 9:00 Participants Registration SAIP
9:00-9:05 Welcoming Address SAIP
9:05-9:15 Opening Speech Honorary Guest
9:15-9:30 Participants Introduction Participants
9:30-9:45 Brief Presentation about Implementing Organizations (SAIP and sub-partners)
SAIP
Only present relevant earlier project experiences that built credibility for the work to be done under ESAP2
9:45-10:00 Brief Presentation about ESAP2 SAIP
10:00-10:30
Break
10:30-11-30
Participants Discussion:
Questions about ESAP2
Questions about services
Facilitator
Invite citizens as well as service providers to share experiences with services: what are their concerns?
11:30-11:45 Brief Presentation on ESAP2 Project in the Target Woreda
SAIP
11:45-12:45 Discussion of Participants Participants
12:45-13:15 Establishing Woreda SA Committee
Participants
The SA committees can only be formed during the launching when some work has gone into identification of strong citizen representatives.
1:15-13:30 Concluding Remarks Honorary Guest
1:30-13:40 Group Photos and End of the Program (payment of transportation costs if applicable)
SAIP
1:40 Lunch
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A1.4 Recommended List of Participants
Citizens: Farmers’ associations, Iddir umbrellas, Traditional and Religious Leaders,
Representatives of physically challenged persons, Associations of people living with HIV
and AIDS, PSNP Committee, Girls clubs, School employees, Student representatives,
Teacher associations, etc.
Service providers and Administration: from the ESAP2 basic service sectors: Education,
Roads, Health, Agriculture and Water offices. Woreda administrators, Guidance
counselors, Finance office, Women and Children’s affairs, Woreda communication office,
etc.
Woreda and Kebele councilors, Woreda ethics and anti-corruption office, Woreda and
Kebele social courts, etc.
Regional BoFED.
A1.5 Support from the MA
The MA can provide comments and support on the Program of the launch, Speeches by
participants, Presentations, Information on SA to be disseminated to participants and
communication and media (press release).
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Annex 2: Summary SA Guide - Community Score Card
The Community Score Card is a tool through which citizens can monitor the quality, access,
efficiency and effectiveness of basic services. Citizens analyze based on their personal feelings, to
express dissatisfaction, to encourage good work done – and to suggest additional measure to be
taken if reported issues remain.
Phase 1: The Planning and Preparatory Phase
A thorough and well-planned preparation is essential for successful implementation of the
Community Score Card. In most cases, it is recommended that preparatory groundwork should
begin as early as possible by mobilizing the community.
The most crucial steps of the planning and preparatory phase are:
Identification of scope. This includes the identification of the service sector (e.g.,
water and sanitation, education, health, agriculture, rural roads) and identification of
geographic coverage (region, zone, Woreda, Kebele).
Identification of the service aspect (criteria) to be monitored (quality, access,
efficiency, effectiveness, participation, satisfaction, etc.).
Preliminary stratification of communities for sensitization with a view to
ensuring maximum participation of service users, service providers and other
stakeholders through field visits, awareness campaigns and advocacy work on Social
Accountability for basic services.
Determining the sample size of the population to be involved. FGDs: identify the
necessary number of FGDs to avoid Social Exclusion.
Developing a work plan and arranging the required materials/logistics and manpower
(training lead facilitators, etc.).
Identify inputs. This involves identification of the facilities, physical assets,
service inputs and entitlements for the chosen sector. This is used to gather and
publicize information about the supply side, and about the availability and/or uses of key
inputs for the service.
Phase 2: Developing the Community Score Card
This is a critical phase in the implementation of Community Score Cards, since it involves
various social groups with different interests, different levels of understanding of what their
rights are, and different perceptions and attitudes to the service providers. Developing a
Community Score Card needs to be done with sensitivity and should comprise the following
steps:
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Step 1: Organize the Community Gathering
1. Organize sessions and brief the citizen groups about the purpose and the process.
2. Divide participants into focus groups for a discussion on a subject, e.g., gender, age group
prejudice, social mapping, etc.
3. Assign facilitators to each citizen group: two persons per group, a leader and a note taker.
Step 2: Prepare the Input Tracking Matrix
Inputs are resources that are allocated to a service delivery point in order to ensure efficient
delivery of services in health, water supply, education, agricultural outreach and in the rural
road sectors. Input tracking refers to the monitoring of the flow of physical assets and service
inputs from the federal, regional, Woreda and local levels.
Step 3: Generating and Prioritizing Issues
In this first step try and generate many possible issues by asking:
How are the services in your locality?
Which services and programs are going well? What doesn’t work well?
Subsequently, the group needs to agree on the most relevant issues, which are the most
important and urgent to deal with first. The group is expected to give reasons for their choice.
These can be made graphically evident by ordering the issues in a table. An empty issues and
priorities form is provided in section 5.2.3.
Step 4: Developing Indicators and a Matrix for Scoring
The facilitation teams (community note taker and facilitator from each group) will meet and
share the various issues generated. From the mix of issues voiced from the different groups, a
list of common major issues is identified. For each issue an indicator is developed and listed in a
scoring matrix as exemplified on the next page, and an empty scoring matrix form can be found
in section 5.2.4. After the completion of preparing the indicators and matrices, the facilitation
teams go back to their respective communities.
Step 5: Conducting the Score Card with the Community
The following activities are to be undertaken in this step:
Present the indicators for the whole group and build a consensus on the common major
issues and related indicators that will be used.
Then disperse people to their previous groups, so that each group will give their own score.
Performance scoring: Use scales for performance scoring (it can be 1-5, or 0-10, or 0-100 or
any traditional counting method). The group needs to agree on the scores either by vote, but
preferably by consensus. The scoring card could be expressed in a qualitative term, i.e. very
bad, bad, just ok, good, very good.
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Justifications for each score as well as suggestions for reforms and improvements are also
required.
Step 6: Consolidating the Community Score Card
Develop the matrix to record scores from all the focus groups so that the scores can be
consolidated (combined for each indicator). Facilitators will convene a meeting with the
representatives from the focus groups. The representatives share scores from each of their
groups and the scores are inserted in the matrix.
Facilitators then guide the discussion by asking questions such as: Looking at the different
scores, which show the real picture/situation? The purpose is to produce scores that are
representative, either by taking the average, or preferably by consensus.
Phase 3: Conducting Score Card self-evaluation with Service Providers
This phase of this process involves getting service providers to evaluate the performance of their
service. The process is more or less the same as with the service user and the Community Score
Card described in Phase 2. If few service providers are participating, there may not be any need
for group formation as these could represent related government sectors and administrative
officials. In this case there will be no consolidation of scores.
Phase 4: Interface/Reform Meeting
The Community Score Card helps both sides to come together, identify the reasons for poor
services and find solutions for the problems identified. This phase is concluded by conducting
an interface meeting to develop a Joint Action Plan and to arrange a follow-up meeting for
further institutionalization
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Annex 3: Summary SA Guide - Citizens’ Report Card
The Citizens’ Report Card is a simple but powerful tool to provide public agencies with a
systematic feedback from users of basic services. By collecting feedback on the quality and
accuracy of basic services from actual users, the Citizens’ Report Card provides a rigorous basis
for communities, civil society or local governments to engage in dialogue with service providers
to (plan to) improve the delivery of basic services.
The Citizens’ Report Card can serve as a diagnostic tool to monitor services, as accountability
tool to demand improvements, and as a benchmarking tool to track changes over time.
Step 1: Assessment of Local Conditions
Checking the background of the sector(s) and the context of the Woreda. It is important to look
into previous surveys like baseline surveys, Community Score Cards or other tools that have
been applied in the past to this Woreda and the sector.
Step 2: Pre-survey Groundwork
Engage with the stakeholders, bring them together to discuss and agree on the objectives of the
utilization of the Citizens’ Report Card and the methodology that will be used to implement it. In
this step the questionnaire development with the stakeholders is also conducted. The sample
size and sampling method is discussed and agreed amongst the stakeholders, as these will
depend on the context and the Citizens’ Report Card objective. The training of the enumerators
on how to conduct interviews and how to use the questionnaire should further be done during
this stage. In addition, a pretesting of the questionnaire with the enumerators should be done to
check for errors or issues of clarity.
Step 3: Conducting the Survey
During this stage the enumerators go into the field and conduct the interviews. An agency
managing the survey should ensure that there is a lead supervisor appointed to verify and check
the process for any challenges that come up in conducting the survey.
Step 4: Post Survey Analysis
The implementing agency has the responsibility to capture the information collected, preferably
in a computerized program. This will assist with the analysis of the information collected. The
information should be analyzed and compiled into formats that are user-friendly for a variety of
audiences like government officials, citizens, service providers and Woreda councils.
Step 5: Dissemination of Findings
The information should be presented and discussed at a public forum where all the stakeholders
can participate and contribute to the discussion. Depending on the objective of the Citizens’
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Report Card that has been decided in stage 2, the information could inform policy changes or be
used to develop a joint plan of action to [improve services.
Step 6: Improving Services
Although it depends on the agreed objective of the utilization of the Citizens’ Report Card, at this
stage the information is used to actually improve the services. The stakeholders, especially the
community have a role to play in verifying, monitoring and ensuring that the stakeholders are
implementing their agreed changes to the services.
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Annex 4: Summary SA Guide - Community Mapping
Community mapping is a process conducted by the community for the community. It is a tool
that aims to tap into and expand the breath of knowledge and experience within communities,
in order to increase empowerment and develop the capacity to deal with a variety of issues and
find solutions for themselves.
It can assist communities to better understand the broader context of service delivery, the gaps
in service delivery, and the existing resources that are available in the community. It can assist
in convincing local authorities where service delivery resources are most needed and where
resources should be channeled.
The steps of Community Mapping are:
Step 1. Identify and understand the community
Discuss with relevant community based organizations or NGOs working in the community about
the challenges faced by the community. Build on own experiences in the community or through
partnership with existing organizations already active in the community.
Step 2. Identify community leaders to assist in the process
Community leaders should be involved from the start of the process. Make them aware of the
process, the benefits to the community and their potential role.
Step 3. Develop a community profile
Collect information from census data or other surveys. It should be rapid information like
population status, economic and social status of the communities, the average earnings, etc.
Step 4. Design the enumeration forms with the community
Enumeration forms should be designed with the community to be easy to use and in the local
language. They should seek facts and not opinions, e.g. “Who lives in the house, how long have
you lived there, how much do you earn”?
Step 5. Training for community members in using the forms
Oriented towards refining questions and dealing with challenges and any confusion about the
process. Communities should understand clearly their role in the process and how to conduct
the enumeration process.
The enumeration should be done by at least two teams to ensure that there is consistency in the
responses and feedback to the rest of the teams. A debriefing session should be held with the
enumeration teams.
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Step 6. Design a map of the community
It is not essential that the map is developed before the enumeration process, but it helps as it is
largely informed by the community. At this point accuracy is not important but rather drawing
on the community’s experiences and knowledge about their community, including possible lack
thereof. Later this will inform the enumeration design and process.
Step 7. Adding detail
Include in the map additional information, such as water points, wells or latrines, (bad) roads,
water points, health services, education facilities, market, agricultural services, used or unused
land and any other information that could be useful to help understand the community better.
Step 8. Start the enumeration process
While using the map, identify and name the families and individuals related to each structure.
The enumerators from the community will be able to talk to each and every household about the
issues addressed in the forms and any other additional information, like their vision of the
community. This is a good way to start community mobilization.
Step 9. Analyze the data
The community could also be involved in the analysis of the data by transferring it by hand from
the enumeration forms into a record book. The information can later be entered into a computer
for further analysis.
Step 10. Verify the data
Return to the households with the forms at a different time. If no one is here come back the next
day or any other appropriate time for the residents.
Step 11. Use the data
Discuss with communities and other stakeholders what the data means, what stands out and
what is new? How can this information be used? Who are the socially excluded groups? How can
they be assisted? How can the information be used for lobbying purposes?
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Annex 5: Summary SA Guide - Participatory Planning and Budgeting
Participatory Planning and Budgeting is intended to bridge the gap between the government’s
budget allocations and the citizens’ demand for voice and participation, poverty reduction, and
improved transparency and accountability. Citizens participate directly or through organized
groups in the different stages of the budget cycle, namely budget formulation, decision-making,
and monitoring of budget execution.
The steps of Participatory Planning and Budgeting tool works are:
Step 1: Budget Formulation Stage
Sharing Information with the Communities. The Participatory Planning and Budgeting cycle
usually starts with regional meetings, which are public hearings organized in the administrative
territorial units like Kebeles. This is the preparatory and design stage of the budget. It involves
mainly the distribution of information the initial discussion of policies and priorities by citizens
in their localities, the estimation of revenues, and the establishment of the general resource
allocation or budgeting criteria and methodology. The public meetings can also decide on the
relevant participatory structures and the election of elected representatives of the Kebele to
represent their Kebele at the Woreda level. This however usually occurs at Kebele level in step 2
below.
Step 2: Community Participation Forums
A second round of meetings is organized to enable citizens to identify their needs and priorities
and elect delegates to represent their Kebeles in the Woreda council. In these smaller group
meetings, the citizens are able to fully participate, and are not just informed by the Woreda
officials and council. Community organizations may meet independently to inform citizens
about the Participatory Planning and Budgeting activities, raise awareness, and mobilize
participation around specific priorities. They will also be responsible for preparing the budget
and the annual plan for investments.
Step 3: Multi-Kebele Participatory Planning and Budgeting Forum
The elected delegates from the Kebeles and the Woreda representatives will form the
Participatory Planning and Budgeting forum. The Participatory Planning and Budgeting forum
has the mandate to discuss the priorities voted upon during the community participation
forums, and create the final Participatory Planning and Budgeting proposal. This is a collective
process and it is important to ensure that the elected community delegates have sufficient
information and the necessary skills to negotiate with Woreda representatives on the Woreda
plan and budget.
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Step 4: Woreda Council Meetings
The multi-Kebele Participatory Planning and Budgeting forum will then take the final plan and
budget to the Woreda council for approval. After a series of debates in the Woreda council, the
final Participatory Planning and Budgeting plan and budget is amended and approved by the
Woreda council. In this step, citizens’ groups can lobby the Woreda council members prior to
the voting on the budget, but are not allowed to participate in the actual voting process
themselves. The final Woreda council approved plan and budget is sent to the Regional Council
for approval.
Step 5: Community Monitoring of Budget Execution
In this step, the communities can use the final approved plan and budget of the Woreda to
monitor their approved recommendations, and to monitor how well the Woreda administration
and sector offices execute these recommendations.
The community based Kebele forums would be ideal spaces for citizens to gather, to monitor
service delivery and to be the forum where complaints and grievances can be fed back to, and
then be communicated to Woreda officials on the citizens’ behalf.
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Annex 6: Summary SA Guide - Gender Responsive Budgeting steps
Gender responsive budgeting is a means to integrating a gender dimension into all the steps of
the budget process, to ensure that budget policies can take into consideration the gender
dimension in society and to stop discrimination against either women or men
indirectly/directly. It is taking into account the different needs and priorities of women and men
without gender exclusivity.
There are two basic frameworks that have served to conduct Gender Responsive Budgeting,
namely 1) the Australian (Sharp) three-way categorization of expenditures and 2) the South
African five-step approach.
A6.1 The Australian (Sharp) Three-way Categorization of Expenditure
Women’s specific expenditures: These are expenditures in the budget that specifically
target groups of girls and women.
Equal opportunities in the basic service sectors are allocations for equal employment
opportunities such as programs that promote the equal representation of women in
management and decision-making, etc.
Mainstream expenditures: These are expenditures that are analyzed for their gender
impact.
A6.2 The South African Five Step Approach
1. Analyzing the situation of women, men, girls and boys: Examining issues of access
and quality in services, health and education, and economic activity.
2. Assessing the Gender-Responsiveness of policies: Check if a sector policy is Gender
Responsive to the needs of both women and men, and if not, how can it be changed?
3. Assessing budget allocations: Examine the allocation for programs targeted at women
and girls to verify if the resources that have been made available are sufficient considering
the situation faced by women and girls.
4. Monitoring spending and service delivery: Verify if the budget inputs are being
targeted or spent on appropriate and agreed areas. This is also to assess and prevent any
wastage of resources.
5. Assessing outcomes: In this step the outcomes of the budget and the impact on women
and girls are examined. For example, to assess if increased spending in education has
ensured a higher number of girls enrolling in school.
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Annex 7: Summary SA Guide - Social Auditing steps
A social audit is an independent evaluation of the performance of an organization and its
attainment of social goals. It enables an organization to assess and demonstrate its social,
economic and environmental impact and benefits. A social audit will not only examine the
financial status and performance of an organization, but also the contribution it is made to the
lives of the people it is supposed to serve.
The process can increase public awareness of service delivery gaps and concerns. It can assist in
building trust between citizens and service providers, and it can contribute to improved
accountability of public officials towards citizens.
The steps to social auditing are:
Step 1: Defining Objectives
In this step, the actors are involved in identifying the objectives, the various stakeholders to be
involved, the projects or services to be audited, the time-frame of the audit and the factors or
indicators that will be audited.
Step 2: Identifying Stakeholders
It is important to identify a wide variety of stakeholders that should include the government at
different sectors or levels, service providers or private contractors, representatives of civil
society organizations, beneficiaries and service provider staff members. It is important to
include socially excluded groups as part of the stakeholders as well.
Step 3: Collecting and Analyzing Data
Social Audits generally collect information through interviews, focus groups, surveys, quality
tests, compilations of statistics, case studies, participant observations and evaluation panels.
Any of these methods can be used in a blended approach. The choice of methods is dependent
on the context, sector and objectives. Official government records are often used to track service
delivery performance, but the challenge in this is often officials do not want to share such
records, or the records are kept in a way that is not user-friendly. It is important to have
government support early on to ensure access to essential information. Government officials
should be convinced of the potential benefits of the process.
Step 4: Dissemination of Information
After the data is collected, the findings are shared with the various stakeholders for feedback. It
is important to involve the citizens who were involved in the collection of information. The
citizens can verify the information by indicating whether services were delivered as it was stated
in government official records. Where a Social Audit has been implemented stakeholders have
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used various methods from songs, street plays and banners to explain the process and publicize
the Social Audit.
Step 5: Holding a Public Meeting
The findings of a Social Audit are shared at a public meeting organized and facilitated by a
neutral party, often a local civil society organization. If the Social Audit was conducted district
wide or at a national level, it is important to host several hearings to ensure that every citizen is
able to participate in this forum. The rules of conduct during the meeting should be explained
up front and everyone should adhere to it. The citizens should firstly share their findings of the
Social Audit, and then the public officials or service providers should respond to the findings
and commentary from the citizens. The meeting should be concluded with public officials or
service providers indicating their commitments to take up the issues raised by the citizens.
Step 6: Follow-up and Reporting
After the public hearing, the final Social Audit will be compiled. The report should be
disseminated as widely as possible to government, media and other stakeholders. The report
should include recommendations for government officials to address the issues identified in the
report that can be used for advocacy with government to address issues of corruption and
mismanagement.
Step 7: The Role of the Office of the Auditor-General
Develop and strengthen the overall audit system of Ethiopia to ensure there is access to
necessary information for the proper management and administration of the government’s
plans and budget. Determine if all public funds of the government have been collected and used
appropriately according to the law, regulations and budget. Undertake financial and
performance audits of government offices and institutions. Submit reports to the Finance and
Budgetary Affairs Standing Committee of Parliament. Audited entities are required to report
back to the committee on what they have done in response to the recommendations made by the
Auditor-General and the Committee.
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Annex 8: Public Expenditure Tracking Survey
Public Expenditure Tracking Survey is a process that involves citizens, service providers and
government officials in collecting and presenting information about public spending for service
delivery, to discuss where money is coming from and where it is being spent. It enables all
stakeholders to understand their budget entitlements and to use it for the intended purpose.
The PETS implementation phases are as follows:
Phase 1: Mapping the Resource Flow
Before the PET survey can de designed a map needs to be made that shows where money for
basic services is coming from, what it is being spent on, and how it is being spent. This includes
understanding the roles and responsibilities of various administrative units in the supply chain
and budget execution processes.
Phase 2: Identification of Objectives, Scope, Actors
In consultation with social accountability stakeholders, the objectives, scope and actors to be
involved in PETS are agreed. This is to get their inputs, to understand what they want to find
out, and to develop ownership. The following questions need to be answered, so that the PETS
questionnaires can be designed:
Which facilities and level?
What facility type and which source of fund?
What category of spending or resource flow?
What program or policy?
What is the geographic scope?
What are the key actors to survey?
Phase 3: Designing Questionnaires
It is important to design questionnaires so that truthful answers can be obtained. To ensure
integrity data must be triangulated, where diverse actors are interviewed on the same question.
Phase 4: Sampling and field testing
The number of questionnaires and interviews depends on many factors, but in some notable
PETS in Africa 25% of service units were surveyed. There will likely be more non-sampling
errors, so it is very important to field test the questionnaires. This exposes enumerators to their
work, and enables modification of survey tools.
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Phase 5: Execution of the Survey
After the enumerators have been selected and trained, and after the questionnaires have been
field tested, it is necessary for the organizers to stay hands-on involved in the process to ensure
ownership and accurate recording of information. Useful measures are:
monitoring of question sessions at random
surprise visits by enumerators to facilities usually work better to get truthful information than preannounced visits
check and recheck data at various sources
Phase 6: Data Analysis
The approach to analysis will depend on the objectives and the results of the tracking exercise.
Common techniques include: Averages, Data ranges and Frequencies. More technical
analytical techniques such as cross tabulation requires someone with expertise and experience
in data analysis. The analyzed information can be presented in the form of charts, tables,
graphs or statistics.
Phase 7: Interface Meetings and Dissemination
The findings should be constructively critical, to enable dialogue between citizens and service
providers about service improvements. Share the preliminary findings with the concerned
citizens, service providers and local government in interface meetings in the study area (e.g.
Kebele, Woreda). Create opportunity for authorities to respond, and listen to grievances on their
part. Incorporate feedback in the final report and include reform proposals (Joint-Action Plan),
so that there can be improvement in the quality of service delivery.
Widely disseminate the final report to improve broad stakeholder understanding and gain their
support for Joint Actions. Making the findings widely known and available makes it difficult for
the concerned agencies to ignore the findings.
Phase 8: Monitoring and Institutionalization
Ideally, citizens continue to monitor if local governments and service providers use PETS results
to improve public expenditure management. Models to institutionalize PETS can be:
independent civil society organizations undertake PETS (Uganda)
governments monitor their own performance
an oversight agency such as the Auditing Bureau monitors flow of public money.
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Annex 9: Interface Meeting steps
Interface meetings are multi-stakeholder dialogues, where a variety of stakeholders (like
Woreda officials, service providers, citizens and civil society organizations) can jointly discuss
their concerns, challenges, and experiences with the delivery of basic services. In the context of
SA, the aim is to find common ground for resolving challenges in a constructive manner. The SA
process seeks to ensure that services are delivered to citizens in an equitable, qualitative,
transparent and accessible manner. A key outcome of (a series of) interface meetings is a Joint
Action Plan for reform that all stakeholders contribute to and agree on. This Joint Action Plan is
used to monitor the activities of citizens as well as service providers and other stakeholders to
improve the service delivery.
What to prepare:
Who will facilitate the interface meeting (SAIP facilitator is neutral), at what level (see
step 2)
Participant numbers– see step 3, and consider Kebele, Woreda and regional
representatives
Venue – close to the facility, and easily accessible for ordinary citizens
Date – consider when citizens and service providers will be free to join
SA tool results (e.g. completed community score card, CRC results, etc.)
Agenda of the meeting (step 4-9)
Step 1: Prepare the Communities and Service Providers and Other Stakeholders
Both citizens and service providers need to be prepared for the interface meeting. They should
be sensitized about each other’s feelings and constraints. This ensures that the dialogue does not
become antagonistic and that a relationship of mutual understanding is built between the
citizens and the service providers. The sensitization can be done through explaining the purpose
of the meeting and sharing the preliminary findings discovered during the application of the SA
tool.
Step 2: Cluster Several Interface Meetings around Various Communities
Depending on the size of the Woreda and Kebeles, several interface meetings shall be held that
for clusters of villages that are close to each other, who receive services from the same Kebele
and Woreda authorities. This will ensure adequate participation of all community members, and
will allow space for everyone’s voices to be heard. If there is only one Woreda level meeting, the
participation of citizens may not be representative, or only a few citizens will be able to speak.
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Step 3: Ensure Adequate Participation from Stakeholders
The citizens who were involved in the early stage of the SA tool implementation and data
collection should be approached to mobilize their communities to participate in the interface
meeting. They can also mobilize other CBOs like Iddirs and savings unions to attend and
participate.
Step 4: Present the Evidence in Plenary
Introduce the process that was used to collect information and the various methods that were
used. This shall be done by a facilitator. Allow the citizens who collected the evidence and data
to present their findings to the rest of the participants. This can be arranged in various formats
depending on the SA tool.
Step 5: Summarize the Results Presented
The facilitator shall summarize all the evidence presented in a concise manner. Ideally it would
be great if a citizen can do this, but often it is more concise and to the point if it is done by the
SAIP facilitator.
Step 6: Discussion of the Results in Plenary
The citizens are invited to raise questions of clarification, or to add to the evidence presented. In
this way they validate the results of the data collection. Service providers get ample time to
answer the questions raised and to reply appropriately to the citizens. There might be
suggestions from citizens as well as service providers on how service delivery challenges can be
resolved. These should be noted for the next step.
Step 7: Brainstorm on Concrete Reforms
Communities and service providers shall discuss reforms, and begin to focus on solutions. The
brainstorm is not about complaining or justifying actions and decisions, but it is about
identifying what each stakeholder might be able to do to improve service delivery. Both citizens
and service providers can identify possible actions.
Step 8: Develop a Joint Action Plan
The reforms and actions shall be discussed for feasibility, and then agreed upon amongst all
stakeholders present. Based on these actions, a Joint Action Plan shall be developed. The Joint
Action Plan has to be realistic, and shall include who will do what by when.
Step 9: Divide Roles and Responsibilities for Follow-up and Monitoring
The SAC shall prepare to monitor the progress of the Joint Action Plan. They develop a new SAC
action plan with monitoring activities, and the support needed for this. The SAC will help
stakeholders to take ownership and act as agreed for the implementing of the Joint Action Plan.
