thiopia rotection of asic services social ccontailit roraesap2.org.et/wp-content/uploads/2012/11/sa...

MANAGEMENT AGENCYMulti Donor Trust Fund

EthiopiaSocialAccountabilityProgramPhase 2

EthiopiaProtection of Basic Services

Social AccountabilityProgram

Social AccountabilityGuide

First edition

Chapter 2 of 13

www.esap2.org.et2 / 239

Contents

0. Contents

0. Introduction to the Social Accountability guide ................... 6

0.1. Introduction ................................................................................................6

0.2. Target Group ...............................................................................................6

0.3. Definitions and Concepts used .....................................................................7

0.4. Capacity Development Rationale ................................................................ 8

0.4.1. Overall Objective ...........................................................................................................................8

0.4.2. Specific Objective ..........................................................................................................................8

0.4.3. Results ...........................................................................................................................................8

0.5. Rationale of the Social Accountability Tools ................................................9

0.6. Approach ...................................................................................................10

0.6.1. The Three-Staged Approach and a Modular Framework .......................................................... 10

0.6.2. Training Programme for the Orientation ....................................................................................11

0.6.3. Training Programme for the Rolling-Out .................................................................................. 13

0.6.4. Monitoring and Tailored Support .............................................................................................. 14

0.7. How to Use This Document ........................................................................ 14

0.7.1. Session Overview ......................................................................................................................... 15

0.7.2. Hand-outs ................................................................................................................................... 15

0.7.3. Trainer Notes .............................................................................................................................. 16

0.8. The Social Accountability Training Tool Kit ............................................... 17

1. Introduction to Social Accountability ..................................19

1.1. Session overview ........................................................................................ 19

1.2. Hand-outs .................................................................................................. 19

1.2.1. Primer Social Accountability .......................................................................................................20

1.2.2. Exercise on Citizens’ Role in Basic Service Delivery ..................................................................23

1.2.3. Exercise on Citizen-led Social Accountability in Practice .......................................................... 25

1.3. Trainer notes .............................................................................................33

1.4. Slides .........................................................................................................38

2. Roles and Responsibilities in Social Accountability ...........40

2.1. Session overview ....................................................................................... 40

2.2. Hand-outs ................................................................................................. 40

2.2.1. Primer on Regional and Woreda Responsibilities in Service Delivery ...................................... 41

2.2.2. Exercise on Service Standards and Social Accountability .........................................................43

2.2.3. Action Plan Matrix ......................................................................................................................45

2.3. Trainer notes .............................................................................................46

2.4. Slides .........................................................................................................50


3. Vulnerability and Social Inclusion ..................................... 52

3.1. Session overview ........................................................................................52

3.2. Hand-outs ..................................................................................................52

3.2.1. Primer on Social Vulnerability and Social Inclusion .................................................................. 53

3.2.2. Role-play Social Vulnerability and Social Inclusion ..................................................................54

3.2.3. Exercise on Vulnerable Groups .................................................................................................. 57

3.3. Trainer Notes .............................................................................................59

3.4. Slides .........................................................................................................64

4. Overview of the Regional and Woreda Budget Processes ... 66

4.1. Session overview ........................................................................................66

4.2. Hand-outs ..................................................................................................66

4.2.1. Primer on the Regional and Woreda Budget Process ................................................................ 67

4.2.2. Exercise on a Household Budget ............................................................................................... 72

4.3. Trainer Notes.............................................................................................74

4.4. Slides .........................................................................................................81

5. Social Accountability Tools - Community Score Cards ........ 83

5.1. Session Overview .......................................................................................83

5.2. Hand-outs ..................................................................................................83

5.2.1. Primer Community Score Card ...................................................................................................84

5.2.2. Input Tracking Form ...................................................................................................................97

5.2.3. Issues and Priorities Form ..........................................................................................................98

5.2.4. Scoring Matrix Form ...................................................................................................................99

5.3. Trainer Notes ........................................................................................... 101

5.4. Slides ....................................................................................................... 107

6. Social Accountability Tools - Citizens’ Report Cards ......... 110

6.1. Session Overview ..................................................................................... 110

6.2. Hand-outs ................................................................................................ 110

6.2.1. Primer Citizens’ Report Cards.................................................................................................... 111

6.2.2. Sample Questionnaire ...............................................................................................................119

6.2.3. Agriculture Sector Stakeholders Exercise ................................................................................ 122

6.3. Trainer Notes........................................................................................... 123

6.4. Slides ........................................................................................................131


7. Social Accountability Tools - Community Mapping ............133

7.1. Session overview ...................................................................................... 133

7.2. Hand-outs ................................................................................................ 133

7.2.1. Primer community mapping ..................................................................................................... 134

7.2.2. Example of a Community Map ..................................................................................................137

7.2.3. Example of Community Mapping Exercise in Tanzania .......................................................... 138

7.2.4. Sample Enumeration Form ...................................................................................................... 139

7.2.5. Sample of a Record Book .......................................................................................................... 140

7.2.6. Nine Steps to Conducting an Interface Meeting .......................................................................141

7.3. Trainer Notes ........................................................................................... 143

7.4. Slides ....................................................................................................... 150

8. Social Accountability Tools - Participatory Planning and Budgeting ...................................................................152

8.1. Session overview ...................................................................................... 152

8.2. Hand-outs ................................................................................................ 152

8.2.1. Primer Participatory Planning and Budgeting ......................................................................... 153

8.2.2. Case Studies of Participatory Planning and Budgeting ............................................................157

8.2.3. Fictional Woreda Budget (only in five sectors) ........................................................................ 163

8.2.4. Kebele Fictional Budget ............................................................................................................ 164

8.3. Trainer Notes .......................................................................................... 165

8.4. Slides ....................................................................................................... 172

9. Social Accountability Tools - Gender Responsive Budgeting ........................................................................174

9.1. Session Overview ..................................................................................... 174

9.2. Hand-outs ................................................................................................ 174

9.2.1. Primer Gender Responsive Budgeting .......................................................................................175

9.2.2. Exercise on the Prioritization of Private Household Expenditures ......................................... 186

9.3. Trainer Notes........................................................................................... 187

9.4. Slides ....................................................................................................... 194

10. Social Accountability Tools - Social Auditing ...................197

10.1. Session overview .................................................................................... 197

10.2. Hand-outs .............................................................................................. 197

10.2.1. Primer Social Auditing ............................................................................................................ 198

10.2.2. Case studies of Social Auditing ............................................................................................... 201

10.3. Trainer notes .........................................................................................205

10.4. Slides ..................................................................................................... 212


11. Capacity Development Results Framework ......................214

11.1. Session overview ..................................................................................... 214

11.2. Hand-outs ............................................................................................... 214

11.2.1. Primer Capacity Development Results Framework ................................................................ 214

11.3. Trainer notes .......................................................................................... 217

11.4. Slides ......................................................................................................222

12. Participants’ Capacity Development Action Plans ........... 224

12.1. Session overview ....................................................................................224

12.2. Hand-outs ..............................................................................................224

12.3. Trainer notes ..........................................................................................225

12.4. Slides .....................................................................................................228

13. Delivering the Training................................................... 230

13.1. Preparation of the Training ....................................................................230

13.1.1. Development of the training programme ................................................................................230

13.1.2. Preparing the training materials ............................................................................................. 231

13.1.3. Arranging for the training venue and preparing the training room. ......................................232

13.1.4. The Social Accountability Tool Box .........................................................................................232

13.2. Conduct of the Training ..........................................................................233

13.2.1. The Start of the Training .........................................................................................................233

13.2.2. Time Management ..................................................................................................................233

13.2.3. Absenteeism ............................................................................................................................234

13.2.4. Ice Breakers and Energizers ....................................................................................................234

13.3. Training Approaches ..............................................................................234

13.3.1. The Role of the Trainer ............................................................................................................234

13.3.2. Stimulating Participants .........................................................................................................237

13.4. Monitoring and Tailored Support at Woreda Level ................................238

13.4.1. Gender and Women’s Participation ........................................................................................238

13.4.2. Authority Roles ........................................................................................................................238

13.4.3. Practical Issues ........................................................................................................................238


Session 2: The roles of citizens, woreda officials and service providers

2. Roles and Responsibilities in Social Accountability

2.1. Session overview

Aim of session Review the roles and responsibilities of various actors involved

Learning Outcomes

At the end of the session, participants will understand: • The scope of citizens’ entitlements and responsibilities in the five

ESAP2 sectors• The key entry points for citizen participation and engagement in

the five ESAP2 sectors• The role and responsibilities of woreda officials and service

providers in the five ESAP2 sectors• The service standards for the five ESAP2 sectors for specific

regions• How to use service standards in Social Accountability projects

Additional results

Time allocationOrientation training: 2 x 90 minutes Rolling-out training: 2 x 90 minutes

Work formGroup exercise and plenary discussions, quiz game, puzzle exercise, PowerPoint presentation

Key topicsEntitlements, responsibilities and service standards of citizens, woreda officials and service providers

2.2. Hand-outsThe following pages are to be provided as hand-outs for distribution to participants:

2.2.1 Regional and Woreda Functions in Service Delivery

2.2.2. Scenario on Service Standards and Social Accountability

2.2.3 Action Plan Development Template



2.2.1. Primer on Regional and Woreda Responsibilities in Service Delivery

Key message

This hand-out outlines the responsibilities (called functions) of government officials at the regional and woreda level. Understanding these responsibilities will assist in targeting the correct level of government during project development.

Estimated reading time

10 minutes

Remarks

Regional and Woreda Functions in Service Delivery

The Federal Democratic Republic of Ethiopia comprises the following nine regional states:

1. State of Tigray

2. State of Afar

3. State of Amhara

4. State of Oromia

5. State of Somalia

6. State of Benshangul/Gumuz

7. State of Southern Nations, Nationalities and Peoples

8. State of Gambella People

9. State of Harari People

In addition, there are two city administrations that enjoy the same powers and functions of regional states, namely the capital city of Addis Ababa and the city of Dire Dawa.

Each regional state comprises a state council that is the highest organ of state authority. All states have legislative, executive and judicial powers. The key functions of the state councils include:

• Establishment of a state administration

• Enact and implement the state constitution

• Formulate and implement economic, social and development policies

• Administer land and other natural resources

• Levy and collect taxes and duties on revenue sources

• Enforce the laws on the state civil service and their condition of work

• Establish and administer a state police force and maintain public order and peace



The regional states also have to establish lower levels of government administration. These are zone administrations (not applicable to all regional states like Afar), woreda or district ad-ministrations and kebeles or wards, which are the lowest level of government administration. The state councils must delegate certain powers to the lower levels of government to ensure efficient and effective service delivery and so that citizens can fully participate in the delivery of government services.

Most regional states are responsible for the policy formulation and oversight of government services, while the lower levels of government are responsible for the actual daily delivery of basic services. Zones, woredas, kebeles and the urban administrations have the primary re-sponsibility for allocation of resources, decision-making, management and delivery of basic services.

To ensure that lower government administrations are able to meet their mandates, state coun-cils transfer the majority of their state budgets to the lower government administrations for delivery services.

The main expenditure responsibilities of regions are:

• Set standards for primary and secondary education and regional health

• Vocational and technical training, teacher training institutions, medium level colleges

• Construction and maintenance of hospitals

• Set policies on regional water resource development and protection

• Secondary cycle of secondary education

• Execution of civil service reform programmes at regional level

The main expenditure responsibilities of woredas are:

• Provision of primary and secondary education (up to 10th grade)

• Provision of primary health care (health posts and health centres)

• Construction and maintenance of woreda roads and access roads to kebeles

• Drinking water supply

• Provision of agricultural extension services

• Administration of the woreda

Please note that sanitation services fall within the responsibilities of the health sector, but this is often a concurrent function with the education sector and the water sector. These sectors often develop a memorandum of understanding of how they will cooperate in delivering sani-tation services within all sectors.



2.2.2. Exercise on Service Standards and Social Accountability

Key message

To improve Social Accountability, all stakeholders need to take responsibility for the social services, and the role they have to play. This also means that the responsibilities and roles of each stakeholder needs to be clearly defined, in order to increase awareness of the stakeholders so that they take up these responsibilities and perform their expected role.

Estimated reading time

15 minutes

Remarks

Scenario of Abdi Bori High School and Service Standards

Abdi Bori High School is located in Illubabor Zone, Oromiya Region. A recent assessment of the school was done by Save the Children-Ethiopia. The assessment report revealed the following:

No. Indicator Service standard Actual

1 Teacher’s qualifications Diploma & above Certificate

2 Total with certificate 8 4

3 Total number of students 200 (capacity of the school) 240

4 Desk: classroom ratio 25:1 5:1

5 Desk: student ratio 1:2 1:4

6 Teacher: Student ratio 1:45 1:70

7Set of text books: student ratio

1:1 1:2

8 Teaching guides One per subject per teacher No teaching guides

9 Student: classroom ratio 45:1 60:1

10Total number of classrooms

6 4

11 Drinking water Tap water Not available

12 In-service training Has to be available Not available

The woreda council has called for suggestions on how these challenges can be addressed by the school.

In your group consider the above findings and develop solutions that the woreda council and other stakeholders can undertake.



Group of Students: As you are students of this school you are already aware of these challenges noted above. Please provide your suggestions on how three of the above challenges can be ad-dressed and what role you could play in solving these challenges. Indicate also what role the Teachers’ Union, the Parents-Teachers’ Association and the Woreda Education Training Board can play.

Teachers’ Union: Please provide your suggestions on how three of the above challenges can be addressed and what role you could play in solving these challenges. Indicate also what role the students of the school, the Parent-Teachers’ Association and the Woreda Education Training Board can play.

Parent-Teachers’ Association: Please provide your suggestions on how three of the above chal-lenges can be addressed and what role you could play in solving these challenges. Indicate also what role the Teacher’s Union, the students of the school and the Woreda Education Training Board can play.

Woreda Education Training Board: Please provide your suggestions on how three of the above challenges can be addressed and what role you could play in solving these challenges. Indicate also what role the Teacher’s Union, the Parent-Teachers’ Association and the students of the school can play.



2.2.3. Action Plan Matrix

Instructions: Each grantee should have one detailed action plan with activities (column 3) aiming at achieving the indicators (column 2) of the objectives (column 1). Programme objectives (that of the MA) cannot be changed. Outputs can only change if there is a plau-sible explanation and they still contribute to achieving the respective objective and needs prior agreement with the MA. Activities can be adapted in order to reach the output (results orientation).

A standard form is available for download from the ESAP website: www.esap2.org



2.3. Trainer notesAs this session is included in the orientation training, and is also mandatory for the rolling-out training, these trainer notes can be used in both cases.

Key messages

• Citizens are entitled to understand what they can expect from the service providers in terms of services and their contribution as citizens to ensure the delivery of accessible, quality and equitable services

• All stakeholders should understand their role and functions at all levels of government in service delivery

• Service Standards are there to serve the communities and the service providers in assessing and monitoring overall service delivery performance

Timing

Part 1: Regional and Woreda Government functions: 45 minutesPart 2: PowerPoint presentation and plenary discussion on service standards: 60 minutesPart 3: Group Scenario: 60 minutesPart 4: Action Plan Development: 15 minutesTotal: 180 minutes

Work formPlenary discussions, group discussions and exercise, quiz game, group puzzle exercise, PowerPoint presentation

Hand-outs2.2.1 Regional and Woreda Functions in Service Delivery2.2.2 Exercise on Service Standards and Social Accountability2.2.3 Action Plan Development Template

Preparations

• Prepared flip chart or PowerPoint slides (requires projector and laptop)

• Flip chart paper• Markers (15)• Scotch tape (2)• Flip chart stand (1)• Standard set of cards with functions of region & woreda (in

toolkit)

Remarks Distribute slides after presentation

Part 1: 45minutes, Regional and Woreda Government functions

Slide 1: Session on Roles and Responsibilities in Social Accountability

Welcome Participants



Slide 2: Group Exercise: Local Government Functions

Divide participants randomly into three or four groups. Hand to each group a set of cards with local government functions. Ask them to match the functions to the relevant government ad-ministration level: regions and woredas (20 minutes).

After completion start a discussion on what the groups matched up and specifically focus on the functions that you know were not matched correctly. Then reveal the correct functions and discuss with participants (25 minutes).

Provide them with the “Primer on Regional and Woreda Responsibilities in Service Delivery”(see section 2.2.1).

Ask participants what they think is the difference between the roles of service providers and woreda officials.

Answer: Service providers deliver services in the service facilities while the woreda officials implement the council and regional government directives.

Part 2: 30 minutes, Plenary PowerPoint presentation

Conduct a PowerPoint presentation on Service Standards and Social Accountability. Emphasis should be placed on how Service Standards are important and should be used in subsequent sessions and in their future Social Accountability projects.

Slide 3: What are Service Standards?

Start a discussion and write down keywords of what participants think Service Standards are on a flip chart. Only after some contributions have been made switch to the next slide.

Slide 4: Service Standards are:

Service Standards are the ideal level of what services should achieve, within the political, so-cial, cultural and economic context (there is no true absolute and universal standard). Each woreda in consultation with regional administrations sets service delivery targets and moni-tors the attainment of those targets. The Service Standards are also known as the norms of service delivery that have to be met by the different sector offices and service delivery facilities.

Slide 5: Example of Service Standards

For example, a woreda will show how they built seven new classrooms in the 1999 financial year and how their target is to build an additional seven new classrooms in the 2000 financial year. The targets and actual achievements are recorded on a quarterly and annual basis. Each woreda is required to publicly display this information on public notice boards for citizens to access. In addition, a woreda must display their woreda budget and expenditures as well. The budget is disaggregated into salaries, operation costs, capital costs and textbooks.



Engage in a discussion with participants on other sectors before showing next slide. Try to find whether participants know the actual standards to be met and the actual level. If time allows, write down on flipchart the sectors and write any comments down. Often participants start contributing more when they see the picture.

Slide 6: Examples of ESAP2 Sector Service Standards

Health: Minimum of three health nurses available at clinic level. Minimum of two ambulances available at the health centre.

Education: Minimum of two students per desk in a classroom. All teachers have training guides.

Water and sanitation: Families will have access to water for up to five hours per day.

Agriculture: Minimum of two agriculture extension workers servicing a kebele. Regular post–vaccination veterinary care. A provision of seasonal quality fertilizers made available to all farmers.

Rural roads: Annual maintenance of regional roads.

Start a discussion. Are these standards correct? Are they realistic? Are they being applied? Do all stakeholders know about them?

Slide 7: Service Standards and Social Accountability

If the information is displayed accurately and in a timely manner, i.e., on a quarterly basis, and awareness is created amongst citizens on what this information means, then it is possible to monitor the progress of service delivery facilities.

Citizens can then be empowered to challenge the service providers on why the targets were not reached during a specific financial year or quarter. Citizens can use the information to establish a dialogue with service providers and woreda officials to discuss the various barriers to achieving these targets, and how citizens and other community members can contribute to reducing any barriers and achieving the targets. These targets also create community aware-ness of the progress of service delivery and quality of services and increases transparency of the service delivery facilities. For service providers, the Service Standards and targets serve as a mechanism to monitor their progress and to focus on delivering quality basic services to the communities they serve. Ultimately, the service standards help communities to hold service providers and woreda officials accountable for their commitments to citizens.



Part 3: 60 minutes: group exercise

Slide 8: Exercise

Divide participants into groups of four that represent the following groups:

1. Students or pupils

2. Teachers’ Union

3. Parents-Teachers’ Association

4. Woreda Education Training Board

Hand out to each group the exercise (section 2.2.2). Each group must read and discuss their re-sponse to the questions in their group. The groups should write their responses on a flip chart and present this to the audience. Each group will have 30 minutes to discuss and 5 minutes to present their group’s response.

Part 4: 60 minutes, PowerPoint presentation

Indicate to participants that just as they developed solutions to the problems in the previous scenario they will also do the same for the actual projects. However, it will be a joint effort between them, the woreda officials and other citizen groups. As the trainer, explain in plenary how participants will be using the action plan template throughout the week of training and how this should be grounded in their current grant proposals. Present the action plan template on the screen if possible. Use one that is already filled out. Explain the headings on top to them and what is expected of them in using this tool during the training and also in their planning. Allow participants to ask any questions.



2.4. Slides

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