Federal Democratic Republic of Ethiopia Ministry of Capacity Building in Collaboration with PSCAP Donors

"Woreda and City Administrations Benchmarking Survey III”

Supply Side Report Survey of Service Delivery Satisfaction Status

Final

Addis Ababa July, 2010

ACKNOWLEDGEMENT

The survey work was lead and coordinated by Berhanu Legesse (AFTPR, World Bank) and Ato Tesfaye Atire from Ministry of Capacity Building. The Supply side has been designed and analysis was produced by Dr. Alexander Wagner while the data was collected by Selam Development Consultants firm with quality control from Mr. Sebastian Jilke. The survey was sponsored through PSCAP’s multi‐donor trust fund facility financed by DFID and CIDA and managed by the World Bank. All stages of the survey work was evaluated and guided by a steering committee comprises of representatives from Ministry of Capacity Building, Central Statistical Agency, the World Bank, DFID, and CIDA.

Large thanks are due to the Regional Bureaus of Capacity Building and all PSCAP executing agencies as well as PSCAP Support Project team in the World Bank and in the participating donors for their inputs in the Production of this analysis. Without them, it would have been impossible to produce.

Table of Content

1 Executive Summary ...... 1 1.1 Key results by thematic areas...... 1 1.1.1 Local government finance ...... 2 1.1.2 Financial Management ...... 2 1.1.3 Tax administration...... 2 1.1.4 IT and technical support ...... 2 1.1.5 Human Resources ...... 2 1.1.6 Public information and empowerment ...... 3 1.1.7 Council work and accountability ...... 3 1.1.8 Service delivery functions ...... 4 1.2 Restrictions of WCBS III supply-side data collection ...... 4 2 The instrument WCBS ...... 5 2.1 History of WCBS...... 6 2.2 Elements of WCBS ...... 7 2.2.1 Supply-side ...... 7 2.2.2 Demand-side ...... 8 3 Methodology ...... 10 3.1 Sampling ...... 10 3.2 Survey Manual ...... 12 4 Key results of WCBS III ...... 13 4.1 General data on food security, remoteness and population ...... 13 4.1.1 Food security status ...... 13 4.1.2 Remoteness ...... 15 4.1.3 Population ...... 15 4.2 Local government finance ...... 16 4.2.1 Income ...... 16 4.2.1.1 City Governments ...... 17 4.2.1.2 Municipalities ...... 19 4.2.1.3 Woredas ...... 20

4.2.2 Expenditure ...... 21 4.2.2.1 City governments and municipalities ...... 21 4.2.2.2 Woredas ...... 23 4.3 Financial Management ...... 25 4.3.1 Strategic Planning and linkages to the budget ...... 25 4.3.2 Financial outlook ...... 27 4.3.3 Accounting, Auditing and Reporting ...... 28 4.3.3.1 Annual report ...... 28 4.3.3.2 Accounting system and practice ...... 30 4.3.3.3 Asset register...... 32 4.3.3.4 Audit reports ...... 35 4.4 Tax administration ...... 37 4.4.1 Tax identification numbers ...... 37 4.4.2 Review of local taxes and tariffs ...... 38 4.4.3 Tax payments, tax awareness, tax appeals and service performance ...... 38 4.5 IT and technical support ...... 42 4.5.1 Availability of computers and skills ...... 42 4.5.2 Access to networks ...... 43 4.6 Human Resources ...... 44 4.6.1 Recruitment ...... 47 4.6.2 Human resource management ...... 52 4.6.3 Training ...... 55 4.7 Public Information and Empowerment ...... 58 4.7.1 Access to information ...... 58 4.7.2 Participation of the community ...... 58 4.7.3 Cooperation with local community-based organisations ...... 63 4.8 Council Work and Accountability ...... 64 4.8.1 Councils and councillors ...... 64 4.8.2 Establishment of statutory committees ...... 66 4.8.3 Council and Audit ...... 67 4.9 General service provision ...... 67 4.10 Extension services ...... 70 4.10.1 Income from agriculture ...... 71 4.10.2 Woreda staff for extension services...... 72 4.10.3 Services provided for agriculture ...... 74 4.11 Solid waste...... 78

4.12 Land management ...... 80 4.13 Health services ...... 83 4.13.1 Services provided ...... 83 4.13.2 Cost of service, staff, recruitment ...... 85 4.14 Education ...... 86 4.15 Business licensing ...... 92 4.16 Water supply ...... 93 4.16.1 Service provision ...... 93 4.16.2 Management issues ...... 97 4.17 Policing ...... 97 4.18 Local courts ...... 102 5 Annex ...... 106 5.1 Sample ...... 106

Table of figures and graphs

Figure 1: The development of the WCBS over time (sample size) ...... 6 Figure 2: Elements of WCBS ...... 8 Figure 3: Jurisdictions covered in WCBS III ...... 10 Figure 4: Selection of woredas per region (314 in total) ...... 11 Figure 5: Selection of city governments and municipalities (69 in total) ...... 11 Figure 6: Food security status of surveyed jurisdictions in WCBS III ...... 14 Figure 7: Food security status of woredas and population ...... 14 Figure 8: Remoteness of surveyed jurisdictions in WCBS III ...... 15 Figure 9: Clustering of jurisdictions by population numbers ...... 16 Figure 10: Total actual income (absolute) of city governments in 1999, 2000 and 2001 ...... 18 Figure 11: Per capita actual income of city governments (mean) per regional states...... 19 Figure 12: Per capita actual income of municipalities (mean) ...... 20 Figure 13: Per capita actual income of woredas (mean) ...... 21 Figure 14: Capital expenditure composition of city governments (2001) ...... 22 Figure 15: Capital expenditure composition of woredas (2001) ...... 23 Figure 16: Actual income, recurrent expenditure and capital investment for city governments ...... 24 Figure 17: Linkage between strategic planning and annual budget (results for WCBS II) in woredas ...... 26 Figure 18: Linkage between strategic planning and annual budget (results for WCBS III) in woredas ...... 26 Figure 19: Linkage between strategic planning and annual budget in city governments ...... 27 Figure 20: Use of financial outlook in woredas ...... 28 Figure 21: Availability of an annual report in woredas ...... 29 Figure 22: Availability of an annual report in city governments ...... 29 Figure 23: Accounting system in use in woredas ...... 30 Figure 24: Bad credit and uncollected receivables in woredas ...... 31 Figure 25: Mean reconciliation periods in woredas ...... 31 Figure 26: Mean reconciliation periods in city governments ...... 32 Figure 27: Asset register in use (woredas) ...... 33 Figure 28: Asset register in use (city governments) ...... 33 Figure 29: Assets registered in asset registers in city governments ...... 34 Figure 30: Asset registered in asset registers of woredas ...... 34

Figure 31: Latest available internal audit report (survey in 2002) ...... 35 Figure 32: Latest available internal audit report (survey in 2000) ...... 36 Figure 33: Latest available external audit report (survey in 2002) ...... 36 Figure 34: Latest available external audit report (survey in 2000) ...... 37 Figure 35: Tax payer information in the perception of woreda officials ...... 39 Figure 36: Tax payer information in the perception of city government officials ...... 39 Figure 37: Tax awareness campaigns by type of jurisdiction (results of WCBS III) ...... 40 Figure 38: Tax awareness campaigns by type of jurisdiction (results of WCBS II) ...... 40 Figure 39: Service performance evaluation of tax administration (results for WCBS III)...... 41 Figure 40: Service performance evaluation of tax administration (results for WCBS II)...... 41 Figure 41: Computer requirement and availability in woredas ...... 42 Figure 42: Access to networks by type of jurisdiction ...... 43 Figure 43: Public sector employment per jurisdiction type and region ...... 44 Figure 44: Total staffing and vacancies per jurisdiction type ...... 45 Figure 45: Total staffing per 1,000 inhabitants and per jurisdiction type ...... 45 Figure 46: Average staff and vacancies of woredas ...... 46 Figure 47: Average staff and vacancies of city governments ...... 46 Figure 48: Recruitment problems in selected areas by type of jurisdiction...... 48 Figure 49: Recruitment problems in selected areas in woredas by region ...... 51 Figure 50: Use of human resource instruments by type of jurisdiction ...... 53 Figure 51: Termination of a contract due to corruption or misconduct ...... 54 Figure 52: Termination of a contract due to corruption or misconduct in woredas ...... 54 Figure 53: Termination of a contract due to corruption or misconduct in city governments ...... 55 Figure 54: Training topics in woredas (in days per regions) ...... 56 Figure 55: Training topics in city governments (in days per region) ...... 56 Figure 56: Relation between training and performance ...... 57 Figure 57: Use of participatory planning in woredas ...... 59 Figure 58: Use of participatory planning in city governments ...... 59 Figure 59: Partners in participatory planning ...... 60 Figure 60: Access to documents by type of jurisdiction ...... 61 Figure 61: Participation and actual influence on local government ...... 62 Figure 62: Training for community works and use of participatory planning ...... 62 Figure 63: Reliance on NGOs in service delivery and use of participatory planning ...... 63 Figure 64: Average number of councillors and female councillors in woredas ...... 64 Figure 65: Regularity of council meetings (at least 12 times a year) ...... 65 Figure 66: Follow-up mechanism for decisions ...... 65

Figure 67: Establishment of statutory committees ...... 66 Figure 68: Regularity of statutory meetings ...... 66 Figure 69: Adverse auditor's comment and council action ...... 67 Figure 70: General access to services ...... 68 Figure 71: Access to services in relation to remoteness of a jurisdiction ...... 68 Figure 72: Access to services in relation to remoteness of woredas ...... 69 Figure 73: Share of subsistence agriculture ...... 71 Figure 74: Agricultural income per household and year in Birr ...... 71 Figure 75: Share of agricultural staff to total woreda staff ...... 72 Figure 76: Salary expenditure for agriculture extension services of woredas ...... 72 Figure 77: Staff development in comparison to previous surveys ...... 73 Figure 78: Development agent numbers in comparison to previous surveys ...... 74 Figure 79: Services provided to farmers ...... 75 Figure 80: Services provided by food security status of woreda ...... 76 Figure 81: Most dominant problems in extension services in woredas ...... 78 Figure 82: Solid waste coverage in city governments (in per cent) ...... 79 Figure 83: Land management in woredas ...... 81 Figure 84: Accessibility of land allocation procedure and availability of land register ...... 82 Figure 85: Support programmes in land management by type of jurisdiction ...... 83 Figure 86: Availability of basic equipment by type of jurisdiction ...... 84 Figure 87: Key medical indicators ...... 85 Figure 88: Service provision for primary schools, average numbers of pupils and graduates...... 86 Figure 89: Service provision for kindergarten ...... 87 Figure 90: Service provision for preparatory schools ...... 88 Figure 91: Children attending school ...... 90 Figure 92: Business licenses issued ...... 92 Figure 93: Water provision ...... 93 Figure 94: Coverage for city governments and municipalities (N=76) ...... 95 Figure 95: Coverage for woredas (N=252)...... 95 Figure 96: Key problems in water supply (results for WCBS III) ...... 96 Figure 97: Key problems in water supply (results for WCBS II) ...... 96 Figure 98: Key problems by jurisdiction type (WCBS III) ...... 97 Figure 99: Strategies for policing ...... 98 Figure 100: Strategic partnering of police ...... 98 Figure 101: Complaint procedure by type of jurisdiction...... 99 Figure 102: Complaint procedure in woredas ...... 99

Figure 103: Complaint procedure in city governments ...... 100 Figure 104: Crime detection rates ...... 101 Figure 105: Preventive initiatives of police by type of jurisdiction ...... 102 Figure 106: Number of filed cases ...... 102 Figure 107: Number of resolved cases ...... 103 Figure 108: Response rates for filed and resolved cases (mean value = m, n1 = valid N, n2 = total) ...... 103 Figure 109: Measures to reduce direct and indirect costs of litigation ...... 104 Figure 110: List of jurisdictions included in WCBS III ...... 106 WCBS III Supply Side Report 1

1 Executive Summary

In 2010, the Woreda City Government Benchmarking Survey (WCBS III), which is in fact a monitoring and evaluation instrument of local government institutional capacity and service delivery, was conducted for the third time. The WCBS III comprised 384 jurisdictions, of which 315 were woredas, 20 municipalities and 69 city governments. The WCBS III consists of several instruments:

 supply side captured with a questionnaire addressing local jurisdictions, whereby chief executive officers and heads of desks are asked,  demand side captured with  a questionnaire-based citizen report card  open forums with key information and  open forums with focus group discussions.

The data was collected through two national consultancy firms, whereby one did all quantitative data collection (supply side questionnaire and citizen report card) and one all qualitative data collection (key informant interviews and focus group discussion). The third round included mostly jurisdictions which were not yet covered in WCBS I and II, whereby a small sample is covering those jurisdictions with demand-side information that were already surveyed during the WCBS II. The results of the demand-side are presented in separate reports. This report summarises the key results from the supply-side questionnaire. The data base in SPSS format is available under http://dl.dropbox.com/u/7492328/WCBS_III_SupplySide_Database.sav. The data base is ready-to-use for in- depth analysis of selected features and further correlations. This supply side report focuses on

 presentation of raw data by question as in the questionnaire,  presentations of comparisons with WCBS II results, where feasible, and  presentation of selected linkages (especially in relation to the key sampling criteria food security and remoteness)

1.1 Key results by thematic areas

It should be noted that WCBS is not a statistical collection effort, but tries to capture the institutional and managerial capacity of local administrations in delivering service. These services are supposed to improve through programmes and measures under PSCAP. Any information provided by the jurisdictions is thus a testimonial of local capacity and local institutional memory. The more deviations between other data, the less institutional capacity of local administrations has improved. Therefore, a possible variance between different data sets does not reduce reliability of WCBS results, but underlines the function of WCBS as an evaluation instrument for local capacity.

Report prepared by interpublic consultancy WCBS III Supply Side Report 2

1.1.1 Local government finance

The financial situation of local governments improved, however, there are large differences both in terms of jurisdiction types (woredas, city governments and municipalities), as well as per regions (city states, big regions and emerging regions). Disparities remain between city-states and the big regions, to a lesser extent also between the big regions and emerging regions. The institutional memory of woredas, city governments and municipalities is rather low. Many jurisdictions do have problems in reporting local government finance information for previous years, although the had reported these figures annually to the respective regional bureaus.

1.1.2 Financial Management

Financial management topics include strategic planning, financial outlooks, reporting, accounting practices and audit. Strategic plans are more and more used by all types of jurisdictions, although the linkage to the annual budget can be improved. Financial outlooks are prepared by two thirds of the jurisdictions. The accounting practices are improving, i.e. the preparation of annual reports, reconciliation with bank accounts, shift to accrual accounting, documentation of assets and their update. Audit reports are rather timely available, although there are some major differences. Compared to previous studies, the use of instruments has improved, and audit reports are more recent than two years ago. Asset management has improved, too, in terms of asset registers available. The content of asset registers could, however, be enhanced.

1.1.3 Tax administration

TIN distribution is rather low, with increasing numbers compared to WCBS II results. The total number, however, is still relatively low in relation to the growing economic activity. Jurisdictions were very positive about their efforts in explaining to citizen’s taxes, tax assessments and tax payments. Almost all jurisdictions claimed to have organised tax awareness campaigns. Most also said that they evaluated the service quality of tax administration, and there are more compared to WCBS II. The institutional knowledge on local taxes, fees and user charges is yet to be improved. Half of the jurisdictions claimed to have no local authority or discretionary powers in revising local taxes, fees and user charges.

1.1.4 IT and technical support

The availability of computers and skilled staff is distributed rather uneven, city governments owning more computers than municipalities and woredas. Correspondingly, staff in city governments received more training in computer use than those of municipalities and woredas. Most jurisdictions still claim they would need more computers to perform their tasks, ranging from rather balanced in Tigray to woredas in Afar, which claim to have less than half of the computers needed to perform their task. Access to networks (woreda net and school net) is limited, and city governments are much better off in the case of the school net, the variance being much lower in the case of the woreda net – with some major differences between the regions.

1.1.5 Human Resources

Despite staff turnover, recruitment problems, the staffing levels of all jurisdiction types are increasing or at

Report prepared by interpublic consultancy WCBS III Supply Side Report 3 least stable, compared to results from WCBS I and II. There are significant problems in recruitment, whereby woredas do have more problems than municipalities, and city governments have less problems in almost all areas. Larger problems are within the areas

 engineering  health  IT

There are considerable differences between the regions, while emerging regions tend to have fewer problems – or they perceive so – and Tigray mentioning larger problems. However, the results are different if the respective desks are answering. In the case of health, for example, the health desks see bigger problems in recruitment than the human resource department on a jurisdiction-wide level. Positive is the fact that most jurisdictions are rather familiar with human resource instruments. The results show that city governments perform slightly better in some areas. Training is mostly focused on central government policies and strategies and to a lesser extent to service management and technical expertise, which might be considered as a problem. Only a few jurisdictions stated that they ever terminated a contract to corruption. City governments did more often than woredas, and in the big regions a termination occurred more often than in the emerging regions.

1.1.6 Public information and empowerment

Almost all jurisdictions claim that they offer access to a variety of key documents such as budgets, annual report, strategic plans, and so on. The most prominent way of communication is public announcements and kebele meetings. More than 80% of all jurisdictions report that they use participatory planning, whereby participation is less in emerging regions, notably Afar. However, the participation does not necessarily result in changes. Roughly the half of jurisdictions told that a service or a capital investment project was changed due to participation. The local CBO and NGO are actively providing services in most of the jurisdiction, but there are differences according to the type of jurisdiction. Only 58,1% of woredas rely on these organisations in service delivery.

1.1.7 Council work and accountability

The regularity of council meetings is fair, almost 60-70% of jurisdiction types reporting to have regular meetings, but with high differences: The regularity was not given in Afar, rather low in Benishangul-Gumuz (one third only) and SNNP (more than half). Statutory committees were mostly formed, and if, there meetings seems to be rather regular (range between 80 and 83.7%). In general, municipalities report larger irregularities than city governments or woredas. The share of female councillors has risen, but there are still some regions with relatively low shares, ranging from lowest in Gambela (below 10%) to above 50% (in Tigray).

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1.1.8 Service delivery functions

The supply-side questionnaire seeks specific information on the following areas, which were partially also content of the demand side instruments:

 extension services (woredas only)  solid waste collection (city governments only)  land management  health services  education  business licensing  water supply  policing  local courts

The results for the various service areas can be read in the distinctive sections of this report.

1.2 Restrictions of WCBS III supply-side data collection

Some major restrictions and problems should be noted first:

 The WCBS I and II were based on MS Access data bases, while the WCBS III results were available in SPSS, too. The availability of SPSS data sets for a survey of that size (the supply-side questionnaire counts more than 1150 variables in 314 cases) is a major step forward in allowing meaningful interpretation of the data collected.  The WCBS I and II data sets are only partially comparable to WCBS III results for a number of reasons. First, the supply-side questionnaire underwent a revision and enhancement for the third round, making comparisons with previous data sets for a range of questions impossible. Second, the intention of the third round was to increase the number of jurisdictions surveyed. Therefore, preference was given to new jurisdictions that did not take part in the previous rounds. In consequence, the amount of jurisdictions covered in all survey rounds is rather small.  The timing of the data collection shortly before elections in Ethiopia proved to be problematic. A number of jurisdictions did not report data, especially financial information, which is mostly important for the documentation of trends. In addition, response rates for selected issues were extremely small, especially in sensible areas such as land management.  Data quality is a constant problem in any survey instrument of the size of WCBS III and WCBS II. The use of SPSS, however, has allowed better data cleaning. The supply-side data base provides sufficient valid answers for all key questions. Only in case of municipalities – due to the small sample of twenty – no national interpretation should be made, and for some selected sub-questions response rates were rather low. These problems are specifically mentioned in this report and do not reduce the overall reliability of the results. The data presented here is the knowledge and perception of the jurisdictions themselves. It should be noted that the institutional memory of sub-regional jurisdictions is a larger problem than the data cleaning problems.

Report prepared by interpublic consultancy WCBS III Supply Side Report 5

2 The instrument WCBS

Ethiopia has seen major changes in its political regime and its state structure in the last fifty years. Since 1991 (new constitution passed in 1995), Ethiopia is a federal republic with eleven federal states, of which three are city-states:

 Amhara  Tigray  Oromia  Southern Nations, Nationalities and People’s Regional State  Benishangul Gumuz  Gambella  Afar  Somali  Addis Abeba  Dire Dawa  Harar

The last three federal states are city-states. The first four federal states are the largest states and represent also the most dominant ethnic groups in Ethiopia. The next four federal states, Benishangul Gumuz, Gambella, Afar and Somali are less developed regions. The regions are further divided into woredas – which are rural communities and include various villages and emerging towns – and municipalities. Municipalities are chartered local governments and have elements of local self-governance. Some of the municipalities – about one hundred – also perform the functions assigned to woredas – health, education and extension services. These municipalities are labelled city governments. In 2005, the Institutional and Governance Review of Ethiopia, a working group of the Government of Ethiopia and international donors headed by the World Bank to discuss and co-ordinate activities under the PSCAP initiative, announced a study to be prepared on the effects of the PSCAP activities on the local level. The German gtz agreed to fund this study. The WCBS is a core Monitoring and Evaluation (M&E) instrument of Ethiopia’s Public Sector Capacity Building Program (PSCAP). As per agreement of the Government of Ethiopia (GOE) with Bilateral and Multilateral Donors, four rounds of the WCBS are planned for conduct during the project lifetime of the PSCAP. By way of benchmarking exercises, WCBS data are meant to provide, vis a vis activities of PSCAP, a systematic, empirical and representative assessment of

 the capacities of woreda and city administrations/municipal entities in the management of their financial and human resources,  involvement and participation of communities in planning, budgeting and review processes, and  Performance for some selected public services.

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2.1 History of WCBS

Since 2005, three rounds of the performance measurement assessment tool – the Woreda City Benchmarking Survey (WCBS) have taken place. The first round was supported by gtz and covered just 48 woredas and 32 municipalities and may be regarded as a first pilot. The second round, funded by CIDA and DFID under a World Bank trust, already covered 291 jurisdictions, and the third round in 2010 covered 318 jurisdictions. After the third round, there are roughly only one hundred jurisdictions remaining that have never taken part in the WCBS.

Figure 1: The development of the WCBS over time (sample size)

450

400

350 69

300 52 250

200

150 315 239 100 32 50 48 0 first round second round third round

woredas city governments and municipalities

The first Woreda City Government Benchmarking Study was prepared in 2005. The starting point of the survey was a rather small set of selected woredas and municipalities in the so-called “four big regions”. These four big regions are considered as the main actors in federalism in Ethiopia and represent the largest populations, which are

 Amhara  Oromia  Southern Nations, Nationalities and Peoples' Regional State and  Tigray

The second round included – in addition to the above mentioned regions – all other federal states of Ethiopia:

 Afar

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 Benishangul Gumuz  Gambella  Somali  Addis Abeba  Dire Dawa  Harar

Since the second round, the WCBS covers all federal states of Ethiopia. In total, 602 woredas have been surveyed during the last three rounds, and 153 city governments and municipalities. In the first round, the share of city governments and municipalities was much larger, and since the second round, the selection of city governments and municipalities was revised to reflect better the rural situation.

2.2 Elements of WCBS

The survey instrument is based on a questionnaire to collect the views of the administration itself (supply- side), and on a questionnaire and open discussions to collect the views and perceptions of citizens (demand-side).

2.2.1 Supply-side

The WCBS is based on a questionnaire which is addressed to various representatives of the local administration and - since the third round - also to local offices of regional administration such as police and local courts. The supply side is seeking information on the following issues:

 General information  Local Government Finance  Financial Management  Tax administration  IT and technical support  Human Resources  Public information and empowerment  Council work and accountability  General service provision  Service Delivery: Extension services  Service Delivery: Solid waste collection  Service Delivery: Land management  Service delivery: Health  Service Delivery: Education  Service Delivery: Business licensing  Service Delivery: Water Supply  Policing  Local courts

Report prepared by interpublic consultancy WCBS III Supply Side Report 8

The supply side questionnaire was revised for the third round of WCBS III. Two new sections were added, which seek to collect information on service delivery beyond the scope of responsibilities of local government, policing and local courts. Further, a review of the WCBS I and II, and a previous quality report on WCBS II results suggested several changes which were reflected in the supply side questionnaire for the third round. The changes and additions, however, reduce the opportunity to create time lines. The overall expression of interest of involved stakeholders was to cover as many jurisdictions as possible over the three different rounds. This is the reason, why the number of consecutively covered jurisdictions from WCBS I to III is rather low. Since 2005, a number of woredas was newly created to comply with population growth, and a number were amalgamated. For the third round it was agreed to focus on city governments and woredas, resulting in a rather low number of municipalities included in the survey. The small total number - twenty over all regions - does not allow to make any valid representative interpretation of results.

2.2.2 Demand-side

Since the second round, the WCBS has been enhanced by using three different instruments, the

 citizen report card,  key informant interviews, and  focus group discussions.

Figure 2: Elements of WCBS

supply side demand side

name supply side Citizen Report Card Focus Group Key Informant questionnaire (CRC) Discussions (FGD) Interviews (KII)

type of data questionnaire questionnaire moderated group moderated group collection discussion discussion

target group administration households selected selected key civil representatives of society groups various areas

usage first round second round second round second round second round third round third round third round third round

sampling food security and sub sample of supply sub sample of CRC sub sample of CRC remoteness in the side first two rounds random selection in third round

The 2008 WBCS II extended the coverage and scope of WCBS I and added a demand side to the analysis in terms of collecting data on citizens’ perceptions regarding the performance and service delivery of Woredas and Cities. Specifically, the demand side component aims to collect and analyse the views, opinions and perceptions of citizens with regard to governance and service delivery at the local

Report prepared by interpublic consultancy WCBS III Supply Side Report 9 administrations level. It is important that policy makers, executives and civil servants take this information on board to review policy and strengthen service delivery. Citizen’s perspectives are also required to validate and place supply-side findings (from local officials) into context.

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3 Methodology

3.1 Sampling

The WCBS III sampling was based on similar considerations as for the previous rounds. In WCBS I, a selection was made based on food-secure and insecure woredas, as well as remote and non-remote woredas. There were no further criteria for selecting city governments and municipalities. The same approach was taken for WCBS II and III. See the annex for the sampling approach.

Figure 3: Jurisdictions covered in WCBS III

Tigray 6 22

Somali 1 4 21

SNNP 7 3 62

Oromia 18 8 120

Harar 1

Gambela 7

Dire Dawa 1

Benishangul-Gumuz 1 12

Amhara 8 4 55

Afar 16

Addis Abeba 6

0 20 40 60 80 100 120 140

city government municipality woreda

The next figure shows the regional distribution of woredas

Report prepared by interpublic consultancy WCBS III Supply Side Report 11

Figure 4: Selection of woredas per region (314 in total)

Some larger changes were made for city governments and municipalities. First, focus was on city governments. Second, municipalities with less than 20,000 inhabitants were excluded to reduce the heterogeneous sample of city governments and municipalities of WCBS II.

Figure 5: Selection of city governments and municipalities (69 in total)

For the analysis, a distinction was made between city governments and municipalities as they do perform different tasks and have different problems. However, due to the small sample of municipalities left (20),

Report prepared by interpublic consultancy WCBS III Supply Side Report 12 no nation-wide interpretation of results for municipalities is possible.

3.2 Survey Manual

A survey manual and training was provided to enumerators to reduce risks of data collection errors. The survey manual explains each of the questions and gives information for enumerators under which situation what result should be noted. The survey manual was presented to the enumerators in a training workshop to ensure common understanding of questions. In addition, the survey manual provided information and guidance for data entry and cleaning.

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4 Key results of WCBS III

The following sections shortly describe the key results of WCBS III, whereby the level of analysis is by jurisdiction type

 city governments  municipalities  woredas and by the regions. When possible, comparisons with the previous rounds of WCBS I and II have been made, and in addition, results of similar surveys in the past have been used to validate results of WCBS III. It should be noted that WCBS III is not a statistical survey – WCBS captures the knowledge and institutional capacity as well as the perception of officials concerning service delivery. Overall,

 woredas and city governments show promising results,  while municipalities should consistently lower results than woredas and city governments (although the sample is rather small)  compliance with procedures and instruments is improving, but service delivery is still a challenge.

4.1 General data on food security, remoteness and population

4.1.1 Food security status

The actual results from the supply side showed the following result in terms of food secure and food insecure jurisdictions:

Report prepared by interpublic consultancy WCBS III Supply Side Report 14

Figure 6: Food security status of surveyed jurisdictions in WCBS III

food insecure 13 7 190

food secure 36 13 125

0 50 100 150 200 250 city governments municipalities woredas

Figure 7: Food security status of woredas and population

There are significantly more food insecure woredas with a population between 75,000 and 150,000 (see

Report prepared by interpublic consultancy WCBS III Supply Side Report 15 figure) than expected.

4.1.2 Remoteness

The following figure shows the remoteness, expressed in kilometres to the next all-weather road, whereby a distance of up to 10km is regarded as non-remote, between 10 and 25km as remote and jurisdictions located to the next all-weather road of more than 25km as extremely remote.

Figure 8: Remoteness of surveyed jurisdictions in WCBS III

extremely remote 29 45

remote 8 4

non remote 137 161

0 50 100 150 200 250 300 food secure food insecure

It is evident that the amount of extremely remote and remote jurisdictions has decreased, and this is in effect a result of large-scale road construction projects that improved the accessibility of a larger number of jurisdictions.

4.1.3 Population

There is a large variety in terms of population (see next figure). For all types of jurisdictions, there are jurisdictions smaller than 25,000 inhabitants and larger than 300,000 inhabitants. This not only holds true for woredas, but also for city governments and municipalities.

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Figure 9: Clustering of jurisdictions by population numbers

Woredas 18 44 50 55 79 44 19 3

Municipalities 4 7 3 3 1 1 1

City Governments 3 16 3 6 6 4 9 2

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

up to 25,000 25,000 to 50,000 50,000 to 75,000 75,000 to 100,000 100,000 to 150,000 150,000 to 200,000 200,000 to 300,000 more than 300,000

4.2 Local government finance

The questions on local government finance address the fiscal status and development of local government in Ethiopia. Questions in this section deal with

 budgeted income from 1999 to 2001  actual income from 1999 to 2001  revenues from 1999 to 2001  number of tax payers  availability of revenue enhancement plans  planned expenditure from 1999 to 2001  recurrent expenditure from 1999 to 2001  actual expenditure from 1999 to 2001

4.2.1 Income

The institutional memory of most jurisdictions in Ethiopia is rather low. Many jurisdictions had problems n reporting financial information, especially for previous fiscal years. Although these jurisdictions have reported their financial information to the respective regional bureaus, most of the jurisdiction fail in presenting a history in local government finance. However, WCBS III and the previous rounds were not meant to monitor the financial information delivered to the regional bureaus, where this kind of information is available and ready to use. WCBS in principle is an instrument to monitor the local output and outcome of reform programmes relating to PSCAP.

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Concerning financial information, the institutional capacity of jurisdictions needs to be improved. Major restrictions for properly re-reporting financial information to the data collectors might have been the time of data collection prior to national elections. Disregarding jurisdictions with notably low rates of responses, between 1999 and 2001 budgeted income grew significantly in city governments and woredas while remaining relatively stable in municipalities. However, growth factors of 6 and higher again indicate an disproportionate impact of the low number of valid responses. Particularly city states display high growth rates for budgeted income, while budget growth in emerging regions ranges from stable to modest. Depending on jurisdiction type, other regions feature large disparities and variations, with highest growth rates in city governments, relatively lower yet still high growth rates in woredas (between 20% and 60%) and lowest growth in municipalities. Actual income for city states grew between 26% (Harrari) and 68% (Addis Ababa) from 1999 to 2001, which roughly corresponds with similarly low growth rates in other city governments. Income in most emerging regions stagnated with the exception of Afar, where actual income almost tripled over 1999, 2000 and 2001. Particularly high growth rates of actual income were reported from jurisdictions in Oromia (180% for city governments, 92% for municipalities and 79% for woredas). Contrasting municipalities against woredas, the latter consistently yielded higher growth rates of actual income. Regarding the composition and different forms of income, the largest proportion particularly of grants (recurrent, capital, external, etc.) is concentrated on Oromia and Amhara with a growing tendency from 1999 to 2001 (accounting for up to 48,5% of total grants), with the exception of SNNP in terms of specific purpose grants and household credit package (80%). Concerning own sources of revenue – local taxes, administrative fees, user charges, and revenue from commercial activities – seem to undergo a dramatic change. Various studies have reported the relative importance of local taxes of local government revenue composition in the past, usually land tax accounting for about 60% of local government total revenue for city governments some five to six years ago. Today, user charges and fees play a much more important role than revenues from local taxes. Although there is limited data and huge differences (the average value is as high as 73%, the mean value only 47%), it is obvious that income from local taxes has decreased.

4.2.1.1 City Governments

As indicated above, data is available for the overall income only. All subsequent breakdowns have been collected only for a very small number and do not allow a meaningful statistical interpretation.

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Figure 10: Total actual income (absolute) of city governments in 1999, 2000 and 2001

Wukro City Mekele City Endeselassie City Kebri B eyah City Wolkitie city Dilla city Areka Woliso Nekemte City Metu City Administration Goba City Dodola City Burayu city Batu City Arsi Negele Agaro Harar City Dire Dawa Gonder City Dessie City Debark Bahir Dar Nafas Silk Lafto Sub City Bole Sub City Akaki Kality Sub City

0 50000000 100000000 150000000 200000000 250000000 300000000 350000000 400000000

1999 2000 2001

WCBS III Supply Side Report 19

The graph shows the data as reported.

Figure 11: Per capita actual income of city governments (mean) per regional states

410,09 Tigray 302,01 209,73

Somali

234,34 SNNP 192,27 177,6 456,97 Oromia 211,5 160,71 638,32 Harar 605,9 475,85 34,06 Gambela 28,16 33,58 3782,82 Dire Dawa 3821,47 3000,48 619,98 Amhara 250,11 225 1074,26 Addis Abeba 892,01 549,69

0 500 1000 1500 2000 2500 3000 3500 4000 4500

1999 2000 2001

The figure shows the large differences of actual income in the last three years. It is very positive that there is a trend towards more income per capita (population figures as reported from jurisdictions, data used for all three years).

4.2.1.2 Municipalities

The total number of municipalities included in the WCBS is only 20. The main reason was to focus on city governments (which have the status of reforming towns). Thus, the total amount of municipalities included in the overall sample is rather small, and it is too small to give an impression on the general situation of municipalities.

Report prepared by interpublic consultancy WCBS III Supply Side Report 20

Figure 12: Per capita actual income of municipalities (mean)

107,34 Somali 176,33 178,28

173,56 SNNP 110,14 163,17

127,53 Oromia 89,52 66,4

Benishangul-Gumuz

114,42 Amhara 127,68 95,38

0 20 40 60 80 100 120 140 160 180 200

actual income 1999 actual income 2000 actual income 2001

4.2.1.3 Woredas

The following figure shows the mean actual income of woredas in relation to the population as reported by woredas. What is evident is the fact that the differences are far less than compared to city governments; however, differences are also rather significant.

Report prepared by interpublic consultancy WCBS III Supply Side Report 21

Figure 13: Per capita actual income of woredas (mean)

180,47 Tigray 205,02 107,36 134,36 Somali 99,6 62,17 134,11 SNNP 103,26 96,37 131,4 Oromia 104,52 73,24 243,87 Gambela 247,29 252,79 153,65 Benishangul-Gumuz 130,82 125,62 207,61 Amhara 181,78 112,32 270,02 Afar 140,83 98,9

0 50 100 150 200 250 300 actual income 1999 actual income 2000 actual income 2001

The positive trend is the growth of income over the last three years, but there are also declines in Tigray and Gambela, whereby woredas in Gambella have a per capita actual income compared to all other regions. The income of woredas is apparently not dependent on the location, i.e. whether a woreda is located in an emerging region or one of the four big regions.

4.2.2 Expenditure

4.2.2.1 City governments and municipalities

Within the group of city governments, the planned recurrent expenditure has been rising consistently between 1999 and 2001 in the states of Addis Ababa, Amhara, Dire Dawa, and Oromia. In Tigray and Somali, the planned recurrent expenditure for 2001 is lower than for 1999. In Gambela, there was a rise between 1999 and 2000, but then a fall in 2001. No results were given by Harrari. Among the group of municipalities, the planned recurrent expenditure for the respective period has been consistently rising in Amhara, Oromia, and Somali. In SNNP, the planned expenditures for 2001 are lower than for 1999. No information was given by the municipality of Benishangul-Gumuz. In almost all regions, except for Benishangul-Gumuz, the planned recurrent expenditures of woredas are higher for 2001 than for 1999. The trend of the planned recurrent expenditures for state functions differs among the city governments for the years of 1999, 2000, and 2001. A consistent rise of the planned expenditure can be noticed in the regions of Addis Ababa and Dire Dawa. In Amhara and Oromia, the planned expenditures for state functions rose between 1999 and 2000, but shrunk between 2000 and 2001. In Gambela, SNNP, and Tigray,

Report prepared by interpublic consultancy WCBS III Supply Side Report 22 the planned expenditures shrink between 1999 and 2000, but rise between 2000 and 2001. No information is presented by Harrari. An evaluation of the trend among municipalities is not possible, since the number of valid cases is below 50%. Within the group of woredas, a consistent rise can be noticed in Afar, SNNP and Somali. Shrinkage between 1999 and 2000, but a rise between 2000 and 2001 is found in Benishangul- Gumuz, Gambela and Tigray. The opposite trend with shrinkage between 2000 and 2001, following a rise between 1999 and 2000, is experienced in Amhara. Questionable information is given by Oromia, where the planned expenditures for 2001 are extraordinary higher than for 2000. Considering the planned capital investment among the city governments, a high fluctuation between the different regions can be experienced.

Figure 14: Capital expenditure composition of city governments (2001)

The composition of expenditures across all city governments surveyed gives an insight only in which areas most city governments invest. It should be noted that the number of valid cases per expenditure item varies considerably. Among the most prominent capital expenditures mentioned, there are local roads and expenditures for agriculture. This is rather astonishing, as city governments have more prominent roles in service delivery in other areas such as water supply, sewerage, storm water and so on next to the state functions education and health. Municipalities invest more in sewerage, storm water drainage and water supply compared to city governments and woredas. In other areas, their expenditure in capital investments is similar to woredas.

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4.2.2.2 Woredas

The financial information provided by woredas shows that there are still problems with the accurate bookkeeping and financial statements. 48 out of 314 woredas stated that their actual income in 2001 was exactly the amount of their actual expenditures in that year, which is possible, however, very unlikely. More realistic is the fact that woredas “correct” their financial information at the end of the year. The capital expenditures of woredas (see next figure) is rather similar except for lower expenditures for IT and vehicles – which is not astonishing – and lower expenditure in state functions health, education and agriculture. The investment in water supply in rural areas is promising, although data from CRC and FGD suggests that citizens rate water supply services much worse than three years ago. However, there is investment at least in woredas. City governments do not invest much in water supply according to the data reported.

Figure 15: Capital expenditure composition of woredas (2001)

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Figure 16: Actual income, recurrent expenditure and capital investment for city governments

Wukro City Tsegede Mekele City Maichew Endeselassie City Adwa Kebri Beyah City Yirga Cheffe City Government Wolkitie city Hawassa Dilla city Butajira City Areka Alaba Kulito City Woliso Shashamene City Nekemte City Negele City Metu City Administration Holeta Goba City Fiche Dodola City Dembi Dolo Burayu city Bedele City Administration Batu City Assela Arsi Negele Ambo City Agaro Adama Harar City Gambella City Dire Dawa Woreta city Gonder City Goncha Kolala Dessie City Debre Markos Debark Chagni Bahir Dar Yeka-Sub City Nafas Silk Lafto Sub City Kirkos Sub city Bole Sub City Arada Sub-city Akaki Kality Sub City 0 500 1000 1500 2000 2500 3000 3500 4000

actual income recurrent expenditure capital investment

WCBS III Supply Side Report 25

4.3 Financial Management

The questions on financial management address the institutional capacity of local government in Ethiopia. Questions in this section deal with

 strategic planning  financial outlook  annual report  accrual accounting  reconciliation of fiscal and bank records  bad credits and uncollected receivables,  asset register,  backlogs, and  audit reports.

4.3.1 Strategic Planning and linkages to the budget

Strategic plans are used by all types of jurisdictions. 94% of woredas, 95.9 of city governments and 80% of municipalities do prepare a strategic plan. Woredas in Afar (81.3%) and Somali (66.7%) show significantly lower results. One out of six sub-cities in Addis Abeba reports also not to prepare a strategic plan, while all other city governments in all the regions have prepared a strategic plan. While the existence of a strategic plan is an objective itself, the more important question is whether the strategic plan is linked with the budget. The question asks, if, and how many capital investment projects shown in the strategic plan can be found in the annual budget. 34,7% of all city governments report that all capital investments mentioned in the strategic plan can be found in the budget, 44.9% say "most" of the capital investments, and only 16.3% say "few" and 4.1% say that there is no link between the strategic plan and the budget. Results for municipalities are less valid, but showing less promising results: Only 20% say that all capital investments are mentioned, half of municipalities say "most", and another six municipalities report that there are only a few capital investments mentioned or even no link between the plan and the budget. Woredas report full compliance in 27.3% of the cases, and 42.9% say most of the capital investments are mentioned in the budget, while 19.7% say only a few and even 10.2% report that there is no link. Woredas in Oromiya are most successful (44 woredas), while woredas in Amhara (6) and SNNP (11) and Somali (6) show problems in linking planning with budgeting. The following two figures show the result for this question in comparison with the WCBS II. While there should be no interpretation for regions that had a small sample only during WCBS II (which include all emerging regions), it becomes evident that there seems to be less linkages between strategic plans and annual budgets than there was a few years ago.

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Figure 17: Linkage between strategic planning and annual budget (results for WCBS II) in woredas

Tigray 31% 31% 31% 8%

Somali 14% 0% 64% 21%

SNNP 15% 30% 51% 4%

Oromia 25% 43% 19% 13%

Gambela 0% 100% 0%

Benishangul-Gumuz 0% 50% 50%

Amhara 31% 48% 20% 0%

Afar 20% 20% 60% 0%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

All capital investments Most capital investments Only a few capital invest- No link mentioned in the strategic mentioned in the strategic ments mentioned in the plan can be found in the plan can be found in the strategic plan can be found budget budget in the budget

Figure 18: Linkage between strategic planning and annual budget (results for WCBS III) in woredas

Tigray 0% 27% 45% 27%

Somali 29% 38% 19% 14%

SNNP 18% 18% 47% 18%

Oromia 5% 37% 41% 18%

Gambela 14% 14% 29% 43%

Benishangul-Gumuz 0% 17% 25% 58%

Amhara 11% 25% 51% 13%

Afar 13% 0% 63% 25%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

All capital investments Most capital investments Only a few capital invest- No link mentioned in the strategic mentioned in the strategic ments mentioned in the plan can be found in the plan can be found in the strategic plan can be found budget budget in the budget

Report prepared by interpublic consultancy WCBS III Supply Side Report 27

The situation in city governments is different. Here, relatively larger shares of city governments have sufficient linkages between the strategic plan and the annual budget. However, it should be reminded that the total number of city governments in the sample was 49 (plus twenty municipalities, which are not included in the following figure), and that the sample size was just one for Gambela, Somali, Harrar and Dire Dawa.

Figure 19: Linkage between strategic planning and annual budget in city governments

Tigray 33% 50% 17%

Somali 100%

SNNP 29% 43% 29%

Oromia 28% 56% 17%

Harar 100%

Gambela 100%

Dire Dawa 100%

Amhara 50% 38% 13%

Addis Abeba 33% 50% 17%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

All capital investments Most capital invest- Only a few capital in- No link mentioned in the stra- ments mentioned in the vestments mentioned in tegic plan can be found strategic plan can be the strategic plan can in the budget found in the budget be found in the budget

4.3.2 Financial outlook

Woredas, city governments and municipalities should have a multi-year financial outlook based on expenditure and revenue forecasts. 65% of municipalities, 85.7% of city governments and 74,2% of woredas report that they have a multi-year financial outlook. Very successful are woredas in Tigray (95.5%), Oromiya (84.2%) and Amhara (83.3%). Least successful are woredas in the emerging regions such as Afar, where 81,3% do not have a multi-year financial outlook, in Benishangul-Gumuz 66,7%, Gambella 57.1% and Somali 52.4%. City governments have more often outlooks than woredas and municipalities, but while all city governments do have an outlook, none of the city governments in Gambella and Somali do (the sample included one city governments only in each of the two regions).

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Figure 20: Use of financial outlook in woredas

Tigray 4,5% 95,5%

Somali 52,4% 47,6%

SNNP 25,8% 74,2%

Oromia 15,8% 84,2%

Gambela 57,1% 42,9%

Benishangul-Gumuz 66,7% 33,3%

Amhara 16,7% 83,3%

Afar 81,3% 18,8%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

There is no comparison to WCBS II.

4.3.3 Accounting, Auditing and Reporting

The section of accounting, auditing and reporting collects information on

 availability of annual report  accounting system in use and specific practices in accounting such as backlogs, uncollected receivables and reconciliation  asset register availability and updates, content of asset register and  availability of internal and external audit reports.

4.3.3.1 Annual report

An annual report is being prepared by almost all jurisdictions, which is made public to the community and the local council. Woredas in Benishangul-Gumuz and Gambela report full compliance, 98.2% in Amhara, 75% in Afar, 98,3 in Oromiya, 96.8% in SNNP and 95.5% in Tigray.

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Figure 21: Availability of an annual report in woredas

Tigray 4,5% 95,5%

Somali 14,3% 85,7%

SNNP 3,2% 96,8%

Oromia 1,7% 98,3%

Gambela 100,0%

Benishangul-Gumuz 100,0%

Amhara 1,8% 98,2%

Afar 25,0% 75,0%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

City governments perform better – but sample size is much smaller (see figure above). Municipalities in Somali perform much worse, only one out of four preparing an annual report, and one out of the six sub- cities in Addis Abeba failed (no figure). Overall, however, the reporting shows very high positive results.

Figure 22: Availability of an annual report in city governments

Tigray 100%

Somali 100%

SNNP 14% 86%

Oromia 100%

Harrari 100%

Gambela 100%

Dire Dawa 100%

Amhara 100%

Addis Ababa 17% 83%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% No Yes

4.3.3.2 Accounting system and practice

Another question is seeking information on the type of accounting being used by the sub-national government. 85.7% of the 49 city governments responding report that they already use double entry accounting, and even 86.7% of woredas and 60% of municipalities. This result is astonishing, as there are many local governments that do not have an asset register, which is a prerequisite for accrual accounting. Asset registers are an important step towards accrual accounting and are valuable documents for local

Report prepared by interpublic consultancy WCBS III Supply Side Report 30 government to know its assets and associated costs.

Figure 23: Accounting system in use in woredas

1 21 Tigray 5% 95%

14 7 Somali 67% 33%

14 48 SNNP 23% 77%

4 116 Oromia 3% 97%

5 2 Gambela 71% 29%

12 Benishangul-Gumuz 100%

4 51 Amhara 7% 93%

16 Afar 100%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

Rather astonishing is the fact that woreda officials reported to have accrual accounting established in all woredas in Afar and Benishangul-Gumuz surveyed.

Figure 24: Bad credit and uncollected receivables in woredas

3 19 Tigray 14% 86%

14 7 Somali 67% 33%

21 41 SNNP 34% 66%

51 69 Oromia 43% 58%

7 Gambela 100%

4 8 Benishangul-Gumuz 33% 67%

25 30 Amhara 45% 55%

8 8 Afar 50% 50%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

67.3% of city governments report to have bad credits or uncollected receivables, 55% of municipalities and 60% of woredas. Woredas in Gambela report that they all have (seven out of seven), and Tigray's woredas (86.4%) show bad credits or uncollected receivables, down to a mere 33.3% in Somali and 50% in Afar. City governments in SNNP have the best result, only 42.9% reporting to have bad credits or uncollected

Report prepared by interpublic consultancy WCBS III Supply Side Report 31 receivables, and similarly, city governments in Gambela, Tigray, and Amhara showing bad credits or uncollected receivables. Reconciliation processes are acceptable, ranging from every day (in Dire Dawa) to annual reconciliation in a woreda in Somali. On average reconciliation periods do not exceed 51 days (woredas in SNNP) and is mainly done monthly in most of the jurisdictions throughout the country.

Figure 25: Mean reconciliation periods in woredas

Tigray 29

Somali 25

SNNP 51

Oromia 26

Gambela 30

Benishangul-Gumuz 30

Amhara 27

Afar 30

0 10 20 30 40 50 60 reconciliation period in days

Figure 26: Mean reconciliation periods in city governments

Tigray 30

Somali

SNNP 28

Oromia 23

Harrari 2

Gambela 30

Dire Dawa 1

Amhara 30

Addis Ababa 26

0 5 10 15 20 25 30 35 reconciliation period in days

The reconciliation periods are longer in city governments than they are in woredas, however, the maximum period is 30 days, indicating, that the reconciliation of bank accounts and ledgers is being prepared monthly. City states reconcile more often, this is the case in Harar and Dire Dawa, but not in sub-cities of Addis Abeba.

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4.3.3.3 Asset register

83.7% of city governments report to have asset registers which are periodically updated, 75% of municipalities and 75.2% of woredas, the latter ranging from only 18.8% in Afar to 100% in Gambela. Somali reports 66.7%, Oromiya 70.8%, Amhara 72.7%, and the woredas in the other regions report figures above 90%.

Figure 27: Asset register in use (woredas)

National 25% 75%

Tigray 5% 95%

Somali 33% 67%

SNNP 8% 92%

Oromia 29% 71% Yes No Gambela 100%

Benishangul-Gumuz 17% 83%

Amhara 27% 73%

Afar 81% 19%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Report prepared by interpublic consultancy WCBS III Supply Side Report 33

Figure 28: Asset register in use (city governments)

National 16% 84%

Tigray 100%

Somali 100%

SNNP 14% 86%

Oromia 17% 83% Yes Harrar 100% No

Gambela 100%

Dire Dawa 100%

Amhara 25% 75%

Addis Abeba 17% 83%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

What becomes evident from the two figures above is the fact that city governments have more often an asset register that is periodically updated than woredas. However, there are large differences between the regions. Jurisdictions in emerging regions perform worse than those in the big regions. It should be noted that the sample included in the case of city governments just one case each for Harrar, Dire Dawa and Gambela. Another question was asking what types of assets are registered in the asset register. Most commonly, vehicles, furniture and computers are registered. City governments have more extensive registers than woredas and municipalities. Most common other assets registered are water pipes and roads. Given the relatively large share of jurisdictions already having an asset register, only the scope of assets to be registered needs to be improved, especially for capital intensive assets such as buildings.

Report prepared by interpublic consultancy WCBS III Supply Side Report 34

Figure 29: Assets registered in asset registers in city governments

Computers

Furniture

Roads

Vehicles

Water pipes

Sewerage

Stormwater and Drainage

Slaughter House

0 5 10 15 20 25 30 35 40 45 Addis Ababa Amhara Dire Dawa Gambela Harrari Oromia SNNP Tigray

Figure 30: Asset registered in asset registers of woredas

Computers

Furniture

Roads

Vehicles

Water pipes

Sewerage

Stormwater and Drainage

Slaughter House

0 50 100 150 200 250 300 Afar Amhara Benishangul-Gumuz Gambela Oromia SNNP Somali Tigray

4.3.3.4 Audit reports

Internal audit reports are being prepared by a large number of jurisdictions: 75.5% of city governments, but only 55% of municipalities, and 76.2% of woredas report to prepare internal audit reports. Tigray's woredas report a high 95.5%, lowest in Somali with 42.9%. Lowest results for city governments can be found in Amhara (only half) and SNNP (57.1%).

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The latest internal audit report is most commonly the year 2001 (Ethiopian fiscal year). Woredas more often already have an internal audit report of 2002, while there only few woredas and city governments reporting that the latest internal audit report is of 2001 or even earlier. The oldest latest internal audit report was reported to be from 1997, indicating six years of missing internal audit.

Figure 31: Latest available internal audit report (survey in 2002)

1 2002 1 34 9 2001 28 179 3 2000 10 42 0 1999 0 8 0 1997 0 1

0 20 40 60 80 100 120 140 160 180 200 woredas city governments municipalities

Figure 32: Latest available internal audit report (survey in 2000)

3 2000 5 30 5 1999 23 142 1 1998 5 15 0 1997 0 2 0 1996 0 4 0 1995 0 1 1 1993 0 0

0 20 40 60 80 100 120 140 160 Woreda City Governments Municipalities

In comparison with WCBS II, there are more recent internal audit reports available. This holds true for all jurisdiction types. A similar picture is true for the latest external audit. While woredas more often do not have an internal or external audit report younger than three years, woredas in general do more often already have audit reports for the previous fiscal year.

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Figure 33: Latest available external audit report (survey in 2002)

1 2002 4 27 10 2001 24 151 3 2000 4 67 1 1999 6 18 0 1998 0 2 1 1997 1 3

0 20 40 60 80 100 120 140 160 woredas city governments municipalities

In other words: City governments have more often up-to-date reports in general, but do not have necessarily an internal or external audit report already finalised for the latest fiscal year.

Figure 34: Latest available external audit report (survey in 2000)

0 2000 6 19 6 1999 16 83 1 1998 5 22 2 1997 3 13 0 1996 0 9 0 1995 0 1 0 1994 0 4 1 1993 0 0 0 1991 0 1 0 1986 1 0

0 10 20 30 40 50 60 70 80 90

Woreda City Governments Municipalities

In comparison with WCBS II, the availability of recent external audit reports has improved. WCBS II (see figure above) has shown that especially woredas sometimes had external audit reports older than five years, with a single extreme result, in which a woreda reported to have only a 14-year-old external audit report. Concerning results of audit reports, 51% of city governments, 45% of municipalities and 46.3% of woredas

Report prepared by interpublic consultancy WCBS III Supply Side Report 37 report that they have received any adverse comment bordering on dishonesty on the auditor's management letter to the council. The results are rather even for city governments, only Tigray reporting a higher value of 66.7%, corresponding to the also higher share for woredas in Tigray with 81.8%. Extremely low adverse comments were received from auditors in Afar (only 6.3%) and SNNP (only 35.5%) and Gambella (100%, seven out of seven woredas).

4.4 Tax administration

The knowledge of jurisdictions on local tax payers and payments is low. The question on how many persons are paying specific revenue titles assigned to woredas, city governments, and municipalities showed that most local jurisdictions cannot link payments to a distinctive number of players or to a distinctive tax payer at once. Although payments are entered in the ledgers, the accumulated receipts cannot be traced back, making it difficult for the tax administration to monitor uncollected receivables and to develop targeted strategies to improve tax collection rate and tax coverage rates.

4.4.1 Tax identification numbers

Tax Identification Numbers (TIN) are part of a larger process of modernising Ethiopia's tax administration. The introduction of TIN is one measure to improve the tax administration and to increase the total number of taxpayers. TINs, however, are not distributed much by city governments, municipalities and woredas. In 1999, 203 out of 314 jurisdictions reported the distribution of 54.114 TINs, one year later the number dropped to 52,208, although the number of reporting jurisdictions increased to 218. For the fiscal year 2001, 232 jurisdictions reported the distribution of 63,890 TINs. The number of missing information for this question was high; especially five out of six sub-cities of Addis did not give information on TIN distribution. In principle, city governments distributed more TINs per capita than woredas, and the numbers reported range from as low as 45 per year (for woredas in Afar in 2000) up to several thousand (in Addis). Although there is an improvement in the number of TIN distributed, the overall numbers are still low. If, for example, city governments, municipalities and woredas could benefit individually from TIN – i.e. through the use of TIN data information for their own source revenue administration, the distribution of the TIN could be boosted, and the risk of informal, non-taxed commercial activities by citizens and businesses could be reduced. Jurisdictions need an incentive to distribute TIN numbers, and these incentives could be a simplification of their own revenue administration or the introduction of shared taxes between different layers of government.

4.4.2 Review of local taxes and tariffs

One question was asking whether the jurisdiction has the legal right to review local tax rates and tariffs. The question is aiming to assess the knowledge of the local administrations of their own rights and duties in relation to the regional legislation. 21 of 49 city governments responding said that they have the legal right to revise taxes and tariffs. 5 out of six in Addis said they have no rights, 50% of city governments in Oromiya said they have, and 85.7% of city governments in SNNP said they have no rights. Overall, the results indicate some problems in the interpretation of existing laws and regulations and rights assigned to city governments. The picture for municipalities and woredas is quite similar. 45% of municipalities said they have the right to revise taxes and tariffs, and 34,6% of woredas said so. Gambela's woredas expressed their freedom (6 out of 7), 67.7% woredas in SNNP said that they have no rights, as well as those in Afar 68,8%, only topped by woredas in Amhara, where 85,5% and Benishangul-Gumuz (12 out of 12) said that they have no rights in revising local taxes and tariffs.

Report prepared by interpublic consultancy WCBS III Supply Side Report 38

Very interesting is the fact that more jurisdictions claim to have changed taxes and tariffs, although more jurisdictions said that they have no right to do so. 51% of city governments have changed taxes and tariffs, 60% of the municipalities and 41,3% of woredas. Very few woredas have changed taxes and tariffs in Afar (87,5%) and Amhara (74,5%).

4.4.3 Tax payments, tax awareness, tax appeals and service performance

Tax payments are processed rather fast. On average, median processing times range from some minutes only to a maximum of 40 minutes (woredas in Benishangul-Gumuz). Maximum processing times were 180 minutes in a woreda in Oromiya. In general, woredas require more time than municipalities and city governments for processing tax payments. All in all, the processing times are satisfactory. A common problem in tax administration is the fact that tax payers do not know much about tax procedures and tax rates. One question specifically addressed this issue by asking in what way the transparency of tax procedures, tax rates and tax information is communicated. Answer options included public announcement, local radio, kebele meetings, and information brochures and help desks. Main avenue of communication is the public announcement for all types of jurisdictions. Help desks are also important for approximately half of the jurisdictions. Information brochures are often used in the four big regions, while kebele meetings are of large importance. Less popular is the communication through local radio. Still, however, most jurisdictions only use a few selected communication means. The jurisdictions were asked also, whether they think that taxpayers are in a position that they can easily understand how much they have to pay.

Figure 35: Tax payer information in the perception of woreda officials

56 259 National 18% 82%

22 Tigray 100%

7 14 Somali 33% 67%

7 55 SNNP 11% 89%

14 106 Oromia 12% 88%

5 2 Gambela 71% 29%

2 10 Benishangul-Gumuz 17% 83%

14 41 Amhara 25% 75%

7 9 Afar 44% 56%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No yes

87,8% of the city governments, 90% of municipalities and 82,2% of the woredas argued that taxpayers are

Report prepared by interpublic consultancy WCBS III Supply Side Report 39 in a position that they can easily understand how much they have to pay. Woredas in the four big regions strongly agreed (Tigray 100%, SNNP 88.7%, Oromiya 88,3% and Amhara 74.5%), while woredas in Gambela mostly disagreed (71.4%), and almost half of the woredas in Afar (43,8%). Amhara's results for woredas correspond with results from city governments and municipalities.

Figure 36: Tax payer information in the perception of city government officials Two out of six city governments in Amhara and 2 out of 4 municipalities in Amhara said that taxpayers are not in a position to understand how much they have to pay, indicating areas of improvement.

Figure 37: Tax awareness campaigns by type of jurisdiction (results of WCBS III)

Woredas 33 282 10% 90%

5 44 City governments 10% 90%

3 17 Municipalities 15% 85%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

A rather important feature in increasing revenues for local government is not only to increase the capacity of the tax and revenue administration, but also to increase the local awareness. These programs, often referred to as "taxpayers' education", have been initiated by a rather large number of jurisdictions, regardless which type: 89.8% of city governments, 85% of municipalities and 89.5% of woredas claimed to have stared tax awareness campaigns. Woredas in Afar (56.3%), Gambela (all), and Benishangul-Gumuz were less active in this area. Five out of 49 city governments responding said that they have not started tax awareness campaigns, of which two were from Amhara, and one each from Gambela, Oromiya and Tigray.

Report prepared by interpublic consultancy WCBS III Supply Side Report 40

Figure 38: Tax awareness campaigns by type of jurisdiction (results of WCBS II)

26 213 Woredas 11% 89%

4 36 City governments 10% 90%

4 8 Municipalities 33% 67%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% No Yes

A comparison with the previous round of WCBS shows that the awareness campaigns have improved especially in the case of municipalities (but based on a rather small sample), while the share of city governments and woredas starting tax awareness campaigns has remained stable. An important performance indicator for the efficiency and effectiveness of the local revenue administration is the number of tax appeals submitted. Here, city governments in Amhara and Oromiya received maximum numbers. Tax appeals are much more often submitted in city governments and municipalities, there are only very few tax disputes submitted in woredas. A final question in the area of tax administrations is focusing on the service performance. The question is asking whether the jurisdiction ever assessed the service quality by asking taxpayers. Here, 89.9% of the city governments, 90% of municipalities and 83.5% of woredas said that they evaluated the service. Here again, results from the four big regions are much better than those from the emerging regions.

Figure 39: Service performance evaluation of tax administration (results for WCBS III)

52 263 Woredas 17% 83%

City Governments 5 44 10% 90%

Municipalities 2 18 10% 90%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% No Yes

A comparison with results of WCBS II shows that the share of jurisdictions assessing the service

Report prepared by interpublic consultancy WCBS III Supply Side Report 41 performance has increased for woredas, slightly decreased for city governments. Especially municipalities seem to have raised the performance assessments (although the sample is rather small in WCBS III).

Figure 40: Service performance evaluation of tax administration (results for WCBS II)

Woredas 56 183 23% 77%

City Governments 2 38 5% 95%

Municipalities 4 8 33% 67%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

4.5 IT and technical support

4.5.1 Availability of computers and skills

IT is distributed rather uneven between the jurisdiction types, and between regions. City governments do have considerably more IT than municipalities and woredas. City governments in Addis, Tigray and Amhara have on average more than 100 computers (293, 130, 103 computers on average), while the best results for woredas are from Tigray and Amhara, too, but the numbers are lower: There are 114 computers on average in Tigray's woredas, but already only 66 in Amhara's woredas, representing the second best result. Results for municipalities are very similar to those in woredas. Poorest IT can be found in Afar (14) and Gambela and Somali (16 computers on average) woredas. The low number of computers available is corresponding with a low number of staff that has received training for computers. On average, city government staff has received more training (median number between 124 in Tigray, 83 in Addis Abeba to 35 in Amhara, to a low 24 in SNNP, 13 in Gambela, and 10 in Oromiya). The municipalities report rather low numbers of staff having received training except Amhara (33 in municipalities compared to 35 on average for city governments). Woreda staff was qualified most in Amhara (30), Tigray (28), Benishangul-Gumuz (11), Oromiya (10), SNNP (7) and Gambela (5). For other regions no results are available. The number of computers does not tell much whether a computer require a computer to perform their work. The supply side questionnaire asked two questions; first, how many staff members require a computer, and second, how many do have a computer to perform their tasks. The results indicate that woredas would need much more computers than they currently have. In Afar, woredas claim more than double computers than they have, similar in Amhara, and SNNP, and extremely in Oromiya (four times higher demand than availability). The distribution is more even in Tigray (variance of less than 20%).

Report prepared by interpublic consultancy WCBS III Supply Side Report 42

Figure 41: Computer requirement and availability in woredas

55 Tigray 66 13 Somali 15 22 SNNP 54 23 Oromia 85 4 Gambela 5 23 Benishangul-Gumuz 22 34 Amhara 58 12 Afar 25

0 10 20 30 40 50 60 70 80 90 number of statt requi- number of staff opera- ring computers ting computers

The results for city governments are more balanced; however, they also usually claim that the amount of computers is not sufficient to perform the tasks. E-mail access is still limited even in urban areas. Amhara's public sector employees on woreda level are better off compared to other regions (10 employees on average can access e-mail at work). Woredas in Tigray report 6 staff members that have an e-mail that can be accessed at work. For all other regions and jurisdictions, the access to e-mail is either not available or figures are too small. On average, city governments report that 9 staff members can access e-mail at work, compared to three in municipalities and only two in woredas. Even if the internet access of Ethiopian citizens is rather low, the public sector could promote the use of ICT by distributing e-mail addresses to its staff members.

4.5.2 Access to networks

Access to the woreda net is limited. 38.9% of municipalities, 48.9% of city governments and 42.7% of woredas have on average access to the woreda net. There are, however, large differences between the regions. 95.2% of woredas in Tigray report to have access, while none in Benishangul-Gumuz, only three out of 13 in Afar and 6 out of 20 in Somali report to have access. There is thus a large difference between the emerging and the four big regions.

Report prepared by interpublic consultancy WCBS III Supply Side Report 43

Figure 42: Access to networks by type of jurisdiction

19 60 Municipalities 12 39

21 71 City Governments 17 49

19 47 Woredas 14 43

0 10 20 30 40 50 60 70 80 Woreda Net Access Woreda Net usage in School Net Access School Net usage in available (in per cent) days per month available (in per cent) days per month

Similar, access to the school net is limited. The result show larger differences between urban and rural areas. 71.4% of the city governments report to have access, 60% of the municipalities, but only 47.3% of the woredas. Amhara and SNNP are reporting higher access rates, again Benishangul-Gumuz claims to have no access at all and in Afar only 18.8% report to have access. However, if there is access, the average use is promising (indicated as days per month average use), however, only a few jurisdictions responded to this question. The actual use might be much lower.

4.6 Human Resources

The average employment shows large differences not only between regions, but also between regions and jurisdiction types.

Report prepared by interpublic consultancy WCBS III Supply Side Report 44

Figure 43: Public sector employment per jurisdiction type and region

1212,5 Tigray 616,8 200,1 Somali 60,0 515,0 SNNP 12,7 385,1 918,7 Oromia 236,3 580,3 Harrari 350,0 374,9 Gambela 789,0 Dire Dawa 5438,0 297,3 Benishangul-Gumuz 762,5 Amhara 312,8 824,6 539,5 Afar

Addis Ababa 3036,7 0 1.000 2.000 3.000 4.000 5.000 6.000

city government municipality woreda

Although the total number of missing cases is considerably higher, the results may indicate significant differences in terms of public sector employment per jurisdiction type and region. Municipalities have few employees compared to other jurisdiction types (171 compared to 730 in woredas and even 984 in city governments). The vacancy rate is rather similar across the various types, ranging from 17% for city governments to 19% for municipalities and 23% for woredas (see next figure).

Figure 44: Total staffing and vacancies per jurisdiction type

214 48 municipalities 82% 18%

1072 235 city governments 82% 18%

woredas 836 254 77% 23%

0 200 400 600 800 1000 1200 1400 number of staff vacancies

Report prepared by interpublic consultancy WCBS III Supply Side Report 45

The per capita staffing per jurisdiction type shows that municipalities usually have a considerably smaller administration compared to both city governments and woredas:

Figure 45: Total staffing per 1,000 inhabitants and per jurisdiction type

12

10 9,64

7,95 8

6

4 2,93

2

0 woredas city governments municipalities

Turnover of staff is often regarded as a major problem for the institutional capacity building in local government. Despite these turnovers, the administrations are growing considerably, i.e. the staff numbers are increasing. Very often, for one expert staff leaving the administration, two or more have been recruited. It is promising that the the speed of growth is less for support staff. Here, the replacement rate is lower.

Figure 46: Average staff and vacancies of woredas

Tigray 1334 326

Somali 280 175

SNNP 614 202

Oromia 934 284

Gambela 875 302

Benishangul-Gumuz 595

Amhara 932 295

Afar 540 99

0 200 400 600 800 1000 1200 1400 1600 1800

number of staff vacancies

Report prepared by interpublic consultancy WCBS III Supply Side Report 46

The figure shows that the average size of woredas in terms of staff in the big regions (Tigray, SNNP, Amhara and Oromiya) is larger than the woredas in the emerging regions except Gambela). There are some significant variances with previous results. In 1996 (WCBS I), when woredas in the four big regions were included in the survey, the average number of staff per woreda was 770 and the number of vacancies was 131 on average. This indicates that public sector employment on woredas level has increased (up to 836), and can be documented for at least the big regions. On the other hand, the amount of vacancies has increased, too (up to 254). The problem of vacancies persists for woredas: 23% of positions and posts are not filled.

Figure 47: Average staff and vacancies of city governments

Tigray 740 35

Somali

SNNP 449 111

Oromia 580 130

Harrar 35061

Gambela 789

Dire Dawa 5438

Amhara 942 154

Addis Abeba 3037 927

0 1000 2000 3000 4000 5000 6000 number of staff vacancies

The picture is rather different for the city governments. Although the situation in Addis Abeba, Harrar and Dire Dawa is different due to the status of the cities, there are large differences between the city states and between city states and city governments in the regions. City governments do have more staff than woredas, and only Addis Abeba reporting high number of vacancies. Vacancies are still a problem, accounting for 21.9% of positions, but are less compared to woredas. The sample size of municipalities did not allow a regional breakdown, the mean value is 214 staff and 48 vacancies, indicating a vacancy rate of 22.6% similar to city governments. In WCBS I, the vacancy rate was just 13% (for city governments and municipalities together). Woredas report a vacancy rate of 30.4% - which is the highest value – and indicating ongoing problems of recruitment. To summarise:

 The public sector employment on the sub-national level has increased for all types of jurisdictions.  Woredas and city governments suffer more from vacancies than in previous years  Woredas in the four big regions are significantly larger than woredas in the emerging regions except SNNP.  City governments and municipalities seem to have grown faster than municipalities.

4.6.1 Recruitment

Recruitment of qualified staff is regarded as a problem especially for woredas in regions such as Amhara

Report prepared by interpublic consultancy WCBS III Supply Side Report 47

(69.1%), Oromiya (65.0%), SNNP (72.6%) and particularly Tigray (95.5%). The majority of woredas in emerging regions report very low problems in staff recruitment, however with the exception of Somali (52.4% of woredas reporting problems). This corresponds with the figures for city governments and municipalities in emerging regions, which also face much less problems in staff recruitment than other regions such as Amhara, Oromiya, SNNP and Tigray. The empirical results of WCBS III show the following picture: Indeed, woredas report to face larger problems in recruiting staff (63.2%), while city governments and municipalities have less problems, but still have large problems (46.9%, respectively 45.0%). The overall mixed results indicate high disparities among the regions and jurisdiction types, with larger and higher developed regions and jurisdictions facing disproportionally higher problems in staff recruitment. The supply-side questionnaire further asked in detail for recruitment problems for the following areas:

Figure 48: Recruitment problems in selected areas by type of jurisdiction

20% IT 31% 41% 20% General administration 16% 21% 20% Planning 27% 28% 35% Engineers 37% 35% 25% Accounting 18% 21% 25% municipal services 27% 16% 15% Extension Services 10% 35% 20% Education 29% 42% 25% Health 33% 46%

0% 5% 10% 15% 20% 25% 30% 35% 40% 45% 50%

Woredas City Governments Municipalities

 Health:  32.7% of city governments report problems in recruitment of health staff, whereby city governments in SNNP report significant problems (57.1%), followed by Amhara (37.5%) and Oromiya (33.33%). City governments in emerging regions and city states, however, mostly report no problems in recruitment of health.  25% of municipalities report having problems in staff recruitment, with the emerging regions of Benishangul-Gumuz and Somali facing largely no problems at all. In contrast, however, results for municipalities in Amhara and SNNP are rather mixed (50% and 33.3% reporting problems respectively).  46.3% of woredas experienced problems in staff recruitment, with most of the emerging regions having no problems with the exception of Somali (42.9%) and with extreme results for woredas in

Report prepared by interpublic consultancy WCBS III Supply Side Report 48

Tigray (72,7%) and SNNP (54,8%).  Education:  28.6% of city governments had problems in staff recruitment, with particularly low recruitment problems in emerging regions and city states. City governments in Oromiya form a considerable exception, with as many as 38.9% reporting problems in staff recruitment.  20% of municipalities report problems in staff recruitment, which can be completely attributed to Amhara, Oromiya and SNNP since the emerging regions, represented by Benishangul-Gumuz and Somali, consistently reported no problems in staff recruitment.  42.2% of woredas experienced problems in staff recruitment, with noticeably extreme figures for Tigray (72.7%) and SNNP (50%).  Agriculture:  Naturally, only 10.2% of city governments reported problems in staff recruitment, which can be exclusively attributed to Amhara, Oromiya and Tigray. Concordantly, other regions faced no problems at all.  Only 15% of municipalities had problems in staff recruitment. Municipalities in emerging regions reported no problems, in contrast to up to 33.3% of municipalities in other regions.  34.9% of woredas experienced problems in staff recruitment with dispersed and mixed results between emerging regions on the one hand and other regions on the other. Emerging regions consistently stated to have no problems in staff recruitment with the exception of Somali (33.3%). Among the other regions, Tigray by far reported the most problems in staff recruitment for agriculture (72.7%).  Municipal Functions:  26.5% of city governments had problems in staff recruitment for municipal functions, with recruitment problems in Oromiya peaking in 38.9%. City governments in emerging regions and city states almost consistently reported no problems.  25% of municipalities faced problems in staff recruitment. Again, the reports from Oromiya are particularly noticeable with 37.5% of municipalities articulating problems in staff recruitment.  16.2% of woredas experienced problems in staff recruitment. Once more, woredas in Oromiya reported the largest recruitment problems (25.8%).  Accounting and Bookkeeping:  Among city governments, only 18.4% reported problems in staff recruitment. The largest problems were reported from city governments in Oromiya (33.3%).  25% of the municipalities had problems in staff recruitment for accounting and bookkeeping, with both emerging and other regions maintaining a roughly equal level of recruitment problems.  20.6% of woredas faced problems in staff recruitment for accounting and bookkeeping, with most problems reported from woredas in Tigray (36,4%) and Oromiya (30,0%). Comparing the emerging regions, all but Somali (23.8%) reported to have no problems in staff recruitment at all.  Engineers:  36.7% of city governments had problems in recruiting engineers. While city states and emerging regions reported to have almost no problems, results for other regions are mixed. Most noticeably, SNNP and Oromiya reported relatively large problems with 44.4% and 42.9% respectively.  35% of municipalities experienced problems in staff recruitment for engineers, with particularly mixed results for Amhara (50%), Oromiya (37.5%) and SNNP (33.3%).  34.6% of woredas reported problems in recruiting engineers. Woredas in emerging regions had no problems with the exception of Somali (23.8%). The results for the other regions are rather mixed, though Tigray (59.1%) and Oromiya (41.7%) reported considerable problems compared to the rest.

Report prepared by interpublic consultancy WCBS III Supply Side Report 49

 Planning:  26.5% of city governments faced problems in staff recruitment for planning, with Amhara reporting significantly higher levels of recruitment problems (37.5%) followed by Oromiya (33,33%). Both emerging regions and city states stated to have almost no problems at all.  20% of municipalities reported problems in staff recruitment, with no problems at all in emerging regions and SNNP.  27.6% of woredas experienced problems in staff recruitment. Once more, Tigray features high levels of recruitment problems (40.9%) followed by Oromiya (39.2%). Among the emerging regions, only woredas in Somali reported to have problems in recruiting staff for planning (23.8%).  Administrative Staff:  Only 16.3% of the city governments had problems in recruiting administrative staff, with only Oromiya (27.8%), Tigray (16.7%) and Addis Ababa (16.7%) reporting levels of recruitment problems above the average.  Among the municipalities, 20% faced problems in staff recruitment with no significant disparities between emerging and other regions.  20.6% of woredas reported problems in recruiting administrative staff. Among the woredas in emerging regions, woredas in Somali (28.6%) are the only ones to report recruitment problems.  IT Experts:  30,6% of the city governments reported problems in recruiting IT experts. City states and emerging regions almost consistently stated to have no recruitment problems, while Amhara (50%) and SNNP (57.1%) feature rather mixed results.  20% of the municipalities experienced problems in staff recruitment with no significant differences between emerging and other regions.  As many as 41.0% of woredas reported problems in recruiting IT experts, with particularly high results in Tigray (77.3%), Oromiya (49.2%) and SNNP (46.8%). Except for Somali (33.3%), woredas in emerging regions consistently stated to have no problems in staff recruitment for IT.

The results show that jurisdictions in Tigray, especially woredas report larger problems in recruitment in a high number of functional areas and for a wider field of experts. IT experts are rare in woredas in general, compared to municipalities and city governments. Planning experts, as well as staff for general administration and municipal services are less problematic for all jurisdictions.

Report prepared by interpublic consultancy WCBS III Supply Side Report 50

Figure 49: Recruitment problems in selected areas in woredas by region

77,3% 33,3% IT 49,2% 0,0% 30,9% 0,0% 27,3% 28,6% General administration 26,7% 0,0% 9,1% 0,0% 40,9% 23,8% Planning 39,2% 0,0% 10,9% 0,0% 59,1% 23,8% Engineers 41,7% 0,0% 32,7% 0,0% 36,4% 23,8% Accounting 30,0% 0,0% 5,5% 0,0% 18,2% 14,3% municipal services 25,8% 0,0% 1,8% 0,0% 72,7% 33,3% Extension Services 40,0% 0,0% 30,9% 6,3% 72,7% 38,1% Education 46,7% 25,0% 32,7% 6,3% 72,7% 42,9% Health 49,2% 25,0% 41,8% 12,5%

0,0% 10,0% 20,0% 30,0% 40,0% 50,0% 60,0% 70,0% 80,0% 90,0%

Afar Amhara Benishangul-Gumuz Gambela Oromia SNNP Somali Tigray

Considering low attractiveness of particular locations as a recruitment factor, there seem to be noticeably less problems overall than to be expected. Only 26.5% of city governments, 30% of municipalities, and 38.4% of woredas reported to have problems due to low attractiveness of their respective location. Once

Report prepared by interpublic consultancy WCBS III Supply Side Report 51 again, woredas in Tigray report significantly larger problems (72.7%), as well as municipalities and city governments in Oromiya (50% and 33.3% respectively). Emerging regions almost consistently reported to have no recruitment problems due to low attractiveness of specific locations. Among the city states, Dire Dawa and Harrari also had no problems due to low attractiveness in contrast to Addis Ababa, where the survey results are mixed (50%). Payment is only for 25% of the municipalities a problem, compared to 39% of the woredas and 32.7% of city governments. Here, Tigray again reports large problems (77.3%), followed by SNNP (46,8%) and Amhara (43.6%). City governments in SNNP even report 57.1%. Moreover, only two out of the six sub-cities in Addis Ababa reported low payment to be a problem for recruitment. Most of the jurisdictions report smaller problems in recruiting staff which do not meet the necessary qualifications (only 15% of municipalities, 18.4% of city governments and 24,4% of woredas). Interestingly, only 13.6% of Tigray's woredas report problems, but almost one third of woredas in Oromiya (32.5%). Not many jurisdictions were forced to employ staff with lower qualification than otherwise required. 25% of municipalities, 30.6% of city governments and 38,4% of woredas report that they have employed staff with lower qualifications than required for the position. All of Gambela woredas did so, and 44.2% of Oromiya and 41.9% of woredas in SNNP did so. The same picture applies for city governments and municipalities. It seems that SNNP and Oromiya are less rigid in recruitment than jurisdictions in other regions. The above reasons for problems in staff recruitment tend to cover a large majority of the actual problems' causes. Consequently, 91.8% of the city governments, 85% of the municipalities and 82.2% of the woredas faced no other than the surveyed reasons for problems in recruiting qualified staff. Overall, low payment, low attractiveness of the location and low qualifications can be accounted as the primary reasons for recruitment problems.

4.6.2 Human resource management

The supply side questionnaire also asks for a number of human resource instruments and their usage:

 Written guidelines:  81.6% of the city governments have written guidelines, with the largest coverage in city states, mixed coverage in emerging regions and largely varying coverage in the other regions. While only 62.5% of the city governments in Amhara adopted written guidelines, SNNP features the highest coverage with 100% among the other regions.  75% of the municipalities introduced written guidelines. Results from municipalities in emerging regions are rather inconclusive, with no written guidelines in Benishangul-Gumuz and coverage of 75% in Somali. The large majority of the other municipalities also have written guidelines with the exception of Amhara, where survey results were mixed (50%).  86.7% of the woredas adopted written guidelines, with only 50% of the woredas in Benishangul-Gumuz and only 33.3% in Somali. Results for emerging regions are noticeably mixed, featuring large variations between Afar and Gambela on the one hand (coverage of about 90%) and Benishangul-Gumuz and Somali on the other (coverage only about 60%).  Job descriptions:  77.6% of the city governments introduced regularly adjusted job descriptions with a high coverage among all regions except for Amhara (37.5% of woredas without job descriptions) and Somali.  municipalities: 70%  woredas: 83.2%  performance indicators

Report prepared by interpublic consultancy WCBS III Supply Side Report 52

 city governments: 81.6%  municipalities: 60%  woredas: 76.8%  human resource policy  city governments: 81,6%  municipalities: 70%  woredas: 68.9%  regular individual performance appraisals  city governments: 71,4%  municipalities: 70%  woredas: 71.1%

The results are very promising throughout the sample, across regions and across types of jurisdictions.

Figure 50: Use of human resource instruments by type of jurisdiction

70,00% regular performance appraisal 71,43% 71,11%

70,00% human resource policy 81,63% 68,89%

60,00% performance indicators 81,63% 76,83%

70,00% job descriptions 77,55% 83,17%

75,00% written guidelines 81,63% 86,67%

0,00% 20,00% 40,00% 60,00% 80,00% 100,00% Woredas City governments Municipalities

The supply side questionnaire asked also whether a jurisdiction has ever terminated a contract with an employee or an official due to corruption or misconduct.

Report prepared by interpublic consultancy WCBS III Supply Side Report 53

Figure 51: Termination of a contract due to corruption or misconduct

100% 37 8 4 90% 12% 16% 20% 80%

70%

60%

50% 278 41 16 40% 88% 84% 80% 30%

20%

10%

0% Woreda City Governments Municipalities No Yes

The amount of jurisdictions reporting that they have ended a contract due to corruption or misconduct is low, ranging between 12% in woredas and 20% in municipalities. 16% of city governments report to have ended a contract.

Figure 52: Termination of a contract due to corruption or misconduct in woredas

Tigray 19; 86% 3; 14%

Somali 18; 86% 3; 14%

SNNP 54; 87% 8; 13%

Oromia 102; 85% 18; 15%

Gambela 7; 100%

Benishangul-Gumuz 12; 100%

Amhara 50; 91% 5; 9%

Afar 16; 100%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% No Yes

Emerging regions seem to be less active in termination of contracts, if the same level of problems is assumed in all regions.

Report prepared by interpublic consultancy WCBS III Supply Side Report 54

Figure 53: Termination of a contract due to corruption or misconduct in city governments

Tigray 3; 50% 3; 50%

Somali 1; 100%

SNNP 7; 100%

Oromia 14; 78% 4; 22%

Harrari 1; 100%

Gambela 1; 100%

Dire Dawa 1; 100%

Amhara 8; 100%

Addis Ababa 5; 83% 1; 17%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

Please note the small sample sizes for city states and emerging regions. City governments in Tigray seem to have terminated more employment contracts due to corruption and misbehaviour than in any other regional state. Again, city governments in emerging states seem to be more reluctant to terminate contracts, if the same level of corruption and misconduct is assumed for all regions. The amount of terminated contracts does not tell anything about the actual amount of corruption and misconduct in a given region or jurisdiction.

4.6.3 Training

Training of public sector staff is a key to capacity building. The supply side questionnaire asked for training received for eight different topics:

 land management  housing  community working  project management  engineering  financial management  planning  government policies and strategies

The results show that most of the training was focusing on government policies and strategies rather than on practical issues. Planning, financial management and community working were the areas in which at least some training occurred, while there was almost no training in the areas land management (except for woredas in Amhara), housing, project management and engineering. Training is less often offered to staff members in emerging regions than to staff members in the big regions, although the difference between training days in Afar and SNNP is rather small. The following figure shows the training topics per region in woredas:

Report prepared by interpublic consultancy WCBS III Supply Side Report 55

Figure 54: Training topics in woredas (in days per regions)

Tigray

Somali

SNNP

Oromia

Gambela

Benishangul-Gumuz

Amhara

Afar

0 10 20 30 40 50 60 70 80 90

Land Management Housing Community Working Project Management Engineering Financial Management Planning Government Policies

Figure 55: Training topics in city governments (in days per region)

Tigray

Somali

SNNP

Oromia

Harrari

Gambela

Dire Dawa

Amhara

Addis Ababa

0 10 20 30 40 50 60 70

Land Management Housing Community Working Project Management Engineering Financial Management Planning Government Policies Strategies

What becomes evident from the two previous figures is the fact that the amount and the topics of training vary, but it is difficult to say whether the training really fits the demand of the jurisdictions. Data from

Report prepared by interpublic consultancy WCBS III Supply Side Report 56

WCBS could be used to design training programs that exactly capture the training needs, i.e. in areas in which woredas, city governments or municipalities in a specific region or nation-wide showed distinctive problems and qualification needs. There is no correlation between training days and performance in the case of financial management, for example. Jurisdictions receiving training in financial management issues, for example, show no better results in regards to linkage between the strategic plan and annual budget compared to those jurisdictions which did not offer training. Further, this is even irrespective of the length of training in the area.

Figure 56: Relation between training and performance

jurisdictions receiving training 26% 46% 20% 8%

all jurisdictions 28% 43% 18% 10%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% all capital most capital only a few capital no link investments investments investments

The figure shows in the first bar those jurisdictions that have reported training days in financial management and their performance to the question whether there is a linkage between the strategic plan and the annual budget. This question offered four options:

 all capital investments mentioned in the strategic plan can be found in the budget,  most capital investments can be found,  only a few or  none (no link).

The figure shows that training had no impact on performance. The variance in the percentages – never exceeding three per cent – do not allow an interpretation regarding “better” or “worse”. The interpretation is here, that there is no effect. If other aspects of the training questions are set against results of recruitment problems, for example, we can see little linkage between training and recruitment problems. If, for example, a jurisdiction is claiming recruitment problems for a specific position, for example engineers, it might be assumed that this jurisdictions offers more training to fulfil a variety of objectives, i.e. to maintain qualified personnel or to qualify young professionals or to qualify staff members which were employed even with lower formal qualification needs than required. However, there seems to be no link. Either training did not reach the poor performing jurisdictions, or the content of the training did not match the training needs and demands, or the training could not show an impact yet. The conclusion might be drawn that training needs to be more targeted to the specific needs, and that evaluations of training are

Report prepared by interpublic consultancy WCBS III Supply Side Report 57 needed to assess the impact.

4.7 Public Information and Empowerment

Public information and empowerment is a section in the supply side questionnaire that seeks information on transparency and accountability of the local administrations towards the local citizenry.

4.7.1 Access to information

The first question in this section is asking whether citizens and stakeholders have access to written information to the following documents:

 budget  annual report  audit report  strategic plan  tax assessment  services provided

Most jurisdictions in all regions tell that they provide access to these documents. Only woredas in Afar and Somali provide less access to some documents, i.e. audit reports and services provided. City governments in Oromiya are slightly less providing access. Overall, however, the results are very promising. A second part of that question focused on the way of information. Five different options were offered,

 public announcement,  radio communication,  annual report,  CBO/NGO,  kebele meeting.

City governments provide most communication ways, more than municipalities and woredas. Most commonly, kebele meetings are used, followed by public announcement, and the annual report. Least common are the use of CBO/NGOs and by radio communication.

4.7.2 Participation of the community

83.7% of city governments, 80% of municipalities and 83.2% of woredas claim to use participatory planning. All city governments in Addis Abeba, Gambela, Harar, and Tigray use participatory planning, and 96.7% of woredas in Oromiya, 95.5% in Tigray, and similar the other regions except Afar and Somali.

Report prepared by interpublic consultancy WCBS III Supply Side Report 58

Figure 57: Use of participatory planning in woredas

Tigray 95,45%

Somali 52,38%

SNNP 77,42%

Oromia 96,67%

Gambela 85,71%

Benishangul-Gumuz 66,67%

Amhara 85,45%

Afar 31,25%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Figure 58: Use of participatory planning in city governments

Tigray 100,00%

Somali 0,00%

SNNP 85,71%

Oromia 83,33%

Harrari 100,00%

Gambela 100,00%

Dire Dawa 0,00%

Amhara 75,00%

Addis Ababa 100,00%

0,00% 10,00% 20,00% 30,00% 40,00% 50,00% 60,00% 70,00% 80,00% 90,00% 100,00%

The use of participatory planning is more prominent in city governments than in woredas except in Somali and Dire Dawa (please note that there is only once case each in Somali, Harar, Dire Dawa and Gambela). The questionnaire asked further about key partners in participatory planning. Regional bureaus and womens' associations are the most consulted partners, but consultation with ordinary citizens as well as the business community is rather poor for all types of jurisdictions.

Report prepared by interpublic consultancy WCBS III Supply Side Report 59

Figure 59: Partners in participatory planning

56,00% Consultation with regional bureaus 67,21% 68,09%

48,15% Consultation with disadvantaged people 38,71% 46,53%

55,00% Consultation with federal bureaus 40,82% 40,32%

48,15% Consultation with regional agencies 38,71% 46,53%

47,83% Consultation with youth community 39,66% 49,35%

45,00% Consultation with NGO 53,06% 39,68%

60,00% Consultation with women association 65,31% 63,49%

38,89% Consultation with citizens 27,66% 34,32%

38,89% Consultation with business community 27,66% 34,32%

38,10% Consultation with teacher association 32,08% 35,28%

40,00% Consultation with kebele representative 30,43% 37,50%

80,00% Use of participatory planning 83,67% 83,17%

0,00% 10,00% 20,00% 30,00% 40,00% 50,00% 60,00% 70,00% 80,00% 90,00%

Woreda City Government Municipality

Results from community consultations are very often written down and made public, 83,7% of city governments, 83,5% of woredas, but only 65% of municipalities say to do so. Half of the six sub-cities report not noting down community consultations, as well as 62,5% of woredas in Afar and one third in Somali. Most common forms of public consultation result communication are general community meetings and kebele meetings, whereby the opportunities for citizens and stakeholders in emerging regions are less developed, offering fewer ways of information.

Report prepared by interpublic consultancy WCBS III Supply Side Report 60

Figure 60: Access to documents by type of jurisdiction

70,0% Decisions taken by Council 79,6% 78,1%

60,0% Agenda of Council Meeting 71,4% 77,8%

80,0% Services provided 87,8% 82,2%

70,0% Tax Assessment 87,8% 79,0%

80,0% Strategic Plan 85,7% 86,3%

60,0% Audit Report 73,5% 68,3%

80,0% Annual Report 95,9% 88,6%

75,0% Budget 93,9% 88,9%

0,0% 20,0% 40,0% 60,0% 80,0% 100,0% 120,0%

Woredas City Governments Municipalities

Results from community participations are handed over or reported to council members in a large number of jurisdictions. 89.8% of city governments, 75% of municipalities and 90.5% of woredas report doing so. There are some differences: City governments in Somali (the only one) and three in Oromiya (out of 18) and Tigray (one out of six) do not hand over community participations to the council. Afar's and Somali's woredas do have similar problems, six of 16 woredas in Afar, and five out of 21 in Somali. The general public is involved in capital investment priority setting and service delivery priorities in 71.4% of the city governments, 70% of the municipalities and 71.7% of the woredas. Only results from Afar, where 93.8% of woredas report no participation, are exceptional. The supply side questionnaire asked, however, also whether a capital investment project or a service has been changed, postponed or started earlier due to community participation. This question is meant to balance the results from the previous question. And the result indicates that the practical influence of the community in decision-making is smaller than the formal participation opportunities offered by jurisdictions. Here, 61.2% of city governments, only 50% of municipalities and 53.3% of woredas agreed that a service or a capital investment had been changed due to community participation.

Report prepared by interpublic consultancy WCBS III Supply Side Report 61

Figure 61: Participation and actual influence on local government

16 3 25 5 City Governments 33% 6% 51% 10%

113 34 149 19 Woredas 36% 11% 47% 6%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Participation, but no No participation and no Participation and No participation, but change change change change

Community influence was especially low in city governments in SNNP, Gambela and Somali, and in woredas in Benishangul-Gumuz, Afar, SNNP and Gambela. In these regions, public participation might be enhanced.

Figure 62: Training for community works and use of participatory planning

Municipalities 11,17 11,16

46,5 City Governments 4,64 9,88

5,33 Woredas 6,49 6,31

0 5 10 15 20 25 30 35 40 45 50

Community Work Community Work Community Work training days training days in training days in jurisdictions using jurisdiction with no participatory planning participatory planning

Community Work training has been very prominent especially in city governments that do not use participatory planning – so well invested – while training in community works has been lower in woredas, and woredas not using participatory planning did receive slightly less training than those already using participatory planning. Thus, training measures should be more targeted. In the case of municipalities, some data was missing, but training seemed to be highest in terms of days.

Report prepared by interpublic consultancy WCBS III Supply Side Report 62

4.7.3 Cooperation with local community-based organisations

Most woredas, municipalities and city governments provide services to local community-based organisations and non-governmental organisations. Most common is technical support provided to these organisations, followed by staff support (technical expertise). Some local governments even provide funds to local community-based organisations. Rather rare is that CBOs or NGOs provide funds to the local government. Community work for capital investments is more common in woredas in Benishangul-Gumuz, Gambela and Oromiya, and for city governments in SNNP. 59.2% of the city governments report that they have an up-to-date list of all civil society organisations that are active within their administrative boundaries. Similarly, 65% of the municipalities and 54.9% of the woredas have an up-to-date list. In Tigray, 90.9% of woredas have such a list, but only 25% of woredas in Afar and 35.5% of the woredas in SNNP. City government results are very heterogeneous: Two of the six sub-cities in Addis Abeba report that they do not have an updated list, four out of eight in Amhara, and nine out of eighteen responses in Oromiya, three out of seven in SNNP, but only one out of six in Tigray. 67.3% of city governments rely on CNO/NGO for service delivery, 70% of municipalities, but only 58,1% of woredas. Here, there are larger differences: Tigray's woredas rely by 95.5% on CBO/NGOs, 85.7% in Gambela, and 67.3% in Amhara. Woredas could possibly make more use of CSO in service delivery.

Figure 63: Reliance on NGOs in service delivery and use of participatory planning

Municipalities 3 3 1 13 15% 15% 5% 65%

5 11 3 30 City Governments 10% 22% 6% 61%

29 103 24 159 Woredas 9% 33% 8% 50%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No reliance on NGOs and No reliance on NGOs, but Reliance on NGOs, but no Reliance on NGOs and no participatory planning participatory planning participatory planning participatory planning

There is no strong link between those jurisdictions using participatory planning and the reliance of jurisdictions on NGOs in service delivery (see figure above). However, there is variance between types of jurisdictions. Woredas show the smallest share in reliance on NGOs and the use of participatory planning, but they also show the smallest share in non-reliance and non-participation. In general, the picture repeats the message from another question: Woredas could rely more on NGOs.

Report prepared by interpublic consultancy WCBS III Supply Side Report 63

4.8 Council Work and Accountability

4.8.1 Councils and councillors

The share of female councillors in city governments, municipalities and woredas is rather low, and considerably lower than the actual share of female population.

Figure 64: Average number of councillors and female councillors in woredas

250,0 60,00%

50,00% 200,0 195,1

40,00%

150,0

30,00%

97,7 100,0 95,9 82,3 20,00% 65,1 57,7 50,0 10,00% 33,0 30,4 18,0 19,6 13,6 16,6 7,9 3,1 1,2 4,0

0,0 0,00%

Afar

SNNP

Tigray

Somali

Oromia

Amhara

Gambela Benishangul-Gumuz

average number per average number of female average share of female jurisdiction councillors councillors

There are larger differences between regions, both in terms of size of the councils and the share of female councillors.

Report prepared by interpublic consultancy WCBS III Supply Side Report 64

Figure 65: Regularity of council meetings (at least 12 times a year)

8 12 Municipalities 40% 60%

15 34 City Governments 31% 69%

126 189 Woredas 40% 60%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

There are large differences concerning the regularity of council meetings. 69.4% of city governments report that they have held at least twelve meetings in the last twelve months, 60% of the municipalities and also 60% of the woredas. These results are rather low, and there are some striking results. City governments in SNNP report that 42.9% of them did not have regular meetings, and in the case of woredas, Afar reports that none had regular meetings, two thirds in Benishangul-Gumuz and more than half in SNNP (56.5%) did not held regular meetings.

Figure 66: Follow-up mechanism for decisions

Municipalities 5 15 25% 75%

3 46 City Governments 6% 94%

18 297 Woredas 6% 94%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

Most jurisdictions have established a follow-up mechanism for decisions reached during council meetings. 93.9% of the city governments claim to have such a follow-up mechanism, 75% of municipalities and 94.3% of woredas. Although the share of jurisdictions having regular meetings is much smaller, the vast majority claims to have a follow-up mechanism.

Report prepared by interpublic consultancy WCBS III Supply Side Report 65

4.8.2 Establishment of statutory committees

The legislation requires local governments to establish distinctive committees such as development planning committees, budget and finance committees. 91.8% of the city governments report to have established these committees, whereby Harar fails, as well as the only Somali city government.

Figure 67: Establishment of statutory committees

5 15 Municipalities 25% 75%

4 45 City Governments 8% 92%

38 277 Woredas 12% 88%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

Municipalities report 75% - five of 20 failing – two of 8 in Oromiya, two of four in Somali and one of four in Amhara. Woredas have established the committees in 87.9% of the woredas, whereby failure in Afar (56.3% ) and Benishangul-Gumuz (50%) is rather high, lower in Somali, where four of 21 woredas fail. But also woredas in some of the four big regions are less successful; eleven of 51 woredas in SNNP fail.

Figure 68: Regularity of statutory meetings

4 16 Municipalities 20% 80%

8 41 City Governments 16% 84%

Woredas 61 254 19% 81%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

No Yes

The regularity of the statutory meetings is rather similar between the jurisdiction types and across regions, 83.7% of city governments, 80% of municipalities and 80.6% of the woredas claim to have regular meetings

Report prepared by interpublic consultancy WCBS III Supply Side Report 66 of the statutory committees. The regularity of these meetings can be improved.

4.8.3 Council and Audit

One question of the supply-side questionnaire asks what action the council has taken on issues raised in audit reports. This question is aiming to seek information whether auditing is appreciated by councils and whether letter of dishonesty result in changes of administrative work. Very promising is the fact that 77.6% of the city governments said that action was taken, while the result for municipalities is much lower – only 50%. The picture for woredas is different: 67.9% of all woredas argue that action was taken, however, there are larger differences: 87.5% of woredas in Afar, 58,3% of woredas in Benishangul-Gumuz, and 45.2% of woredas in SNNP said that no action was taken, while all other regions have results below 30%. In combination with another question on audit – whether the auditor had any adverse comment – and the action taken by the Council as a result of audit report, the following figure shows that there are a smaller number of city governments and woredas that received an adverse comment, but did not respond. The share of non-responding local governments is highest among municipalities (24%) and shows again that municipalities are the weakest type of jurisdiction.

Figure 69: Adverse auditor's comment and council action

5 5 6 5 Municipalities 24% 24% 29% 24%

2 23 15 9 City Governments 4% 47% 31% 18%

19 127 87 82 Woreda 6% 40% 28% 26%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Adverse comment, but Adverse comment and No adverse comment No adverse comment no action action and action and no action

4.9 General Service provision

The section on general service provision is the introduction to the subsequent section on service delivery performance in a number of areas. The following figure shows the general access to services – regardless of who is providing the service, government layers, private businesses, NGOs or any other.

Report prepared by interpublic consultancy WCBS III Supply Side Report 67

Figure 70: General access to services

Agricultural service

Secondary education

Primary education

Primary health care

Slaughter house

Electricity

Water supply

Housing

Roads

Sanitation

Street cleaning

Liquid waste disposal

Solid waste collection

Water Board

Public Transport

0,0% 10,0% 20,0% 30,0% 40,0% 50,0% 60,0% 70,0% 80,0% 90,0% 100,0%

City Governments Municipalities Woredas

There is little variation if remoteness of a jurisdiction is considered (see next figure):

Figure 71: Access to services in relation to remoteness of a jurisdiction

Agricultural service

Secondary education

Primary education

Primary health care

Slaughter house Electricity

Water supply

Housing

Roads

Sanitation

Street cleaning Liquid waste disposal

Solid waste collection

Water Board

Public Transport

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

non-remote remote extremely remote

Report prepared by interpublic consultancy WCBS III Supply Side Report 68

Figure 72: Access to services in relation to remoteness of woredas

Agricultural service Secondary education Primary education Primary health care Slaughter house Electricity Water supply Housing Roads Sanitation Street cleaning Liquid waste disposal Solid waste collection Water Board Public Transport

0,00% 10,00% 20,00% 30,00% 40,00% 50,00% 60,00% 70,00% 80,00% 90,00% 100,00%

Non-remote woredas remote woredas extremely remote woredas

The figure shows the differences between general access to services in woredas and the remoteness of a woreda (here defined as non-remote a distance of less than 10 kilometres to the next all-weather road, as remote a distance of more than 10 up to 25 kilometres, and as extremely remote as any distance more than 25 kilometres). Remoteness does not mean less access to services. Citizens in woredas do have in the eyes of officials less access to services than citizens in city governments and municipalities. This is especially true for liquid waste disposal, street cleaning and solid waste collection – typically urban services that are not necessarily needed in rural areas. When it comes to services that should be available regardless of location – education and health – the access to services is good. Overall, the accessibility of basic services is rather good. City governments and municipalities have better access to typical urban services such as

 liquid waste disposal  solid waste collection  street cleaning  slaughter house (abattoir) and  housing

Woredas do have more access to services for agriculture, which is not astonishing. For all other services, there are some differences, but none of them is large.

One major question is asking for established service and performance standards for a number of services provided by local governments:

 Local roads  city governments: 75.5%

Report prepared by interpublic consultancy WCBS III Supply Side Report 69

 municipalities: 70%  woredas: 50.5%, whereby woredas in Afar and Gambela do not have any standards, and 66.7% in Somali do not have  electricity  city governments: 67.3%  municipalities: 55%  woredas: 44.1%  Water  city governments: 83.7%  municipalities: 75%  woredas: 75.9%  Tax administration  city governments: 89.8%  municipalities: 70%  woredas: 78.7%  Solid waste:  city governments: 75.5%  municipalities: 65%  woredas: 14,0%, whereby it should be noted that most of the woredas do not provide the service and thus do not have established standards.  Extension services  city governments: 49%, which is astonishing, as city governments do not provide the service  municipalities: 30%, which is astonishing, as municipalities do not provide the service  woredas: 80.3%  Health  city governments: 89.9%  municipalities: 55%  woredas: 83.2%  education  city governments: 87.8%  municipalities: 55%  woredas: 85.1%

Performance results are published by city governments by 69,4%, with excellent results in Addis (100%), Tigray (83.3%) and Oromiya (72.2%). 65% of the municipalities report that they publish results, with very good results in Oromiya (87.5%). Woredas on average achieve 60.3%, but none in Afar, and all in Gambela. Tigray's woredas publish results by 86.4%.

4.10 Extension services

Extension services are provided by woredas, and answers were collected from woredas only. The share of subsistence agriculture varies between regions. Although the number of valid answers for the whole section is extremely low, indicating data collection problems and resulting in significant possible errors, the

Report prepared by interpublic consultancy WCBS III Supply Side Report 70 following table shows the share of subsistence agriculture in eight regions:

Figure 73: Share of subsistence agriculture

Somali 66%

Gambela 48%

Tigray 47%

Afar 46%

Amhara 37%

Benishangul-Gumuz 35%

SNNP 26%

Oromia 25%

0,00% 10,00% 20,00% 30,00% 40,00% 50,00% 60,00% 70,00%

4.10.1 Income from agriculture

Hence, the income situation varies. It should be noted here that the data collected stems from the local administrations. Again, the number of valid answers is very low, especially for Amhara (29 out of 55), Somali (11 out of 18), Afar (7 out of 16), and SNNP (48 out of 62).

Figure 74: Agricultural income per household and year in Birr

Amhara 13288

Benishangul-Gumuz 12747

Oromia 11285

SNNP 10063

Tigray 8041

Somali 4985

Gambela 2596

Afar 1449

0 2000 4000 6000 8000 10000 12000 14000 agricultural income per household and year

The agricultural income is extremely varying between regions, from low results in the emerging regions of Afar and Gambela to top results in Amhara and the emerging region of Benishangul-Gumuz, which is unexpected. The correlation, however, is rather low (R square 0.62), thus, there is a limited link between subsistence agriculture and agricultural income of households.

Report prepared by interpublic consultancy WCBS III Supply Side Report 71

4.10.2 Woreda staff for extension services

The share of agricultural staff compared to reported total staff of woreda administrations shows large differences between regions. There is little correlation between the share and average household income.

Figure 75: Share of agricultural staff to total woreda staff

Tigray 11,52%

Somali 10,95%

SNNP 23,69%

Oromia 9,95%

Gambela 20,62%

Benishangul-Gumuz 41,60%

Amhara 16,89%

Afar 14,74%

0,00% 5,00% 10,00% 15,00% 20,00% 25,00% 30,00% 35,00% 40,00% 45,00% share of agricultural function

The next figure shows the mean expenditure for salaries for staff in the function of extension services for WCBS II (1999) and WCBS III (2001). What become evident are large differences in terms of overall spending for salaries as reported by woredas. In combination with the previous figure, it is clear that woredas in the emerging regions are much smaller in terms of overall employment than those in the four big regions.

Figure 76: Salary expenditure for agriculture extension services of woredas

Tigray 2.118.855 1.412.720 303.703 Somali 361.274 1.952.124 SNNP 1.176.331 1.225.861 Oromia 862.510 896.895 Gambela 786.722 824.262 Benishangul-Gumuz 289.435 1.715.939 Amhara 1.141.148 927.630 Afar 355.628

0 500.000 1.000.000 1.500.000 2.000.000 2.500.000 WCBS II WCBS III

Figures for the emerging regions should be treated carefully as the sample of WCBS II woredas was too

Report prepared by interpublic consultancy WCBS III Supply Side Report 72 small. The expenditures for extension service salaries have risen considerably in the four big regions, and the is also a growing trend in the emerging regions (except in Somali). The number of development agents ranges from (mean) 21 in Somali, 22 in Tigray and Afar to a high 94 in Benishangul-Gumuz. It seems that most of the activities of woreda administrations in Benishangul-Gumuz centre around agriculture, and the high annual mean agricultural income in that emerging region might be a result.

Figure 77: Staff development in comparison to previous surveys

140 Tigray 122 86 22 Somali 38

122 SNNP 114 123 91 Oromia 103 50 77 Gambela 33

124 Benishangul-Gumuz 36

129 Amhara 132 107 80 Afar 39

0 20 40 60 80 100 120 140 160

WCBS I WCBS II WCBS III

If staff numbers in the function agriculture extension services are compared with previous rounds of WCBS, it becomes apparent that there has been growth in the overall employment except for Oromiya. For all other regions, the staff numbers have risen or are stable, such as in SNNP, and Amhara.

Report prepared by interpublic consultancy WCBS III Supply Side Report 73

Figure 78: Development agent numbers in comparison to previous surveys

60 Tigray 51 53 13 Somali 23

79 SNNP 74 89 66 Oromia 72 24 47 Gambela 33

94 Benishangul-Gumuz 18

70 Amhara 74 44 22 Afar 13

0 10 20 30 40 50 60 70 80 90 100

WCBS I WCBS II WCBS III

The number of development agents has increased – comparing WCBS III and WCBS II – except for Amhara and Oromiya, if figures are compared with the second round of WCBS. The sample size of WCBS I was much smaller, therefore only a tendency can be shown, as the small sample number might no have been representative for the whole of the region. The development agents receive rather little training themselves, the amount of training days in the last fiscal year ranges from zero to six days, for members of the general staff in the function agriculture the median results range from zero to five, indicating that development agents receive slightly more training than general staff.

4.10.3 Services provided for agriculture

The efficiency of agricultural inputs distributed or sold by agricultural services led to an increase of yield per hectare between 21% in Benishangul-Gumuz and 38% in Gambela. The inputs have also led to an increase of farmers' agricultural income, ranging between a mean of 734 Birr in Afar to high 6975 Birr in Somali – however, the information provided is contradictory to the reported average household incomes – therefore, this information again shows more the problems in data collection. The decrease of plant diseases was reported very positively by woreda administrations in some of the regions, where the reported decrease amounted in some cases to 100%, which is unreliable. Another question was asking about services made available to farmers, including

 transportation facility  deposits  packaging  testing

Report prepared by interpublic consultancy WCBS III Supply Side Report 74

 fumigation  purification  cooling  seeds  seedlings  fertilizer  hand tools  motorized equipment  spare parts  water pumps  direct marketing  sales market  co-operatives  micro-finance  training  gender training

The following figures shows the percentages of woredas providing a distinctive service to farmers per region.

Figure 79: Services provided to farmers

Tigray

Somali

SNNP

Oromia

Gambela

Benishangul-Gumuz

Amhara

Afar

0,00% 200,00% 400,00% 600,00% 800,00% 1000,00% 1200,00% 1400,00%

transportation deposits packaging testing fumigation purification cooling seeds seedlings fertilizer pesticides hand tools motorized equipment spare parts water pumps direct market sales market Co-operatives microfinance training gender training

Report prepared by interpublic consultancy WCBS III Supply Side Report 75

The figure shows the large variances between regions in terms of amount of services (the length of the columns indicating the amount of services) and the different composition of services provided to farmers. Here, again, there seems to be little correlation between services provided and agricultural production and income. Most common service is the distribution of seeds, seedlings and pesticides. Amhara provides a wider range of services to farmers than any other region.

Figure 80: Services provided by food security status of woreda

transportation facility seedlings training pesticides seeds motorized equipment fertilizer gender training spare parts deposits microfinance hand tools co-operatives Water pumps direct market fumigation sales market cooling packaging purification testing

0% 10% 20% 30% 40% 50% 60% 70%

food secure food insecure

The figure shows clearly that woredas suffering from food insecurity offer more services to farmers than those woredas which declared themselves as food-secure. Food secure woredas spend less for agriculture extension services than food secure. However, employment in food secure woredas is higher than in food insecure. The average for food secure woredas is 869, for food insecure 855 and 800 for food insecure without additional funding. The vacancies are lower in food secure woredas (33 on average compared to 41 and 38). The employment in the function agriculture is lowest in food insecure woredas (92), compared to 105 in food secure woredas and 143 in food insecure woredas receiving additional funding.

Report prepared by interpublic consultancy WCBS III Supply Side Report 76

A similar picture arises for the number of development agents: There are on average 58 in food insecure, but 66 in food secure and 70 in food insecure woredas receiving additional funding. This indicates that woredas claiming to be food insecure, but which do not receive additional funding, have less institutional capacities in terms of staffing. Again, food insecure woredas face larger problems in recruitment for agriculture extension services: 60 woredas say so, while the number for food secure woredas is 36, and for food insecure woredas receiving additional funding the number is only 14. Interestingly, expenditures are highest in food insecure woredas which do not receive additional funding (0,5 million Birr on average), food secure spend 0,40 million and food insecure with additional funding 0,43 million Birr. The size of land used for agricultural purposes is larger in food secure areas, while land for pastoral use is larger in food insecure areas. The increase of land used for agriculture is highest in food secure areas, slightly lower in food insecure woredas with additional funding and lowest for woredas with no additional funding. In food secure woredas, land used for agriculture is three times of the size of land used for pastoral purposes, but in food insecure areas not receiving additional funding, the land used for pastoral purposes is about 20% larger than the land used for agricultural purposes. The picture is less extreme for woredas receiving additional funding, here, pastoral land use is about 20% less than land used for agricultural purposes. There is no big difference in terms of efficiency of the agriculture extension services. Woredas claim that yields per hectare haven risen between 27% and 33% on average, but income of farmers has risen more in food secure areas than in food insecure areas. The decrease of plant diseases is rathe similar, results for food secure are slightly higher (43% of woredas reporting a decrease), while food insecure report slightly lower figures (34% and 38%, the latter figure for woredas not receiving additional funding). Subsistence agriculture seems not to be linked with food security. Woredas in food secure areas estimate the share of households depending on subsistence agriculture to be 39%, in food insecure this figure drops to 33% and 34%, respectively. Food security is also not linked to the population in a woreda. The population in food secure woredas is nation-wide around 101,000 inhabitants, food insecure receiving additional funding report average populations of 127,000, and food insecure woredas receiving no additional funding report an average of 103,000 inhabitants. The next figure shows the most prominent problem in extension services as reported by woredas. Here, the figure shows the issue as reported, whereby only one issue could be reported as most prominent. The biggest unsolved problem is budget problems, followed by logistical problems (lack of transportation), human resource problems, supply problems with inputs, and also awareness problems with local farmers.

Report prepared by interpublic consultancy WCBS III Supply Side Report 77

Figure 81: Most dominant problems in extension services in woredas

budget logistics human resources lack of supply weather conditions awareness diseases training security lack of land irrigation geographical setting environmental degradation timeliness testing planning natural disaster marketing lack of water supply lack of technology facilities equipment communication agricultural technology

0 10 20 30 40 50 60 70 80 90

Unsolved problem Current challenge need

The results show

 that woredas claiming to be food insecure and not receiving additional funding should be targeted by national policies,  food insecure woredas provide more services and spend more for agriculture than food secure woredas,  farming seems to support income and reduce food insecurity compared to pastoral use of land,  Efficiency of the service is not directly linked to additional funding provided to food insecure woredas.

4.11 Solid waste

Solid waste collection is a task assigned to city governments and is partially also provided by municipalities. The age of vehicles used is unknown to all city governments and municipalities, although they claimed to have an asset register mostly which should have provided the necessary information. The territorial coverage of the service solid waste collection is rather low, ranging from 5% for city governments in Amhara (compared to 24% for municipalities in the same region) to a high 90% in Addis Abeba (although only three out of six sub-cities responded to this question). The territorial coverage is good in Tigray (83%), and declines sharply in other regions (except Addis Abeba), 42% for city governments in SNNP (and 40% for municipalities), 37% for city governments in Oromiya (and 19% for municipalities), 35% in Harar.

Report prepared by interpublic consultancy WCBS III Supply Side Report 78

Figure 82: Solid waste coverage in city governments (in per cent)

83,17 Tigray 84,5

Somali

42,86 SNNP 50,86 38,28 Oromia 42,28 35 Harrari 49

Gambela

Dire Dawa

31,88 Amhara 47,25 89,67 Addis Ababa 88,33

0 10 20 30 40 50 60 70 80 90 100

population covered territorial coverage

The share of the population covered is estimated to be 90% in Addis, 88% in Tigray, 49% in Harar, 60% for city governments in SNNP (compared to 40% for municipalities), 55% for city governments in Amhara (compared to 30% for municipalities), 40% for city governments in Oromiya (compared to 28% for municipalities). In summary, city governments provide a fair service, while municipalities do have much more problems in providing the same service. Their coverage in terms of area and population is much lower compared to city governments. In terms of regions, Tigraynian city governments perform much better than any other region except Addis Abeba. The results of WCBS II showed that city governments and municipalities covered only 46,1 and 41.7% respectively, and the territory covered was only 35.9% for city governments and 25.7% for municipalities. This shows a significant improvement of the service compared to the situation some years ago. Again, performance for municipalities is lower than in city governments. The high performance of city governments in Tigray does not correspond with human resources used for the service. Average staff numbers range from zero (for Somali) to a record high 163 in Harar – but the service coverage and population served in Harar is not linked to the high number of staff for the service. Cost recovery rates of the service solid waste collection is rather low, ranging from nil to 57% in Addis Abeba, most city governments in any region ranging between 20 to 25%, except Amhara, where city governments have a recovery rate of only 12%. The solid waste collection service is provided very often through private businesses, Addis Abeba claiming 62%, Tigray 61%, and municipalities in Amhara 47%. In Dire Dawa as well as in Harar there is no or little solid waste collection through private businesses. In Oromiya, only 17% in city governments and 13% in municipalities, while in SNNP 39% of the city governments, but only 2% of solid waste collection in municipalities is provided through private companies. Most often, solid waste is dumped (but not in a dedicated landfill) or burned. A dedicated landfill is an option for only 16 city governments and municipalities (out of 89). Selling is very rare.

Report prepared by interpublic consultancy WCBS III Supply Side Report 79

The service is not provided regularly. 50 city governments report to collect solid waste once a week, 16 less often, and 13 even reporting that services are provided when possible. This shows that the service could be improved tremendously in terms or regularity. The co-operation between city governments or between municipalities for joint service delivery is rather high, 60.9% of city governments report to co-operate, but only 30% of municipalities. This can be explained through the fact that municipalities do not often have surrounding other municipalities.

4.12 Land management

Land management is crucial for the economic and thus social development. The number of lease and land rent titles applications and issuance of land titles varies largely. The figures reported tell a rather unbalanced story. Data collectors reported problems in data collection, perhaps due to the near election times. The total valid answers in this section are very often much too low to give a true picture. For example, only four to ten woredas out of 120 in Oromiya answered the question on how many lease land titles were applied for and issued in the three fiscal years 1999, 2000 and 2001. For land rent titles, the number of valid answers ranges between eleven and 20 – yet still too low to have a meaningful interpretation. The same is true for the complaints on land management (see the following table showing mean results and valid answers).

Report prepared by interpublic consultancy WCBS III Supply Side Report 80

Figure 83: Land management in woredas Amhara Gambela Oromiya SNNP Somali Tigray Mean Valid N Mean Valid N Mean Valid N Mean Valid N Mean Valid N Mean Valid N Land Management Experts 10 45 6 4 7 113 4 47 1 1 5 15 Land Management Support Staff 4 40 9 2 5 97 2 13 15 3 2 12 lease applications in 1999 116 6 . 0 987 9 11 5 . 0 9004 2 lease titles issued in 1999 4 4 . 0 16865 4 12 3 . 0 268 3 land rent applications in 1999 175 6 . 0 1930 28 258 16 176 4 3822 4 land rent titles issued in 1999 126 7 . 0 538 26 458 11 19 2 288 5 lease applications in 2000 14 6 6 1 87 7 12 5 . 0 6044 3 lease titles issued in 2000 12 3 1 1 19814 7 12 5 . 0 627 3 land rent applications in 2000 583 9 6 1 5557 32 386 19 163 4 5061 4 land rent titles issued in 2000 414 8 1 1 1140 39 103 17 37 2 2001 4 lease applications in 2001 14 7 83 1 192 10 40 6 1 1 10005 2 lease titles issued in 2001 149 5 12 1 4830 9 13 6 1 1 62 4 land rent applications in 2001 278 15 49 2 985 28 506 20 77 4 5759 6 land rent titles issued in 2001 311 14 49 2 818 31 91 18 40 4 1464 7 Complaints Registered Land 904 17 . 0 155 25 229 26 50 1 914 7 Management 1999 Complaints Registered Land 784 22 1 1 197 29 178 32 45 2 1157 10 Management 2000 Complaints Registered Land 572 33 1 1 112 48 274 39 13 2 1260 13 Management 2001

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Concerning the authority to allocate land, 16.7% of the city governments, 20% of the municipalities and 19.7% of the woredas say that there are other government bodies allocating land within their boundaries. Land registers by area (kebelle) are being owned and updated regularly by a large number of jurisdictions. 57.1% of city governments, 50% of municipalities and 51,1% of woredas tell to have such a land register, except for woredas in Afar and Benishangul-Gumuz (none). High results were achieved in SNNP (71%) and Oromiya (60%), contrasted by rather low results for city governments in SNNP (42.9%), Tigray (half) and Oromiya (55.6%).

Figure 84: Accessibility of land allocation procedure and availability of land register

40,0%

accessibility of land allocation procedure 71,4%

57,1%

50,0%

availability of land register 57,1%

51,1%

0,0% 10,0% 20,0% 30,0% 40,0% 50,0% 60,0% 70,0% 80,0% Woredas City Governments Municipalities

50% of the city governments report that they have a clear, written and accessible document for costumers which explains the procedure of land and lease allocation, with high differences between regions: All of SNNP city governments, 83.3% in Addis, 77,8% in Oromiya, but only 62.5% in Amhara, 50% in Tigray. Only 40% of municipalities claim to have such a document. 57.1% of woredas do have such a document, and again, with large differences: No woreda in Afar and Benishangul-Gumuz, and only 23.6% in Somali, but 74,2% in SNNP, 67.5% in Oromiya and 63.6% in Amhara. Most city governments claim to have a program or any other measure to help people who lost their land and homes due to a new allocation of land (66.7%), except for Dire Dawa, Harar and Somali (no measures). 55% of municipalities say to have such a program, and 48.3% of woredas, whereby no programs are available in Afar, Benishangul-Gumuz, and only in 28,6% of Somali woredas, compared to 72,2% in Amhara, 57.1% in Gambela, 57.5% in Oromiya and 50% in Tigray. Out of 63 cases among all types of jurisdictions in emerging regions, 12 stated to have a procedure, whereas the vast majority of 51 cases indicated not to have any program or measures. Comparatively good results a reached by Somali (28.6% of the woredas answered positively) and Gambela (54.1% positive answers). The common measure is a compensation payment by the local government (113 counts) or the privileged allocation of new land (109 counts) . A compensation payment by the new land owner does not seem to be as common as the above, but is also practiced quite often (97 counts).

Report prepared by interpublic consultancy WCBS III Supply Side Report 82

Figure 85: Support programmes in land management by type of jurisdiction

20,0% privileged allocation of land 42,9% 26,7%

30,0% compensation payment by new land holder 36,7% 23,2%

30,0% compensation payment by administration 49,0% 26,3%

55,0% availability of support programme 79,6% 48,3%

0,0% 10,0% 20,0% 30,0% 40,0% 50,0% 60,0% 70,0% 80,0% 90,0%

Woredas City Governments Municipalities

4.13 Health services

The data base on health staff is mostly insufficient. For the year 1999 and 2000, there is hardly any data for city governments, municipalities, and woredas. Among the city states, only the city governments of Addis Ababa (5 out of 6) provided information for the year 2001. Dire Dawa and Harrari could not provide any information for 1999, 2000, and 2001. In 2001, the total sum of health staff in Addis Ababa was 977. With an average of 195 staff members, Addis Ababa is clearly up front in this matter, compared to the other regions. It has also the second best result with respect to the average number of doctors (mean 15, 5 valid n). Only Benishangul-Gumuz shows better results (mean of doctors in woredas: 23). However, the result for the latter seems to be only due to the low participation: only 2 out of 12 woredas provided information on doctors.

4.13.1 Services provided

Within all types of jurisdictions, there are 846 hospitals and clinics in 254 valid cases. 702 of these are public, and 113 are private. Addis Ababa shows the best result with an average of 8 hospitals per case. The worst result is presented by Afar with an average of 1 hospital (9 valid n). Dire Dawa and Somali did not provide any information. Facilities available at the local health posts was the content of another question, where information on basic technical medical equipment, refrigerators for vaccination, basic bandages and plaster as well as basic medicaments were offered as answer options. The overall results in this matter are satisfying. Best results were presented by the regions of Afar, Benishangul-Gumuz, and Gambela. The city government in Dire Dawa, the municipalities in Oromiya, and the city governments and municipalities in Somali, on the other hand, stated to have non or not that many facilities available at the local health posts. However, municipalities have less equipment available than woredas and city governments, whereby the latter two do not differ much concerning the availability of basic equipment (see next figure).

Report prepared by interpublic consultancy WCBS III Supply Side Report 83

Figure 86: Availability of basic equipment by type of jurisdiction

35,0% Basic medicaments 81,6% 76,8%

35,0% basic bandages/plaster 73,5% 78,4%

30,0% refrigerator for vaccination 85,7% 81,0%

35,0% basic technical medical equipment 77,6% 82,5%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% Woredas City Governments Municipalities

Among the city governments 71.4% (35 valid n) stated that the health services have been designed in co- operation with patients and the community and its CSOs. Within the group of municipalities, only 45% (9 valid n) answered that the co-operated with patients, community and CSOs in designing health services. Looking at woredas, a majority of 81.3% (256 valid n) noted that health services have been designed in co- operation. A key performance indicator is the rate of births attended by skilled staff. Among the city governments, the best results are achieved by Addis Ababa (mean 62%, 1 missing n), Amhara (mean 62%, 1 missing n), Gambela (61%), and Oromiya (63%, 1 missing n). The overall best result is in SNNP within the group of municipalities (72%). However, the values for city governments and woredas in SNNP are 49% and 42%, respectively. All in all, city governments seem to perform better than municipalities and woredas. However, there is a larger number of missing cases (up to 10 missing n for woredas in Somali) in this matter, which should be taken into consideration when evaluating the results. Another key medical performance indicator is the rate of children in the age 12 to 23 months with an immunization against measles (in percent). The best result can be presented in the group of municipalities in SNNP with an average immunization rate of 91%. SNNP has also the best performance among woredas with an average rate of 83%. Among the city governments, Tigray has the best result with an average rate of 81%. However, 48 missing cases among the three types of jurisdiction have to be considered in the evaluation.

Report prepared by interpublic consultancy WCBS III Supply Side Report 84

Figure 87: Key medical indicators

Rate of population coverage

Rate of HIV prevalence

Rate of children with immunization against measles

Rate of attended births

0 10 20 30 40 50 60 70 80 90 100

Woredas City Governments Municipalities

The prevalence rate of HIV in the population aged 15 to 49 (in percent) should be treated carefully due to the low number of valid answers. More than 70% of the population among each of the three types of government are covered by health services in the regions of Amhara, Oromiya, SNNP, Somali, and Tigray. The lowest coverage is in Addis Ababa (city governments: 43%), Afar (woreda: 47%), Gambela (woreda: 36%).

4.13.2 Cost of service, staff, recruitment

The data showed that health desks do have limited information on the health services – public and private – available in their jurisdiction. The valid answers on the amount of health posts were extremely low if asked for non-public health posts and clinics. Further, all types of jurisdictions had problems in reporting the actual amount of doctors working, while they had much less problems in reporting the administrative staff employed. A sufficient analysis of the data concerning cost of salaries is not possible in this case, since much data is missing. Out of a total of 384 cases, there are 154 (40%) missing for 1999, 127 (33%) for 2000, and still 105 (27%) for 2001. The remaining data shows the following results: In all types of jurisdiction in every region (except city governments in Amhara), the total amount of salary has risen, comparing the year 1999 with 2001. The relatively biggest rise has been identified in Afar, where the amount of salary in 2001 is 5 times higher than in 1999. This sharp rise, however, is most certainly due to the different number of valid cases, which were 7 in 1999 and 14 in 2001. In this regard, the result is not useful. In general, the total expenditures on salary have been risen by 2 to 3 times the amount of 1999, however, mostly accompanied by a slight increase of the number of valid cases. Among the group of city governments, slightly less than half (46.9%) stated that they do have problems in recruiting qualified staff for health services. Most problems seem to be experienced in regions with a comparatively large number of cases such as SNNP (85.7%, 7 valid n), Addis Ababa (83.3%, 6 valid n), and Tigray (66.7%, 6 valid n). Regions with only one city government, namely Dire Dawa, Gambela, Harrari and Somali indicated that they do not experience any problems in recruiting staff for health services. The results within the group of municipalities are rather similar to that of city governments: 45% (9 valid n) experience problems, whereas 55% (11 valid n) stated that they do not have any problems in this regard.

Report prepared by interpublic consultancy WCBS III Supply Side Report 85

Most problems occur in Amhara (75%, 3 valid n) and SNNP (66.7%, 2 valid n), whereas the others seem to have less problems. Within the group of woredas, more than half (59,7%, 188 valid n) of the 315 woredas have problems in recruiting health staff. In contrast to the groups of city governments and municipalities, the results of woredas in the various regions seem rather balanced. Notable are Tigray and Benishangul-Gumuz with 77.3% (17 valid n) and 75% (9 valid n), respectively, stating to have problems. The fewest problems occur in Gambela 14,3% (1 valid n). All in all, roughly half of the all the cases are indicating problems in recruiting qualified staff for the health services provided. Most problems, taking all three types of jurisdiction into consideration, occur in Addis Ababa, SNNP, Tigray and Benishangul-Gumuz. The staff turnover was also asked, whereby jurisdictions were asked to count the number of staff that has entered and left the health service in the last fiscal year. Out of 384 cases, 306 (79.7%) jurisdictions provided information on staff movement. Last year, a total of 12487 entered the health service among all types of jurisdiction in all regions. On the other hand, 4198 staff members have left the service. The average number of staff entering the service is significantly high among the woredas (mean: 40-59), with the exception of Afar (mean: 16), Gambela (mean: 24) and Tigray (mean: 24), where the results are comparatively low. There is no data for the city states Dire Dawa and Harrari, and the data for Addis Ababa (mean: 12) is as low as the average among all city governments (mean: 11-21), with the exception of Amhara (mean: 43). In the group of municipalities, only Oromiya (mean: 11) and SNNP (mean: 19) provided data. The average number of staff leaving the service is lower than the recruitment, indicating a growth in service delivery capacity.

4.14 Education

The provision of services within city governments is by far better than in municipalities and woredas. Even if the amount of valid answers has been rather low, the following picture emerges:

Figure 88: Service provision for primary schools, average numbers of pupils and graduates average number of average number of average number of average number of Jurisdiction region primary schools pupils per enrolled pupils per graduated pupils type per jurisdiction jurisdiction jurisdiction per jurisdiction city governments Addis Abeba 83,17 33.733,67 44.582,25 15.423,00 Amhara 22,63 11.463,88 10.465,25 4.040,67 Dire Dawa 130,00 45.078,00 45.078,00 69.883,00 Gambela 7,00 10.520,00 3.997,00 3.997,00 Harrari 62,00 35.158,00 35.158,00 50.147,00 Oromiya 17,14 9.658,64 8.134,90 1.864,44 SNNP 6,83 10.501,00 5.429,75 8.185,00 Tigray 22,50 15.077,50 17.109,20 13.002,00 municipalities Amhara 12,67 7.863,00 . 2.070,00 Benishangul-Gumuz 3,00 3.822,00 . .

Report prepared by interpublic consultancy WCBS III Supply Side Report 86

Oromiya 9,50 6.699,50 7.660,00 1.618,75 SNNP 15,67 13.725,00 15.470,00 5.730,00 Somali . . . . woredas Afar 12,81 2.515,44 2.412,38 1.310,00 Amhara 36,56 16.855,67 21.807,70 2.421,89 Benishangul-Gumuz 23,18 8.346,27 7.740,91 1.694,73 Gambela 12,14 3.771,29 4.441,43 1.154,00 Oromiya 34,59 17.494,55 14.101,94 3.662,88 SNNP 27,36 18.817,14 15.056,50 3.306,13 Somali 31,29 6.186,81 4.411,18 1.282,00 Tigray 36,25 19.437,55 19.957,53 12.966,29

Not astonishing are high results for the city states Addis Abeba, Dire Dawa and Harar. However, some more results are striking: Tigray seems to more successful in terms of primary education in rural areas than other regions. There is a gap in education in terms of city governments to municipalities and between municipalities and woredas.

Figure 89: Service provision for kindergarten Average number Average number Jurisdiction type region valid N valid N of pupils per of kindergarten jurisdiction city governments Addis Abeba 6 108,67 6 10709,17 Amhara 7 12,14 7 1381,43 Dire Dawa 0 0 Gambela 0 0 Harrari 1 33 1 5302,00 Oromiya 16 13,25 16 1579,63 SNNP 7 16,14 7 2282,14 Somali 0 0 Tigray 6 15 5 2189,60 municipalities Amhara 3 4,33 3 749,00 Oromiya 3 2,33 3 322,67 SNNP 3 11,33 3 1176,67 Somali 0 0 Tigray 0 0 woredas Afar 6 2,5 5 224,80 Amhara 34 6,47 33 213,76 Benishangul-Gumuz 6 1,17 6 147,67 Gambela 1 2 0

Report prepared by interpublic consultancy WCBS III Supply Side Report 87

Oromiya 90 3,93 89 307,01 SNNP 47 4,34 42 506,55 Somali 2 1,5 2 177,00 Tigray 15 2,47 15 209,60

Service provision for kindergartens declines sharply in woredas, and only some municipalities in some regions providing that service.

Figure 90: Service provision for preparatory schools Average number Average number of pupils in Jurisdiction type region valid N of preparatory valid N preparatory schools schools per jurisdiction city governments Addis Abeba 5 7,20 5 3481,20 Amhara 7 1,71 7 1776,57 Dire Dawa 1 3,00 1 1639,00 Gambela 1 1,00 1 450,00 Harrari 1 2,00 1 1238,00 Oromiya 16 1,56 16 1667,19 SNNP 7 1,86 7 1275,14 Somali 0 0 Tigray 6 2,50 6 1501,00 municipalities Amhara 3 1,00 3 1267,33 Oromiya 3 1,00 3 622,33 SNNP 3 1,33 3 902,33 Somali 0 0 Tigray 0 0 woredas Afar 1 1,00 1 152,00 Amhara 32 24,69 30 665,27 Benishangul- Gumuz 8 1,00 8 265,13 Gambela 1 1,00 1 113,00 Oromiya 53 6,62 53 355,36 SNNP 18 16,33 19 412,68 Somali 4 1,00 4 433,00 Tigray 13 1,15 13 632,54

In the case of preparatory schools, the situation is much better. Kindergarten are mostly known for the urban population only, while preparatory schools are more common for both urban and rural areas.

Report prepared by interpublic consultancy WCBS III Supply Side Report 88

Although there is still a big difference between urban and rural service provision, the degree of variance of lower compared to the case of kindergartens. In terms of equipment, no reliable interpretation of data can be provided. There is limited information available. 44 jurisdictions report that 75-100% of kindergartens have textbooks, and 58 reporting that between 50 and 75% of the kindergartens have textbooks. No jurisdiction reports anything less than that. A similar picture can be found for boards, chairs and desks. The facilities with electricity, telephone, internet, sanitation, water supply and clinic are stated to be always above 50% - a rather astonishing result. The situation is less favourable in the case of schools. Here, quite a number of jurisdictions report that less than 50% do have textbooks, boards, school chairs and desks. Similar, the facilities are far less developed. The variance between jurisdiction types is low, and there are also not too big differences by regions. Community contributions to the service education are rather stable, but not common in all of the regions and among jurisdiction types. 31 woredas out of 55 in Amhara report contributions, nine out of twelve in Benishangul-Gumuz, three out of seven in Gambela, 75 in Oromiya, 43 in SNNP, 6 in Somali and 12 in Tigray. City governments seem to rely less on community contributions, except in Oromiya (ten out 18), and SNNP (three out of seven). Concerning recruitment problems, the data is presenting rather unstable results: If the human resource department is being asked, they seem to see problems in recruitment less severe than if the question is addressed to the education desk (see results in Human resource section). The variance is beyond expectations.

Report prepared by interpublic consultancy WCBS III Supply Side Report 89

Figure 91: Children attending school

Number Number Number Number Number Children Of which Children Of which Children Of which Children Of which Children Of which

attending girls Finish Grade girls Finish Grade girls Finish Grade girls Finish Grade girls school 5 8 10 12

Mean Mean Mean Mean Mean Mean Mean Mean Mean Mean Addis Ababa City Government 49814 27376 11307 6137 6315 3266 3613 1956 2032 1135

Municipality ......

Woreda ...... Afar City Government ......

Municipality ......

Woreda 3495 1431 407 184 106 41 184 44 25 9 Amhara City Government 25535 12496 2213 1104 2430 1241 2130 956 617 175

Municipality 17883 8696 1316 667 2220 943 2681 1229 650 149

Woreda 29643 14411 4391 2238 1378 603 1094 457 325 59 Benishangul- City Government ...... Gumuz Municipality ......

Woreda 11395 4599 1237 624 712 303 229 78 99 29 Dire Dawa City Government 82283 37502 45703 22385 24180 10558 10177 4148 2223 711

Municipality ......

Woreda ...... Gambela City Government 3997 2091 4014 1728 744 450 19 . . .

WCBS III Supply Side Report 90

Municipality ......

Woreda 5773 3201 1610 786 696 274 380 249 58 . Harrari City Government 50417 22385 ......

Municipality ......

Woreda ...... Oromiya City Government 15713 8551 1285 585 1228 669 1373 644 382 104

Municipality 9908 3947 765 482 532 727 582 199 211 75

Woreda 20047 9002 3836 1544 1474 740 710 220 178 27 SNNP City Government 22630 10649 9361 5223 1766 751 1300 405 428 93

Municipality 20362 9327 3473 1715 3226 1268 1531 553 411 72

Woreda 25330 10873 5238 1733 1415 738 881 203 167 30 Somali City Government ......

Municipality ......

Woreda 6935 2649 1114 417 147 92 140 76 44 7 Tigray City Government 24213 12276 2702 1356 1632 848 1452 774 476 133

Municipality ......

Woreda 26797 11902 3238 2745 1621 1117 818 386 273 77

WCBS III Supply Side Report 91

Education desks in city governments claim to have in 44.9% of the jurisdictions to have problems in recruiting qualified staff (compared to the result of only 28,6% as an answer from the human resource department), 25% of municipalities (20%) and 58,7% of woredas (42.2%). What is rather consistent, however, is the fact that the regional differences remain. Tigray is stating major problems (20 out of 22 woredas, three out of six city governments). 77.6% of city governments, 50% of municipalities and 81% of woredas report that they have designed the education services in cooperation with parents, the community and its CSOs.

4.15 Business licensing

Business licenses may serve as a proxy for the economic development as well as for the institutional capacity building of sub-national governments. The more business licenses are issued, the more the economy is developing, and by keeping pace the informal sector is kept small.

Figure 92: Business licenses issued Business Licenses in 1999 Business Licenses in 2000 Business Licenses in 2001

Mean Sum Valid N Mean Sum Valid N Mean Sum Valid N Addis Ababa City Government 1555 1555 1 155 155 1 2645 13224 5

Afar Woreda . . 0 . . 0 73 435 6

Amhara City Government 137 273 2 184 368 2 706 5644 8

Municipality . . 0 . . 0 402 1207 3

Woreda 149 1195 8 166 1324 8 167 8033 48 Benishangul- Municipality . . 0 . . 0 . . 0 Gumuz Woreda . . 0 . . 0 7 7 1 Dire Dawa City Government . . 0 . . 0 . . 0

Gambela City Government . . 0 . . 0 284 284 1

Woreda . . 0 7 14 2 93 465 5 Harrari City Government . . 0 . . 0 986 986 1

Oromiya City Government 599 1796 3 298 894 3 541 9204 17

Municipality 63 125 2 79 158 2 96 482 5

Woreda 66 198 3 78 543 7 99 11228 113 SNNP City Government . . 0 . . 0 964 6747 7

Municipality . . 0 . . 0 213 426 2

Woreda 18 18 1 18 18 1 82 2946 36 Somali City Government . . 0 . . 0 . . 0

Municipality . . 0 . . 0 . . 0

Woreda . . 0 . . 0 . . 0

Report prepared by interpublic consultancy WCBS III Supply Side Report 92

Tigray City Government 274 274 1 480 480 1 758 4546 6

Woreda 73 439 6 110 876 8 215 4295 20

The results indicate that the jurisdictions in the four big regions have been much more successful in this regulatory function than jurisdictions in the emerging regions. 75.5% of city governments do have a complaint procedure that is accessible to business license applicants, only 40% of the municipalities have, but 59% of the woredas. Here, the results also differ according to the big regions and emerging regions. While, for example, not a single woreda in Afar and Benishangul-Gumuz has a complaint procedure, 75.8% of the woredas in Oromiya, 70.9% in Amhara and 63.6% in Tigray do have.

4.16 Water supply

Data collection problems make it difficult to have an interpretation, as the number of valid answers is extremely uneven between regions. No data is available for Addis Abeba, for example, and only limited figures for many regions (see column valid N in the table hereafter).

4.16.1 Service provision

Water supply is an essential service. Most common, the service is provided by the jurisdictions themselves. 70% of city governments and 63% of municipalities perform this service compared to 58% of woredas. However, there are other providers, too. Regional water authorities play a service provider role in 26% of city governments, 11% of municipalities and 16% of woredas. In 21% of municipalities, water services are also provided by NGOs, compared to 19% in woredas, but only 2% in city governments. All other forms – such as public companies or other service providers – do not play a significant role. The highest average of public water supply points can be experienced in the city governments of SNNP as well as in the woredas of Benishangul-Gumuz and Amhara. The lowest average can be found in the woredas of Gambela. The highest average of private water supply points is found in the city government of SNNP and Oromiya as well as in the municipality of Amhara. However, only 78 jurisdictions have given information on private water supply points. The average number of directly connected private households is the highest in the city governments of Tigray, Harrari and Amhara. The lowest average is presented by the woredas of Gambela. Addis Ababa, Dire Dawa, and the city governments and municipalities of Somali have not given any information on this issue.

Figure 93: Water provision Private Water Supply Private Directly Connected

Public Water Supply Points Points Water Supply Points Maxi Valid Maxi Valid Maxim Valid

Mean mum Sum N Mean mum Sum N Mean um Sum N Addis Ababa City . . . 0 . . . 0 . . . 0 Government Afar Woreda 10 26 147 15 1 1 1 1 594 1984 7124 12

Amhara City 27 54 188 7 5 7 10 2 7594 18815 45565 6 Government

Report prepared by interpublic consultancy WCBS III Supply Side Report 93

Municipality 16 18 47 3 1934 1934 1934 1 2089 2977 6268 3

Woreda 71 444 2969 42 227 810 1590 7 769 8761 23841 31 Benishangul- Municipality 36 36 36 1 . . . 0 1890 1890 1890 1 Gumuz Woreda 73 214 806 11 63 116 125 2 212 700 1058 5 Dire Dawa City . . . 0 . . . 0 . . . 0 Government Gambela City 10 10 10 1 . . . 0 . . . 0 Government Woreda 9 13 17 2 . . . 0 34 40 67 2 Harrari City 58 58 58 1 . . . 0 8433 8433 8433 1 Government Oromiya City 37 147 632 17 1061 3681 6363 6 5671 28000 90738 16 Government Municipality 18 21 91 5 4 4 4 1 1353 2350 6763 5

Woreda 25 192 2807 111 137 2565 3977 29 421 3571 31539 75 SNNP City 127 345 634 5 4113 4113 4113 1 4070 13400 24418 6 Government Municipality 23 38 46 2 . . . 0 3685 7000 11055 3

Woreda 32 400 1657 52 143 1362 2289 16 242 1406 8947 37 Somali City . . . 0 . . . 0 . . . 0 Government Municipality . . . 0 . . . 0 . . . 0

Woreda 19 33 269 14 4 9 21 5 437 2400 3495 8 Tigray City 20 30 102 5 16 16 16 1 8966 25438 44830 5 Government Woreda 29 164 573 20 119 570 712 6 897 6022 14355 16

What can be taken from the figures, however, is private water supply points play an important role, much more than public supply points. The number of private access points to the water network, however, is still low in both woredas and even in city governments. This indicates that the water network is still in development. The highest average of public water supply points can be experienced in the city governments of SNNP as well as in the woredas of Benishangul-Gumuz and Amhara. The lowest average can be found in the woredas of Gambela. The highest average of private water supply points is found in the city government of SNNP and Oromiya as well as in the municipality of Amhara. However, only 78 jurisdictions have given information on private water supply points. The average number of directly connected private households is the highest in the city governments of Tigray, Harrari and Amhara. The lowest average is presented by the woredas of Gambela. Addis Ababa, Dire Dawa, and the city governments and municipalities of Somali have not given any information on this issue. The most satisfying results with regard to the regularity of the service of water provision are reached by the

Report prepared by interpublic consultancy WCBS III Supply Side Report 94 city governments of Oromiya, where 38.9% rate the regularity “very satisfying”. “Quite satisfying” are the city government of Gambela and the municipality of Benishangul-Gumuz. The worst rating was received in the woredas of Somali and Oromiya, with 38,1%, respectively 31.7% rating the regularity of water supply “very dissatisfying”. Data from the city governments of Addis Ababa, Dire Dawa, and Somali as well as from the municipalities of Somali is missing completely.

Figure 94: Coverage for city governments and municipalities (N=76)

Tigray

Somali

SNNP

Oromia

Harrar

Gambela

Dire Dawa

Benishangul-Gumuz

Amhara

Addis Abeba

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

very good more good than bad more bad than good very bad

Report prepared by interpublic consultancy WCBS III Supply Side Report 95

Figure 95: Coverage for woredas (N=252)

Tigray 1 2 2 1

Somali 2 7 7

SNNP 1 14 25 16

Oromia 27 41 36

Gambela 0 5 2

Benishangul-Gumuz 3 5 0

Amhara 1 21 22 3

Afar 2 2 4

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

very good more good than bad more bad than good very bad

Best ratings of the coverage of the water supply service are reached by the city governments of Oromiya (27.8%) and SNNP (28.6%). “Very bad” ratings were given to the woredas of Somali (33.3%), Oromiya (30%), Gambela (28,6%), SNNP (25.8%), and Afar (25%). Apparently, the very bad ratings are all received by woredas, whereas the best ratings are given to city governments. No comparisons to WCBS II could be provided, as the data was not cleared and no analysis had been made for WCBS II results.

Figure 96: Key problems in water supply (results for WCBS III)

300

250

200

150

100

50

0 Woredas City Governments Municipalities

Lack of Technical Capacity Lack of Funds Lack of Reasonable Cost Recovery

In WCBS II, the results were as follows:

Report prepared by interpublic consultancy WCBS III Supply Side Report 96

Figure 97: Key problems in water supply (results for WCBS II)

62,2% Woredas 92,4% 76,1%

50,0% City Governments 75,0% 70,0%

66,7% Municipalities 75,0% 58,3%

0,0% 10,0% 20,0% 30,0% 40,0% 50,0% 60,0% 70,0% 80,0% 90,0% 100,0%

lack of technical lack of funds lack of reasonable cost capacity recovery

Due to data entry differences, no comparisons in terms of frequencies can be made. The key problems in extending the service to more people are a “lack of funds” as well as a “lack of technical capacity”. A “lack of reasonable cost recovery” seems to be a problem, but not as prominent as the above.

Figure 98: Key problems by jurisdiction type (WCBS III)

Other

administration

electricity

technical capacity

demand

office facilities

technical infrastructure

technical equipment

transportation

human resources

water sources

missing

budget

0 20 40 60 80 100 120 140 160

Woredas City Governments Municipalities

Report prepared by interpublic consultancy WCBS III Supply Side Report 97

4.16.2 Management issues

The highest number of staff dedicated to the service of water supply within a certain jurisdiction on average has been reached by the city government of Harrari (mean: 117). The lowest average number of staff in water supply is presented by the woredas of Somali (mean: 12), of SNNP (mean 14), as well as of Gambela (mean: 14). The city governments of Addis Ababa, Dire Dawa, and Somali did not provide any information. The number of valid answers regarding the revenues from water supply service is quite low with 38% for 1999, 44.3% in 2000 and 48.2% for 2001. Consistently, the number of valid answers for capital expenditures is also below 50% for each period, which makes a further examination impossible.

4.17 Policing

The first question of this part of the questionnaire asked for established strategies for policing and the definition and measurement of strategic targets for policing. The best results are achieved by the group of woredas with 87% stating that they do have established strategies for policing. Similar, within the group of city governments, 81.3% have strategies for policing. Municipalities seem to have more problems in this regard with only 55% having established strategies. Throughout all types of jurisdiction, short term definition and measurement of strategic targets for the police department seem to be most prominent. Long-term definition and measurement of strategic targets for operative police units, on the other side, are least prominent.

Figure 99: Strategies for policing

87,0% Strategies for policing established 55,0% 81,3% 24,5% Police Units – short-term targets 9,1% 28,2% 41,6% Police Units – long-term targets 27,3% 46,2% 44,9% Police Department – short-term targets 27,3% 66,7% 64,2% Police Department – long-term target 54,5% 61,5%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% City Governments Municipalities Woredas

Nearly all of the woredas (92.4%) cooperate with strategic partners outside the local police department. The results of the city governments are similar, with 87.8% of all city governments explaining to cooperate in this matter. Municipalities have, after all, a total of 60% that cooperate with strategic partners.

Report prepared by interpublic consultancy WCBS III Supply Side Report 98

Figure 100: Strategic partnering of police

0% with other 12% 9% 17% with international agencies 19% 14% 42% with central government agencies 44% 45% 25% with NGOs 40% 35% 67% with local business 56% 60% 67% with local community 81% 89% 75% with other local departments 72% 80% 60% Active cooperation 88% 92%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

Woredas City Governments Municipalities

61.3% of all woredas stated that they do have a complaint procedure that is accessible to all citizens, whereas 38.7% do not have a complaint procedure. Within the group of city governments, half (50%) of the city governments pointed out that they such a procedure available. Among the municipalities, only 35% have a complaint procedure accessible to all citizens.

Report prepared by interpublic consultancy WCBS III Supply Side Report 99

Figure 101: Complaint procedure by type of jurisdiction

100% 90% 7 80% 24 35% 70% 50% 193 61% 60%

50% 40% 13 30% 24 65% 20% 50% 122 39% 10%

0% City Governments Municipalities Woredas No Yes

Best results are presented by the city governments of Addis Ababa and Gambela, the municipalities of SNNP and the woredas of Oromiya. Worst results can be found in Dire Dawa, Harrari, Somali and Tigray (city governments), as well as in Amhara, Benishangul-Gumuz and Somali (municipalities).

Figure 102: Complaint procedure in woredas

Tigray 10; 45% 12; 55%

Somali 10; 48% 11; 52%

SNNP 25; 40% 37; 60%

Oromia 36; 30% 84; 70%

Gambela 3; 43% 4; 57%

Benishangul-Gumuz 6; 50% 6; 50%

Amhara 24; 44% 31; 56%

Afar 8; 50% 8; 50%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% No Yes

Overall, woredas seem to perform better in this regard than city governments and municipalities.

Report prepared by interpublic consultancy WCBS III Supply Side Report 100

Figure 103: Complaint procedure in city governments

Tigray 4; 67% 2; 33%

Somali 1; 100%

SNNP 3; 43% 4; 57%

Oromia 8; 44% 10; 56%

Harrari 1; 100%

Gambela 1; 100%

Dire Dawa 1; 100%

Amhara 4; 50% 4; 50%

Addis Ababa 2; 40% 3; 60%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% No Yes

The question of the number of complaints did not lead to satisfying results. The number of valid cases is quite low with regard to this question (1999: 33%, 2000: 39.6%, 2001: 41.7%). This lack of sufficient data makes further evaluation of the results of this question impossible. The highest rate of recorded crimes on average is presented by the city governments of Addis Ababa and Harrari. Addis Ababa can also present the best results in resolved crimes, whereas Harrari does not give any information on the number of resolved crimes. The lowest rate of recorded crimes can be found within the group of woredas in Afar. No information at all was given by the city government of Dire Dawa as well as by the city governments and Municipalities of Somali. It should be noted that the number of recorded crimes may vary according to local culture and traditional problem-solving. This might be especially the case for Afar, where the number of recorded crimes is extremely low. But also the high detection rate in Somali might be explained through the type of crimes reported.

Report prepared by interpublic consultancy WCBS III Supply Side Report 101

Figure 104: Crime detection rates

Tigray

Somali

SNNP

Oromia

Harrari

Gambela

Dire Dawa

Benishangul-Gumuz

Amhara

Afar

Addis Ababa

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100%

detection rate 1999 detection rate 2000 detection rate 2001

75,8% of all jurisdictions stated how many police officers are employed and 86.7% stated how many officers are on patrol at any time. An evaluation of the total number of police officers is not possible in the case of municipalities, since only 25% answered this question. The highest average of police officers within a jurisdiction can be noticed in the state of Amhara. The highest total number of police officers is reached by Oromiya. The lowest number of police officers employed on average is presented by the city governments of SNNP. There is no data available on the number of employed police officers by the city governments of Addis Ababa, Dire Dawa, and Harrari. The region of Somali did not present any data for city governments or municipalities, but for 12 of their 21 woredas. With respect to the second part of the question - the question for police officers on patrol - the highest average of police officers on patrol is reached by the city governments of Harrari and Addis Ababa. The highest total of police officers on patrol can be noticed in the woredas of Amhara, Oromiya, and SNNP. The lowest average number of police officers on patrol is presented by the municipalities and woredas of Benishangul-Gumuz. The city government of Dire Dawa as well as the city governments and municipalities of Somali did not present any data on this question. The vast majority (327 cases, 85.2%) of jurisdictions does engage in preventive initiatives beyond regular policing. The most popular initiatives are “organization of community action”, “civil education” and “mediation”. Great differences between either types of jurisdictions or regions can not be noticed.

Report prepared by interpublic consultancy WCBS III Supply Side Report 102

Figure 105: Preventive initiatives of police by type of jurisdiction

0% Other 8% 7% 67% Advice and Consultation 50% 47% 44% Training Courses 60% 59% 78% Civil Education 73% 83% 67% Mediation 70% 76% 100% Community Action 95% 93% 45% Engagement in preventive initiatives 82% 89%

0% 10% 20% 30% 40% 50% 60% 70% 80% 90% 100% Woredas City Governments Municipalities

4.18 Local courts

The overall number of resolved cases in relation to filed cases has been steadily increasing over the past years. In total, 78.9% of all filed cases were resolved in 1999, in 2000 79.5% and in 2001 87.8%.

Figure 106: Number of filed cases

Tigray

Somali

SNNP

Oromia

Harrari

Gambela

Dire Dawa

Benishangul-Gumuz

Amhara

Afar

Addis Ababa

0 500 1000 1500 2000 2500 3000 number of filed cases 1999 2000 2001

Report prepared by interpublic consultancy WCBS III Supply Side Report 103

Figure 107: Number of resolved cases

Tigray Somali SNNP Oromia Harrari Gambela Dire Dawa Benishangul-Gumuz Amhara Afar Addis Ababa

0 200 400 600 800 1000 1200 1400 1600 1800 2000 number of resolved cases 1999 2000 2001

Figure 108: Response rates for filed and resolved cases (mean value = m, n1 = valid N, n2 = total) cases filed in cases filed in cases filed in cases resolved cases resolved cases resolved 1999 2000 2001 in 1999 in 2000 in 2001 m n1 n2 m n1 n2 m n1 n2 m n1 n2 m n1 n2 m n1 n2

Addis Ababa 1977 4 6 2704 4 6 2897 4 6 1030 4 6 973 4 6 966 4 6

Afar 104 12 16 129 14 16 127 15 16 81 12 16 98 14 16 111 15 16 Amhara 1617 47 67 1787 50 67 1900 50 67 1492 44 67 1563 50 67 1802 50 67 Benishangul- 258 12 13 240 12 13 320 12 13 257 12 13 221 12 13 292 12 13

Gumuz Dire Dawa . 0 1 . 0 1 . 0 1 . 0 1 . 0 1 . 0 1

Gambela 155 4 8 117 6 8 124 6 8 77 4 8 84 5 8 55 5 8 Harrari . 0 1 . 0 1 . 0 1 . 0 1 . 0 1 . 0 1

Oromiya 819 104 146 847 111 146 952 114 146 658 102 146 699 111 146 880 114 146

SNNP 498 66 72 605 68 72 574 68 72 346 65 72 405 67 72 431 67 72 Somali 53 14 26 59 14 26 107 14 26 39 15 26 45 15 26 97 15 26

Tigray 544 27 28 530 27 28 495 27 28 445 25 28 429 27 28 443 27 28

The low number of answers given when asking for refused judges does not allow a further analysis. The results in this matter are not representative, since the number of valid cases is between 50% for each time period: For 1999, the number of valid cases is 119 (31%), for 2000, 126 (32.8%), and for 2001, 135 (35.2%). Furthermore, the questionnaire asked for the number of judgements that were appealed to higher courts in the last three fiscal years. The number of valid answers has been slightly increasing from 1999 to 2001 with the following participation: 196 valid answers in 1999 (51%), 214 valid answers in 2000 (55.7%) and 230 valid answers in 2001 (59.9%). There is a steep rise of appealed court cases between 1999 and 2000. In 1999, 19.255 cases were appealed, whereas in 2000, the number rose to 90.321. In 2001, the number of

Report prepared by interpublic consultancy WCBS III Supply Side Report 104 appealed cases decreased moderately to 81.780. The total income from court fees and charges of litigation has been decreasing in the respective time period. However, the number of valid answers is quite low. It has been slightly increasing from 1999 to 2001 with the following participation: 193 valid answers in 1999 (50.3%), 211 valid answers in 2000 (54.9%) and 214 valid answers in 2001 (55.7%). The longest duration of litigation for court cases for the last three years has been stated by the city governments of SNNP (3163, 5398, and 2169 days for the years 1999, 2000, and 2001), the city government of Harrari (270, 270, 270) and the city governments of Addis Ababa (198, 168, 30). In the case of Addis Ababa, there has been a noticeable decrease in the aggregated duration from 2000 to 2001 (168 to 30). All in all, the number of valid answers is low, but has been slightly increasing from 1999 to 2001 with the following participation: 229 valid answers in 1999 (59.6%), 241 valid answers in 2000 (62.8%) and 247 valid answers in 2001 (64.3%). The number of valid answers to the question of the number of court hearings has been slightly increasing from 1999 to 2001 with the following participation: 220 valid answers in 1999 (57,3%), 231 valid answers in 2000 (60.2%) and 235 valid answers in 2001 (61.2%). While the increase in valid answers between 1999 and 2000 was accompanied by an increase in court hearings (116.758 in 1999, 121.189 in 2000), the number of court cases dropped to 106.087 in 2001, despite the ongoing increase in valid answers. 71 % of all jurisdictions stated that they do take measures to reduce the direct and indirect costs of litigation for citizens. There are no major differences in performance among the different jurisdiction types. Worst results with respect to regional differences are presented by Afar (55.6% negative answers among woredas) and Oromiya (37.4% negative answers among city governments, and 85.7% among municipalities). The most prominent measures that are taken are “alternative dispute resolution”, “established time standards”, and “on-site hearings”. Least prominent are “free transport services”. The second part of the question asked for the type of measures. Here, response rates were lower:

Figure 109: Measures to reduce direct and indirect costs of litigation

0, 0% Other 9, 7% 8, 5%

66 ,7% Pro bono Legal Services 41 ,9% 39 ,0%

50 ,0% On-site Hearings 25 ,8% 56 ,6%

33 ,3% Free Transport Services 25 ,8% 16 ,5%

33 ,3% Free Interpreter Services 51 ,6% 47 ,1%

33 ,3% Fee Waivers 51 ,6% 38 ,6%

50 ,0% Established Time Standards 67 ,7% 58 ,8%

66 ,7% Alternative Dispute Resolution 61 ,3% 67 ,6%

0,0% 10,0% 20,0% 30,0% 40,0% 50,0% 60,0% 70,0% 80,0%

Woredas (N=309) City Governments (N=31) Municipalities (N=6)

Report prepared by interpublic consultancy WCBS III Supply Side Report 105

Report prepared by interpublic consultancy WCBS III Supply Side Report 106

5 Annex

5.1 Sample

The following woredas, city governments and municipalities were included in the third round of WCBS:

Figure 110: List of jurisdictions included in WCBS III region jurisdiction City Municipality Woreda Government Addis Ababa Akaki Kality Sub City 1

Arada Sub-city 1

Bole Sub City 1

Kirkos Sub city 1

Nafas Silk Lafto Sub City 1

Yeka-Sub City 1 Afar Abala 1

Amibara 1

Asayita 1

Awash Fentale 1

Bure Mudaitu 1

Chifra 1

Dawe 1

Ewa 1

Gewane 1

Golina 1

Hadele Ele 1

Kori 1

Megale 1

Mile 1

Telalak 1

Yalo 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 107

Amhara Addis Zemen 1

Adi Arkay 1

Alefa 1

Aneded 1

Antsokiya 1

Asegirti 1

Awabel 1

Bahir Dar 1

Baso Liben 1

Basona Worena 1

Bati 1

Borena (former D/Sina) 1

Bure 1

Chagni 1

Chilga 1

Dabat 1

Dangla 1 Dawa Chefa (former chafe gola) 1

Debark 1

Debre Birhan 1

Debre Elias 1

Debre Markos 1

Debre Tabor 1

Dejen 1

Dessie City 1

Dessie Zuria 1

Enarj Enawaga 1

Farta 1

Fegita Lekoma 1

Fogera 1

Gidan 1

Gishe 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 108

Goncha Kolala 1

Goncha Siso Enase 1

Gonder City 1

Gonder Zuria 1

Gozamin 1

Guba Lafto 1

Habru W. Hararge 1

Hagere Mariam kesem 1

Jabi Tehnan 1

Jille Timuga 1

Kewet 1

Kobo 1

Kombolcha City 1

Kutaber 1

Lasta 1

Meket 1

Menz Lalo Midir 1

Merab Belsa 1

Metema 1

Mida Woremo 1

Misrak Este 1

Mojana Waderea 1

Quarit 1

Saya Debirna Wayu 1

Sayint 1

Sekela 1

Sekota Zuria 1

Semen Achefer 1

Shewa Robit City 1

Simada 1

Tach Armacho 1

Werebabu 1

Wonberma 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 109

Woreta city 1

Yilma Na Densa 1 Benishangul- Assosa woreda 1 Gumuz

Assosa city administration 1

Banbasi 1

Bulen 1

Dangur 1

Dibate 1

Kemashi 1

Kurmuk 1

Mao Komo Special 1

Menge 1

Pawe Special 1

Sherkole 1

Yaso 1 Dire Dawa Dire Dawa 1

Gambela Etang Special Woreda 1

Gambella City 1

Gambella Zuria 1

Godare 1

Jor 1

Lare 1

Mengesh 1

Wantawa 1 Harrari Harar City 1

Oromiya Abichuna Gnaa 1

Abomsa 1

Adaba 1

Adama 1

Adami tulu 1

Adola 1

Agaro 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 110

Akaki 1

Ale 1

Ambo City 1

Ambo Zuria 1

Amigna 1

Amuru 1

Anfilo 1

Arero 1

Arsi Negele 1

Arsi Negele City 1

Assela 1

Babile 1

Babo Gambel 1

Bako Tibe 1

Batu City 1

Becho 1

Becho Woreda 1 Bedele City Administration 1

Bedesa 1

Begi 1

Berek Special 1

Boji Dermeji 1

Boneya Bosha Woreda 1

Bora 1

Burayu city 1

Bure Woreda 1

Chelya 1

Chiro City 1

Chiro Zuria 1

Dabo Hana 1

Darimu Woreda 1

Dawo 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 111

Dedessa 1

Dedo 1

Degem 1

Dembi Dolo 1

Digluna Tijo 1

Diksis (Former ?) 1

Doba 1

Dodola 1

Dodola City 1

Dodota 1

Ejere 1

Enkelo Waba 1

Fentale 1

Fiche 1

Gasera 1

Gawo Kebe 1

Gechi 1 Gida Ayana (Former Gida Kiremu) 1

Gimbi 1

Gimbichu 1

Ginir 1

Goba City 1

Goba seyo 1

Goba Woreda 1

Gola Oda 1

Gololcha 1

Goro Gutu 1

Guba Koricha 1

Guduru 1

Gumay(TOBA TOWN) 1

Guna 1

Gura Damole (Oromiya) 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 112

Guto Gida 1

Hababo Guduru 1

Habru N. Wollo 1

Haro Maya 1

Haru 1

Hitosa 1

Holeta 1

Homa 1

Hurumu 1

Jardega Jarte 1

Jarso E.Hararge 1

Jeju 1

Jeldu 1

Jimma Horo 1

Kiltu Kara 1

Kofele 1

Kurfa Chele 1

Legahida 1

Limu 1

Limu Kosa 1

Limu Seka 1

Limuna Bilbilo 1

Lude Hitosa 1

Mako 1

Mana 1

Melka Belo 1

Menesibu 1

Merti 1

Mesela 1

Meta Robi 1

Metu City Administration 1

Midga Tola 1

Miyu 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 113

Modjo 1

Moyale (Oromiya) 1

Mulo (Oromiya) 1

Negele City 1

Nekemte City 1

Nensebo 1

Nono 1

Nono Benja 1

Nunu Kumba 1 Oda Bultuma (Former Kuni) 1

Omonada 1

Robe 1

Sasiga 1

Sebeta Hawas 1

Seru 1

Shala 1

Shambu City 1

Shashamene City 1

Shebe Senbo 1

Sibu Sire 1

Sinana 1

Siraro 1

Sire 1

Sodo Dacha 1

Sude 1

Teletele 1

Tikur Enchini 1

Tiro Afeta 1

Tiyo 1

Toke Kutaye 1

Tole 1

Tulo 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 114

Wadera 1

Welenchiti 1

Wenji Gefersa 1

Were Jarso 1

Woliso 1 1

Wolmera 1

Wonchi 1

Yemalogi Welel 1

Ziway Dugda 1 SNNP Abeshge 1

Alaba Kulito City 1

Alaba Leyu 1

Aleta Wondo Town 1

Alicho Werero 1

Amaro 1

Analimo 1

Arba Minch 1

Arba Minch Zurya 1

Areka 1

Basketo Special 1

Benatsemay 1

Bita 1

Boloso Bombe 1

Bona 1

Butajira City 1

cheko 1

Chencha 1

Chere Woreda 1

Dale 1

Dalocha 1

Damot Gale 1

Dara woreda 1

Dasenech 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 115

Decha 1

Dilla city 1

Dilla Zuria 1

Doyo Gena 1

Duna woreda 1

Gedeb 1

Gedebano 1

Geta 1

Gewata 1

Gezegofa 1

Gibe 1

Gomibora 2

Guraferda 1

Hawassa 1

Hawassa Zuria 1

Hula 1

Humbo 1

Jinka City 1

Kebena 1

Kedida Gamela 1

Kindo Didaye 1

Kindo Koyisha 1

Kochore 1

Konso Liyu 1

Kucha 1

Lanfuro 1

Male 1

Malga 1

Meinit Goldeya 1

Merab Abaya 1

Muhor Na Aklil 1

Nyangatom 1

Semen Bench 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 116

Shashago 1

Shebedino 1

Shey Bench 1

Silti 1

Sodo 1

Sodo Zuria 1

Telo Oda 1

Tembaro 1

Uba Debre Tsehay 1

Wenago 1

Wolkitie city 1 Yirga Cheffe City Government 1

Yirgachefe 1

Yirgalem 1 Somali Afdem 1

Aware 1

Awubere 1

Aysha 1

Degehabur Municipality 1

Degehabur Woreda 1

Denbel 1

East Emi 1

Erer 1

Erer Municipality 1

Filtu 1

Gashamo 1

Gura Damole (Somali) 1

Gursum 1

Harshin 1

Jijiga 1 1

Kebri Beyah 1

Kebri Beyah City 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 117

Mieso Municipality Somali 1

Moyale (Somali) 1

Mulo (Somali) 1

Shinile 1

Shinile Municipality 1

Udet 1

West Imi 1 Tigray Adigrat 1

Adwa 1

Ahiferom 1

Alaje 1

Atsbi Wonberta 1

Enderta 1

Endeselassie City 1

Erob 1

Gulo Makeda 1

Hawuzen 1

Hintalo Wajerat 1

Kafta Humera 1

Kilte Awalaelo 1

Kola Temben 1

Laelay Adiyabo 1

Maichew 1

Medebay Zana 1

Mekele City 1

Mereb Lehe 1

Nader Adet 1

Tahtay Adiyabo 1

Tahtay Koraro 1

Tahtay Maychew 1

Tanqua Abergele 1

Tsegede 1

Report prepared by interpublic consultancy WCBS III Supply Side Report 118

Tselemti 1

Were Lehe 1

Wukro City 1

Report prepared by interpublic consultancy