annual report · and the dip logical formwork analysis for the 2011. 6 programme (dip) 2011 annual...

Democratic Institutions Programme ==!:: (DIP)

Annual Report 2011

Table of Contents Forward 2

Executive Summary 3

I. Introduction 6

II. Major Factors that have impact on the Design, implementation and Outcome of DIP in 2011 7

III. Program Level Achievements and Results 9

3.1 Results and Progress in Program Outcomes 9

3.2 Achievements and progress in institutional/organizational developments of Institutions 13

3.2.1 Strategic thinking and orientation:- clarity of organizational sense of purpose 14

3.2.2. Developing organizational systems, policies and process – towards rationalization, automation and digitalization 15

3.2.3 Building partnership, collaboration and alliance – Communications 15

3.3. Achievements and Progress in mainstreaming and institutionalizing gender : 16

IV. Sub- Program Level Achievements 17

4.1 Ethiopian Human Rights Commission: 17

4.2 Ethiopian Institution of the Ombudsman: 20

4.3 Federal Ethics and Anti Corruption Commission 26

4.4 National Election Board of Ethiopia 30

4.5 House of Federation 33

4.6 House of Peoples Representatives and Regional State Council 35

4.7 Office of the Auditors General and Regional Offices of Auditors General 37

Program Management and Coordination and Support 39

Challenges and Lessons in 2011 41

Annex I: Financial Report 42 Annex Two: DIP Logical Framework Analysis 2011. 46

Democratic Institutions Programme 1

2 Programme (DIP) 2011 Annual Report

Executive Summary The Democratic Institutions Programme (DIP) contributes towards building “well- structured and well-functioning institutions that embody open, transparent and democratic governance which respects the rights of all its citizens”. Since commencement of implementation in 2008, the programme has recorded laudable achievements. Overall, the programme has contributed to the ongoing institutionalization and deepening of democratic governance and accountability systems in the country by bolstering the institutional transformation of the institutions which the programme supports. The programme has contributed towards developing organizational systems, management and outreach capacities of the institutions as they increasingly engage in policy and system development initiatives aimed at institutionalizing accountability, transparency and participation in the country.

The Democratic Institutions are increasingly engaging in upstream works such as policy and system development initiatives that aimed at institutionalizing accountability, transparency and participation in the country. They are also progressively transforming themselves from a nascent to a grown organization largely engaged in differentiating, rationalizing and automating their functions. In the preceding years, the institutions had focused on establishing and defining their identities. However, in 2011, they were mainly occupied with activities that aimed at claiming and exercising their constitutional mandates. There was increased focus on citizens’ empowerment and engagement during the reporting period.

The institutions are increasingly shifting their attention towards strategic orientation and building partnerships including interaction with citizens. The number of people seeking assistance from the institutions to get redress and exercise their constitutional rights is fast growing. The willingness of the public to collaborate with the works of the institutions is showing a positive trend. For example, the Ethiopian Human Rights Commission in 2011 served a total of 4,865 people (2,482 female and 2,383) mostly indigent population through its 112 legal aid centres. Most of the cases submitted to the legal aid centers were related to family (maintenance and divorce cases), labour and land use issues. The services provided include writing of statement of claim, defense and appeal, legal counseling and representation in courts.

Factors that have contributed to the successful implementation of the programme in 2011 include political/policy, institutional/organizational and programmatic issues. In terms of political/policy factors, the parliament initiated a platform for engaging all political parties in the parliament in order to promote multiparty democratic system in 2010. This initiative was discontinued in 2011 as the national election in 2010 resulted in almost a one party dominated parliament. On a positive note, the implementing partners commenced implementation of key policies previously enacted such as Freedom of Information Proclamation and the Asset Registration Proclamation.

Democratic Institutions Programme 1 3

In terms of institutional/organizational factors, the Business Process Re-Engineering (BPR) which had been conducted by most IPs provided opportunity to develop and adopt various organizational systems such as the Balanced Score Card, planning, monitoring and evaluation system which assisted in the implementation of the DIP. Following the completion of the BPR, some IPs – EHRC, EIO and FEACC revised their strategic plans to focus on the government development plan – the Growth and Transformation Plan. The IPs devoted time to the implementation of the communication and gender strategies developed in 2010 which has contributed immensely to the results achieved in 2011.

The IPs have demonstrated increased capacity for judicious and effective utilization of their planned resources as shown in the table below. In 2011, the total average resource utilization was 95% as against the 2010 resource utilization of 84%.

IPs

Allocated Budget for 2011

Expenditure

in 2011

Delivery

%

Ethiopian Human Rights Commission (EHRC) 2,032,634 2,084,025 103

Ethiopian Institution of the Ombudsman (EIO) 1,310,250 1,236,526 94

Federal Ethics and Anti-Corruption Commission (FEACC) 1,172,753 1,177,009 100

House of Federation (HoF) and Southern Nations and Nationalities Region-Council of Nationalities (SNNPR CoN)

664,419 685,511 103

House of Peoples Representatives (HoPR) and Regional State Councils (RCs) 3,283,000 3,069,972 94

National Electoral Board of Ethiopia (NEBE) 1,691,000 1,498,912 89

Office of the Federal Auditor General (OFAG) and Offices of the Regional Auditor General (ORAGs)

1,373,880 1,338,006 97

DIP Coordination Unit 506,542 369,043 73

TOTAL 12,034,478 11,459,005 95


Programme implementation challenges include the following:

• Some implementing partners exhausted their allocated resources in 2011 thus

necessitating mobilization of additional resources to enable such IPs (HOF and FEACC) continue with critical activities until December 2012.

• Other implementation challenges were both operational and technical which

related to late disbursement and receipt of funds, delay in procurement and delayed receipt of reports from the field. Compliance with the RBM reporting form the main technical challenge which impacted in IPs result reporting. The DIP/CU followed up on these challenges with support which included training to ameliorate such challenges.

In the remaining implementation period, IPs would focus on wider dissemination and implementation of Asset Registration proclamation, the Freedom of Information proclamation, strategic plans and increased awareness on human rights and ethics. The National Human Rights Action Plan would also be developed and would incorporate the Universal Periodic Review recommendations for Ethiopia. Other milestones to be expected in 2012 and beyond include the review of the Grant sharing formula, development of conflict management strategy and increased capacity for quality and coverage of audit at both federal and regional levels.


I. Introduction Democratic Institutions Programme (DIP) capacity building support in 2011 has contributed to the ongoing institutionalization and deepening of democratic governance and accountability system in the country.

The support provided by DIP has played key roles in the institutional transformation and organizational developments observed in the democratic institutions during the period under review. In spite of these changes, the institutions are still facing a number of challenges that needs to be addressed at policy, organizational and individual levels. The following are the critical challenges that need strong attention:

• Finalizing their full transformation into a matured organization that

independently and effectively carry out their constitutional mandates;

• Fully implementing and managing the various organizational systems and reforms introduced by the institutions;

• Sustaining and consolidating the outreach and expansions process currently

gaining momentum by the institutions;

• Further deepening and consolidating the collaboration and partnership work commenced within and outside the democratic institutions;

In spite of these challenges, 2011 was a leaping year for DIP and its IPs in terms of organizational development and institutional transformation. It is also a successful year for DIP IPs in term of acquiring and demonstrating critical capabilities and concrete results in exercising their constitutional mandate.

This report has six Chapters. While the first chapter contains this introductory part, the second chapter looks at major policy/ political, organizational and program factors that have impact on the design, outcome and implementation of DIP in 2011. The third Chapter examines program level achievements and progress from two angles i.e. from program outcome and institutional /organizational development perspectives. The chapter attempts to synthesize and analyze progress and achievements at the program level. This is a major shift from similar annual reports produced in the previous years. As DIP is approaching the end of the its programme period, the DIP/CU finds it imperative and timely to start analyzing programme level progress and achievements. The fourth Chapter discusses achievements, progress and challenges at sub-program/ sub-outcome level. The Chapter outlines key results and implementation challenges for each DIP IP. The fifth Chapter looks at management coordination and support issues. The Six Chapters examines programme implementation challenges and lessons learned. The report has two important annexes i.e. the financial report part and the DIP logical formwork analysis for the 2011.


II. Major Factors that have impact on the Design, implementation and Outcome of DIP in 2011

The implementation of DIP in 2011 is shaped and influenced by three major factors as enumerated below.

a) Policy/political factors

In 2010, the national and regional elections were the major political factors that influenced the implementation and achievements of the DIP. In contrast, in 2011 the election outcome and ensuing policy reorientation have also some bearing on the implementation of the programme. The election outcome has affected the Democratic Institutions in different degrees in terms of program focus and choice of activities. For instance, the activity designed by House of Peoples’ Representatives (HoPR) has been strongly affected by the election results. In the previous term, the parliament had focused on promoting multiparty democratic system through providing a platform for articulating and mediating various views and interests represented by different political parties. However, after the 2010 election, as a consequence of the virtual absence of members of the opposition parties, the parliament made a major policy shift towards making its oversight and representation role as its central function. In this regard, a new system is put in place in which the parliament and its standing committees provide regular reports and feedbacks to the Prime Minster Office on the performance reports submitted to them by the executive organ under their supervision. This is intended to cross-check and strengthen the monitoring systems of the executive on the parallel performance reports submitted directly to the Prime Minster Office.

In addition, the cross-party dialogue platform that was initiated during the previous parliamentary term was no longer strongly pursued during this term. While there is an ongoing initiative on cross-party dialogue within the parliament, it appears that after the election, the mandate of creating a platform for cross-party dialogue is shifted to the National Election Board of Ethiopia. The latter is another institution which its program activities are directly affected by the election and its outcome. While its 2010 activities were largely tied to conducting the national election, its 2011 activities were mostly linked to post election activities and other institutional development issues.

In general, all the Democratic Institutions program activities have been influenced by the new political dispensation adopted in the country in the aftermath of the 2010 election. The political direction adopted in the post 2010 election is towards building a strong national consensus around the country’s five year Growth and Transformation Plan (GTP). In 2011, all government institutions including the Democratic Institutions focused on mobilizing their human resources and building consensus around the countries development agenda. In this regard, it is pertinent to note that there is an ongoing leadership and political orientation training program ( that last from two weeks


to three months) organized by the ruling party throughout the year for the top and mid level managers and leaders.

b) Institutional/ Organizational factors

In 2010, the organizational reform process in a form of Business Process Reengineering Programme had an impact on the implementation of DIP activities by the Democratic Institutions. In 2011 however, the implementation of the BPR studies in a form of developing and adopting various organizational systems such as the Balanced Score Card, planning, monitoring and evaluation system have some bearing on the DIP. In addition, the process of developing new strategic plan which was in line with the newly introduced Growth and Transformation Plan has been another factor that has impact on DIP activities. In this connection, the Democratic Institutions intensive engagement to mobilize and orient their staff in the GTP, and other polices and strategies of the country have also impact on the program implementation. The new strategic plans, BPR tools and system have provided the needed platforms for the implementation of the DIP.

c) Programme factors It is to be recalled that in 2010, DIP/CU undertook major programme level assessment and evaluation. In this regard, the Mid-term evaluation, the Capacity and Communication assessments and the Gender audit had been the major initiatives. In 2011, DIP/CU was intensively engaged in collaboration with its IPs to implement the recommendations of these assessments.


III. Program Level Achievements and Results

3.1 Results and Progress in Program Outcomes

Well-structured and well-functioning institutions that embody open, transparent and democratic governance which respects the rights of all its citizens as enshrined in the Constitution

a) Institutionalized systems of accountability, transparency and participation

Accountability, transparency and participatory systems are being institutionalized in the country through various policy measures and improved institutional process and capacities of democratic institutions. The introduction and implementation of Asset Registration and Disclosure Law for public officials and political leaders is a very good example. The implementation of the law is strengthening the anti- corruption efforts and improving public trust in public officials and government institutions. In 2011, the FEACC which has the responsibility for implementing the law was able to register the assets and properties of more than 30,000 public servants and their families. It is worthy to mention that the Prime Minister and the Deputy Prime Minister were the first to register and disclose their assets thus serving as a boost for the exercise. DIP has provided institutional capacity development support to FEACC towards the establishment and strengthening of the Asset Registration Directorate to implement the Asset Registration Law. The support also strengthened the capacity of FEACC experts to implement the Law through training and comparative experience learning from other countries and sensitization of civil servants.

The Ethiopian Institution of Ombudsman (EIO) finalized the preparatory woks and officially launched the implementation of the Freedom of Information Proclamation (FOP) in December 2011. EIO prepared and adopted different implementation guidelines such as Record Management Guidelines, Freedom of Information Complaint Handling Guidelines and Freedom of Information Reporting Guidelines. DIP has provided support for the development of necessary framework and codes of practices (guidelines) to operatoinalize the Freedom of Information Law. It has also supported the exposure of EIO experts to best practices in Ghana and East Africa consultation forum to facilitate the implementation of the FOP.

The frequency and depth of legislative oversight on MDGs, government performance and public funds improved and strengthened at the Federal and Regional levels during the reporting period. Standing committees have started to regularly review and provide critical feedbacks on plans, programs and reports submitted by the executive organs under their supervision. For instance, in the reported period, all standing committees at the Federal level received and provided written feedback on annual plans, and


quarterly, biannual and annual reports from all the Federal government agencies under their supervision. In addition, standing committees both at the Federal and Regional levels were able to conduct committee field visits twice a year as required by the council’s rules and procedures. For the first time, all MPs at the Federal level were also able to conduct representation or constituency outreach activities twice per year (each time they spend 25 working days in their respective constituency). The MPs engaged and consulted different sections of the society in their constituency and administrative organs at different levels to bring to attention issues raised by their constituency. They also submitted a written reports and feedbacks to the concerned regional and federal standing committees on issues raised by their constituency. The skill development, financial and other supports such as procurement of vehicles provided by DIP to the standing committees and MPs have immensely enhanced the capacity of the Federal and Regional legislative bodies to fully exercise their oversight and representation functions.

The financial audit systems, audit quality, coverage and the overall audit environment have improved significantly in the country. The Federal audit coverage has radically increased from its lowest 35% in 2010 to 92 % in 2011. In addition, more government agencies have now become receptive and willing to provide support to auditors. Federal and Regional Public Accounts Committees (PACs) have been strengthening their working relationship with Auditors General and started using the reports submitted by the latter for effective oversight on utilization of public resources. The capacity building support provided by DIP to enhance the professional skills of the auditors and the audit standards at Federal and Regional levels and the awareness raising activities conducted for various stakeholders by Auditors General Office have directly contributed to the overall improvement of the audit and public accountability system in the country.

Based on the recommendation of the UN Human Rights Council, the Ethiopian Human Rights Commission has started preparing (for the first time) a National Human Rights Action Plan through the support provided by DIP. The Action Plan, which is expected to be approved by the Parliament in 2012, will serve the Nation as a practical instrument for the promotion and protection of human rights. The roadmap for the preparation of the Action Plan was developed in 2010. In 2011, a national steering committee and technical committee and a coordination office were established for the preparation of the Action Plan. The Action Plan is being prepared and is expected to be finalized in the first quarter of 2012. The Plan would incorporate the Universal Periodic Review (UPR) recommendations and provide a framework for implementation and monitoring.

The Federal Grant Sharing Formula is being reviewed by the House of Federation through DIP support. The new formula is expected to strengthen process of creating one economic and political society through fair and accepted resource sharing among regions based on the constitutional principles of equality and solidarity. It will also promote equity among regions and enhancing service provision at various levels and attainment of MDGs. It will ensure equal access to citizens to publicly funded social services.


b) Increased level of awareness of the people about their rights, corruption and ethical standards.

The internal and external surveys and assessment conducted by DIP IPs to gauge the effectiveness of their intervention in carrying out their mandates particularly in areas of awareness raising found out that there is increasing public awareness about their rights, corruption and ethical standards. FEACC is a good example here. An impact assessment study conducted through DIP support in collaboration with Addis Ababa University in 2011 on the activities of FEACC revealed the following results.

• 40% of the respondents (from the total 2577 participated in the assessment) indicated that they are aware of the Commission’s ethics and anti-corruption education and training activities.

• 44% of the respondents confirmed that the ethics and anti-corruption education

or training has helped in deepening ethical behaviors in their institutions, while the remaining (41%) indicated that they cannot be certain about it.

• 43.9% the respondents indicated radio and television as the major channels

where they got the ethics and anti-corruption education.

• The majority of the respondents i.e. 62.5% believe that the Commission is successful in deepening ethical behavior and 53.3% believe that the Commission is effective in preventing corruption.

• Similarly, an internal assessment conducted by FEACC research team indicates

that,

o The ethics education coverage in the country reached 69.5%

o According to assessment report of FEACC conducted by the research team of the Commission revealed that, the customer satisfaction on the commissions’ service delivery reached 87%, from 62% in year 2009/2010.

• An overall annual increment trend was observed on the number of tip-offs and

complaints lodged to FEAC, EIO and EHRC by the public in the last three years. It is possible to argue that this was largely attributed to the enhanced awareness of the public on their rights particularly as a result of the broad awareness raising activities conducted by these Institutions.


Comparison and progression of cases handled by three DIP IPs in the last three years

Chart:1 FEACC three years comparative performance on case handling

Cases received and handled by EIO Cases received and handeled by EIO Graph 2: # of Cases received and handled by EHRC Graph 3: # Cases received and handled by EIO

c) Enhanced citizen access, interaction and empowerment The accessibility, outreach and interaction of democratic institutions with citizens have significantly increased in 2011. This has considerably contributed to empowering the citizens and enhancing their participation in the governance processes. Both, Ethiopian Human Rights Commission (EHRC) and Ethiopian Institution of the Ombudsman (EIO) have officially opened their branch offices (six and five sub-offices respectively) in different parts of the country to expand their services to citizens. While the EHRC branch offices have started providing services to the public, EIO’s branch offices are still in the establishment phase. It is confirmed from their very short life that the branch


offices have improved access to the public. As a result, more and more cases are coming from the regions. It was learned that before the opening of branch offices more than 80 percent of the complaints lodged to the EHRC were coming mainly from Addis Ababa and its environs. But, after the branch offices commenced operation, the branch offices alone handled more than 260 cases in the last two quarters of 2011. In addition, EHRC in partnership with CSOs, Mass Based Organizations and Universities increased the number of legal aid centers from 60 in 2010 to 112 in 2011. The centers are reaching more people in their effort to expand access to justice to citizens. In 2011, about 4,865 (2,482 female and 2,383) indigent citizens benefited from the services of the legal aid centers across the country.

EIO is also partnering with Youth and Women Federations and Grievances Committees established at different administrative levels to promote good governance and combat maladministration throughout the country. Through its Winter Good Governance Campaign, EIO provided ToT trainings for a total of 1286 youth and 879 women federation leaders. The Youth and Women Federation leaders further took down the trainings to their constituents at regional, zonal, woreda and kebele level. In 2011, the Federation leaders were able to reach more than 4.3 million members in their camping adding 1 million more members as compared to the 2010 achievement. The institution is also supporting 11 model Children Parliaments and 70 Children Parliaments established by Regional State Councils in different parts of the country to address child related maladministration cases and to nurture democratic governance culture in the country.

Federal Ethics and Anti-Corruption Commission has been working with broad anti- corruption community through supporting 174 Ethics and Anti-Corruption Clubs and five institutional coalitions comprising of 18 associations. The Commission has trained members of these clubs and coalition to review government agencies’ reports and documents to identify corruption issues. The Commission has also been working with religious organizations to promote ethical behavior among their followers.

3.2 Achievements and progress in institutional/ organizational developments of Democratic Institutions

The year 2011 can be considered as a major turning point in the institutional or organizational development trajectory of the DIP IPs. In the preceding years, the IPs had been in their initial organizational development phase where they largely depended on others for skills, resources and other supports to exercise their constitutional mandates. It had been mainly a skill acquisition and learning period for most IPs. However, in the year 2011, there were clear indications and evidences that IPs have transformed themselves into a new organizational development phase where they internalize skills and knowledge and develop expertise to fully claim and carry out their


constitutional mandates. The IPs have entered an organizational development phase where they have started testing and specializing their competencies and capabilities to assert and act upon their constitutional role. DIPs capacity building support has been instrumental in facilitating this organizational transformation of the Democratic Institutions.

The organizational transformation is not taking place in all DIP IPs at the same pace. For instance, the branch offices recently opened by EHRC and EIO are at the initial phase of their organizational development process. In addition some region based IPs such as Regional State Councils and Regional Auditors General in the developing regions (i.e. in Afar, Somali and Gambella) are still in the initial organizational development phase. The same is true for local level DIP support beneficiaries such as Woreda Councils.

The following are some of the newly developed Institutional capabilities of DIP IPs in their organizational transformation process.

3.2.1 Strategic thinking and orientation: - clarity of organizational sense of purpose

In most IPs such as EIO, EHRC, HoF and NEBE, their previous strategic plans were developed by outside consultants. The IPs did not have capacity in terms of human resource and expertise to develop their first strategic plans. There had been gaps in terms of owning and internalizing the strategic plans. A cursory assessment revealed that there were problems in terms of fully utilizing the strategic plan to guide the day to day operations of the IPs. In addition, the strategic plans were questionable in terms of their full integration and alignment with the overall democratization and development process in the country.

In 2011, all DIP IPs developed new five year strategic plans. Unlike the previous plans, the institutions developed the current strategic plans in house. This has made a major impact in terms of owning and internalizing the strategic plans. While developing the strategic plan, the institutions made conscious effort to align their organizational direction in line with the Growth and Transformation Plan of the country. The institutions scan the environment and assess their internal capacities and gaps to position themselves in the country’s effort to deepen and consolidate the democratization process. This has enabled the institutions to develop strategic thinking capacities and reorient and streamline their organizational functions on core strategic issues to their mandates.

As a result of this process, the institutions were able to clarify and renew their organizational purpose. For instance, FEACC has reoriented its promotion/prevention and investigation work on selected sectors such as tax revenue collection and land administration. HoPR on the other hand focused its activities towards oversight and public representation functions. Other IPs such as HoF, EIO and EHRC focused on increasing access to their services to the wider public.


3.2.2. Developing organizational systems, policies and process – towards rationalization, automation and digitalization

Parallel with their new organizational development phase, most DIP IPs have been engaged in developing organizational systems, policies and processes. They have been actively working to create standardized and coherent operational systems. For example, EIO and FEACC have developed and adopted planning, monitoring and evaluation systems. In addition, EIO developed human resource policy, employee’s code of conduct investigation manual and communication guidelines, to regulate its relationship with its branch offices. NEBE developed and adopted voter education manual. OFAG developed and deployed standard audit manuals and procedures.

DIP IPs registered a major breakthrough in 2011 through wrapping up the various ICT initiatives that had been ongoing for quite some time. As a result, a number of IPs are now very close to automating and digitizing their functions and services. HoPR ICT expansion project which was officially launched in mid-2011 is a case in point. It introduced a new Web-Based interactive internet and intranet system (www.hopr.gov. et). This initiative has given opportunity to citizens to have better access to information regarding the work of the parliament through the information and communication technology. It also built a base for the creation of e-parliament in the country and for future effective interaction of citizens with their representatives. Similarly, HoF has designed a Web-Based Intranet (www.hofethiopia.gov.et) which gives online collaborative service to citizens. NEBE also developed and approved an electronic database application system which contains information on constituencies and polling stations, candidates and parties, voters, vote results and candidate vote results as sub-systems.

The process of migrating information to the database was also completed. EIO has already finalized piloting its electronic case management system which will be fully operational in 2012. FEACC and EHRC are taking experience from EIO to adopt similar electronic case management systems. These are some concrete evidences that the automation and digitization process of IPs supported by DIP is coming to fruition.

3.2.3 Building partnership, collaboration and alliance – Communications

DIP IPs have been developing skills and capacities in building partnership and alliance to advance their constitutional mandates. In this connection, the IPs engaged in a number of initiatives in 2011 both within and outside the country to enhance their collaborative work. For instance, HoPR and RSCs expanded their Speakers’ Forum to include Speakers from HoF and CoN. In its 13th Biannual Speakers’ Forum held in Debr Zeith (Bishoftu) town on December 29 & 30, 2011, the Forum formally transformed itself into a “joint council’s consultation forum” comprising of Speakers, Deputy Speakers, Chairpersons of Standing Committees, and Heads of Secretariats of HoPR, HoF, RSCs and CCs. In addition, the government whips and members of the advisory committees of the HoPR, HoF, RSCs and CCs were included to be part of the forum. It was also decided that women and standing committees’ forum would also be part of the joint council’s consultation forum.


http://www.hopr.gov/

http://www.hopr.gov/

OFAG’s and ORAGs are developing more close collaboration with federal and regional legislative bodies and standing committees to ensure accountability on public funds and enforce audit reports. The IPs are also linking with regional and international associations and forums to exchange experience and build alliances that will advance their organizations’ mandate. For instance, EIO is working closely with the African Ombudsman and Mediatuer’s Association (AOMA) while serving as a member and Chair of the East African Regional association.

3.3. Achievements and progress in mainstreaming and

institutionalizing gender The DIP facilitated the development of gender strategies by all the seven implementing partners including the DIP/CU which were subsequently endorsed by the PSC in 2010. Both the DIP/CU and IPs devoted quality time and resources to the full implementation of the strategies. During the reporting period, a DIP Gender Forum comprising of gender focal persons in the IPs was formed. The main objective of the Forum is to share experience and explore new ways of mainstreaming gender in planning and implementation of IPs programs and activities. As a result of these and other gender initiatives undertaken by IPs and the DIP/CU, remarkable improvements were observed in the reported period on gender related issues. For instance, all IPs have started providing gender disaggregated data in all aspects of their interventions and had started reflecting on challenges and progress. Besides, all IPs have conducted gender mainstreaming sensitization workshops and training to their staff and immediate stakeholders. Staff and stakeholders have started to develop more awareness and sensitivities towards gender issues in their day to day activities.

Some IPs such as HoPR has made concrete efforts to incorporate gender issues in their regular work. The Federal Parliament, RSCs and CCs have established and strengthened women forum aiming at addressing issues of women in the parliament. As a result of the DIP support, the initiative has been further expanded to Woreda levels. For instance, Oromiya has established women forums in all of its Woreda councils. Similarly, Amhara, Tigray and Southern Regional state councils have established the forum in many of their respective Woredas. There is also a progressive move in the other Regional State Councils to establish similar fora.

As reported by many women parliamentarians, the forum has provided women ample opportunity to reflect their key interests and concerns while drafting and implementing laws; and also in over sight the work of the executive. Moreover, the forum allows women parliamentarians to consider issues for effective mainstreaming of gender during the course of planning, policy design and implementation of programmes/ projects. The forum is striving to ensure the social and economic justice of women and rights of women in the country. Besides, it also works towards political empowerment of women. The parliament and councils have very much appreciated the efforts made so far by the forum towards achieving what has been mentioned above. To this end, the DIP support and contribution towards strengthening and establishing the women forum was very instrumental.


IV. Sub- Program Level Achievements

4.1 Ethiopian Human Rights Commission:

Enhanced capacity of EHRC to promote, enforce and protect the rights of citizens, and to receive, investigate, follow up on complaints related to human rights violations and abuses and periodically report on its work in the public domain.

Key Results in 2011

1. Increased accessibility and interaction with citizens: The EHRC opened branch

offices in six regions i.e. in Amhara (Bahir Dar), in Tigray (Mekelle), in SNNP (Hwassa), in Somali (Jigiga), Gabmbella (Gambella) in Oromiya (Jimma) to expand its services to citizens. The Commission has recruited 41 male and 22 female staff for the branch offices which have become operational and have been providing services to the citizens. The following are some of the added values of the branch offices :-

• Prior to the opening of regional branch offices, all trainings provided for

regional level stakeholders had been delivered by the staff of the Head Quarter. However, the staff of branch offices took over the task and started providing trainings to Weredas using the training documents developed at the HQ. This has contributed to efficient use of resources.

• Before the opening of branch offices, more than 80 percent of the complaints

lodged to the commission were coming from Addis Ababa. Due to improved access to the public through the opening of six branch offices in the regions, more cases are coming to the Commission. For instance, the branch offices altogether handled 138 cases during the third quarter and 122 cases during the fourth quarter of 2011.

• Staff diversity and pluralism of the commission enhanced. In the past, service had been predominantly provided in Amharic, but now the commission’s services is being provided in different local languages. There has been increased outreach since awareness creation activities are being delivered using local languages


In the last six months of 2011, EHRC has handled a total of 117 complaints.

Category of cases Total number

In %

• Civil and political rights

o The right to justice (12 complaints)

o Unlawful detention or imprisonment (12 complaints)

o Freedoms of movement (7 complaints )

o The right to communicate and visit persons

held in custody or persons imprisoned (6 complaints )

o The right to be protected from bodily harm (4

complaints)

o Others( 4 complaints)

• Economic, social and cultural rights

o The right to engage and work in the country’s economic activities (30 complaints )

o Compensation related to appropriation

of private properties for public use. (19 complaints)

o Other economic and social and cultural rights

related cases 3 Complaints

52 44.4% 52 44.4%

Gender related

o Half of the case is on equal right of women

with men during marriage

6 5.2%

Child right related 7 6%

2. Building partnership with CSOs and higher education to promote human rights

awareness and access to justice. The commission has increased the legal aid centers from 60 in 2010 to 112 (67 in collaboration with 16 sixteen Universities and 45 in collaboration with Civil Society Organizations (i.e. EWLA, CLFP.) A total of 4,865 people (2,482 female and 2,383 indigent citizens) have benefited from



the services of the legal aid centers across the country in 2011. Most of the cases submitted to the legal aid centers related to family (maintenance and divorce cases), labour and land use issues. The services provided include writing of statement of claim, defence and appeal, legal counseling and representation in courts. The Commission was also partnering with five CSOs viz: Ethiopian Women Lawyers Association (EWLA), Addis Ababa Women Association (AAWA), Ethiopian Lawyers Associations (ELA), Ethiopian Christians Lawyers Associations (ECLA), Tigray Disabled Veteran Association (TDVA) to support implementation of human rights projects.

3. Strong human rights monitoring on the conditions of prison and detentions centers

throughout the country. A t the end of 2011, the Commission had monitored 115 prisons out of the total 119 prisons in the country. It has also visited the Rehabilitation Centre for Juvenile Delinquents, as a follow up to assess progress made based on the recommendations given during the previous monitoring conducted during this year.

• Based on the findings from the 115 prisons monitored, the commission

prepared a federal level report and nine separate regional level reports. Validation workshops were held in each region in the presence of members of parliament (MPs) and Presidents of regional state councils and city administrations. A consolidated report is also prepared and submitted to the council of commissioners for approval so as to make it a national report to be released in 2012.

• As per the recommendation of the prison reports and engagement with

officials in the concerned regions, the per capita budget allocated for persons incarcerated in detention facilities in Afar, SNNPR and facilities administered by the federal government increased.

The Commission also monitored 158 detentions centers i.e. about 15% of the police stations and detention centers in the country. The analysis and compilation of the findings of the monitoring visits is still underway. Newly recruited staff in the branch offices actively participated in the monitoring visit.

4. Enhanced internal capacity to provide human rights trainings and researches: The

Commission used to provide trainings by contracting individuals (outsourcing) but now due to the enhanced human resources capacity of the Commission, training has been provided by the Commission’s staff. The focus of the training provided by the commission also shifted towards ToT since it is believed to have a multiplied effect and has a sustainability component. The same trend has been followed in the research activities the Commission has been undertaking. Due to enhanced human resource capacity of the Commission, it has shifted from outsourcing to using own human resources and collaboration.


Key Implementation Challenges

• Pending human rights reports: The EHRC has completed the necessary data collection and analysis of studies and monitoring conducted since the past two years. Some of the pending reports include the prison reports, status report and 2010 general election report. However, as the programme winds down in 2012, there are concerns as to dates and period for releasing the aforementioned pending reports.

• Complaints handling system: Delay is being witnessed in the development of

complaint handling system which will provide quick and disaggregated data on complaints handled by the Commission. The Commission and the DIP would commit quality time to follow up and ensure that this task is completed before the programme winds down.

• The efforts of regional institutions such as the courts, universities and prisons

in providing space and free legal assistance to the legal aid centres is acknowledged. The DIP resources have been used in supporting the centres in terms of providing materials and stipend for the staff of the centre. However, sustainability of the activities of the legal aid centres and regional branches beyond the December 2012 without additional external resources such as the DIP remains a concern considering the level of EHRC

4.2 Ethiopian Institute of Ombudsman:

Enhanced capacity of the EIO to receive investigate and follow up on administrative complaints and for ensuring access to citizens to information (resulting in improved promotion claiming and enforcement of both male and female citizens’ rights)

Key Results in 2011

1. Improved accessibility of EIO: EIO has now opened five regional branch

offices in Oromia, Tigray, Amhara, DireDawa and SNNPR. EIO Complaints Statistics July -December, 2011

Complaints lodged to EIO/Per No. of Files/ 1339*

Complaints found outside the jurisdiction of EIO 1024

Complaints resolved through mediation ( with the executive organ) 88

Complaints investigated 302

Complaints where there was no maladministration found 210


Complaints where maladministration was found, recommendations made

28

TOTAL

1652*

• *These are only number of files. A single file may have one or more complainant or a single file may affect or represent several people or communities.

• *For example, a complaint involving 400 university students was resolved under a single file. Similarly a complaint involving 2,530 complainants from the Southern Region was investigated under a single file. *The figure 1652 also includes the files that were transferred from the previous year.

Complaints Appealed to the Chief Ombudsman

Complaints appealed to the Chief the Ombudsman/ Per No of Files

96

Decision of Investigation Directorate upheld

25

Decision of Investigation Directorate reversed

6

Appeal still pending

61

2. Towards better managed and effective Council of Ombudsman: EIO also adopted rules of procedure for the Council of Ombudsman. The council which is composed of the Chief Ombudsman, Deputy Chief Ombudsman and Ombudsman for Women and Children, is the highest decision making organ within the Institution. The rules of procedure provided clear guidance on the decision making process of the Council and the timing, frequency and manner of conducting its meetings.

3. Increased partnership engagement and networking: The EIO successfully

hosted the African Ombudsman and Mediator’s Association Executive Committee Meeting as a member and as East African Regional Chair (with the highest turnout) and the fact that the AOMA was accredited with an observatory status at the African Union (AU) has proved EIO’s growing capacity and its visibility at international level. Ethiopia has also been selected to coordinate and lead the revision of the Association’s Constitution witnessing its great leadership role. The meeting between EIO, FEACC and the Ugandan Inspectorate of Government has also created a stronger relationship for future partnership.

4. Improved quality of services and decision: The number of complaints being

lodged to EIO is steadily increasing annually indicating the growing confidence of citizens on the operation and services of EIO within the last five years. This indicates that EIO has succeeded in making itself visible via the various awareness creation mechanisms (consultative workshops, trainings, Media, Winter Good Governance Campaigns, different publications.) It has also developed relatively better cooperation with executive agencies. Due to the different manuals developed


such as the Investigation Manual and Planning, Monitoring and Evaluation Manual, there is improvement in the quality and consistency of decisions being rendered by EIO. These have also helped to create a good relationship and engagement with different directorates in the Institution, regional branch offices and other stakeholders.

Below are the number, regional distribution and types of complaints lodged to EIO.

Year No. of complaints

2004/05 67

2005/06 363

2006/07 633

2007/08 1677

2009/10 1732

2010/11 2252

Regional Distribution of Complaints

No. Region No. of Files Lodged

% of total

1 Addis Ababa 2,533 39%

2 Oromiya 1,162 18%

3 Amhara 422 6.6%

4 SNNP 388 6.01%

5 Tigray 92 1.4%

6 Harari 69 1.07%

7 Afar 50 0.7%

8 Dire Dewa 29 .45%

9 Somali 23 0.36%

10 Gambella 15 0.2%

11 Benishangule Gumuze 6 0.09%

12 Unidentified 9

13 Federal Organization 1,626 25.5%


Types of Complaints Lodged

No. of Files Complaints Lodged

Complaints received

% from total

1 Labor 1,487 30.1% 2 Land and Prop-

erty 1,387 28.2%

3 Social Security 271 5.6% 4 Education Issues 144 3.0% 5 Compensation 28 0.6% 6 Service Provision 459 9.4% 7 Miscellaneous 1,039 21.2% 8 Unclassified 88 1.8%

Source: The Ombudsman Newsletter (Feb-July,2011 P. 8 & 9) 5. Enhanced capacity of systemic investigation and special reports: To identify

and address systemic issues of maladministration faced by citizens and to enhance skills, EIO conducted different consultative workshops with different government bodies. Eighteen federal bureaus have also been assessed on their structures, working procedures and complaint handling. There is also a plan to undertake same assessment on some of regional government bureaus. This has helped in prevention of possible maladministration. EIO also produced its first ever ‘Special Report” to the Federal House of People’s Representatives (HoPR), on 6 cases of different executive and administrative agencies including Addis Ababa City Administration and Regional Executive Bodies based on complaints and administrative practices. This is the first special report submitted to the House of Peoples Representatives apart from the report being submitted annually. The report needed the attention of HoPR as the agencies could not respond to and comply with the recommendations made by EIO several times. HoPR has been following up with issues and has written letters to the agencies to take the necessary action.

6. Enhanced capacity of supervisory role: EIO has exercised its supervision role for

the first time 2011. It investigated the Tigray Regional State Education Bureau, and two public schools (Mekelle Atse Yohannes Public School and Wukro Secondary Public School) and Gefersa Center for the Mentally Ill under the Ministry of Health. Based on the major gaps identified, EIO submitted detailed recommendations to the agencies.

• Rechecking with the agency and the Ministry will be done soon for the

implementation of the recommendations made.


• The assessments will also be used for providing training on the gaps and needs identified.

• The supervision has also been done in a manner where the assessment will

be used as a sample to be applied to agencies working in the same area.

• Currently EIO is developing guidelins for undertaking any supervision.

7. Standardized and Coherent management and operational systems and polices: During the reporting period, EIO developed and adopted various systems and organizational policies that enhanced its organization management capacities. These include the adoption of new human resource policy and employee’s code of conduct and monitoring and evaluation systems. These policies enabled it improve its previous ad hoc based and incoherent staff administration procedures into a coherent human resource management process. In addition, transparency and accountability are enhanced within the institution as all activities are guided by these new tools. The code of conduct has helped EIO to instill high sense of professionalism and ethical behavior among its staff.

8. Establishment of national children parliament forum. A national children parlia-

ment forum was established in the report period. Children’s Parliamentarians from all the regional states and Addis Ababa and Dire Dawa took part in the forum. More- over, speakers and deputy speakers of regional states, regional Women Bureaus, and other stakeholders attended the forum. Administrative problems concerning children are being solved by the relevant bodies as a result of the intervention of

Figure 1: A cross section of participants at the National Children’s Parliament forum


Figure 2 (r - l) Speaker of HOPR H.E Abadula Gemeda, H.E Girma W/Giorgis President of FDRE, H. E Fozia Amin - Chief Ombudsperson of EIO

children parliaments. Regional States are expanding children parliaments in their areas. As a result more than 70 children parliaments were established across the county.

9. Access the wider public through networking and collaboration with mass based

organization and civic association: The “Winter Good Governance” Campaign is a campaign that is very successful in terms of outreach and accessibility to grassroots communities by using existing structures, such as the youth and women’s federation. In this year’s campaign, similar to the 2010 campaign, the institution was able to reach and communicate its work with 4.3 million citizens (with the exception of Somali regional state). The institution observed the increment of complaints lodged (complainants cited the campaign as a result of their lodging complaints against government agencies). The institutions collaboration work with relevant stakeholders such as professional associations, Civil Societies and Grievance Hearing Bodies is bearing fruits in promoting the mandates of the institution as well as resolving maladministration at the local level. The institution was able to strengthen its collaboration with civic associations and raise awareness on proper administration, good governance and the freedom of information mandates, to millions of people. The campaign was an effective method that was able to reach large section of society over a short period of time.


10. Improved communication capacity: EIO has acquired necessary equipment and strengthen its communication department. EIO will start production and edition of different spots (short dramas) by itself that can be broadcasted through radio and television for the purpose of education and promotional activities on good governance and other activities in line with the mandates of the institution. The mini-studio has become fully functional and has been supporting the institution in developing good governance messages. The EIO has indicated willingness to open the studio to other DIP IPs.

11. Case management system – EIO developed and piloted a case management

system for handling complaints. This was internally developed by the Institution and its experience has already been shared with FEACC and EHRC that has similar need.

Implementation challenges

• Limited resource including efficient, equipped, trained and skilled human

resourses to accomplish the mission of the office.

• Challenge in result oriented planning and reporting: attention being given to only completion of activities

• Legislative gaps and mandate overlap with other democratic institutions such

as Ethiopian Human Rights Commission and the Federal Ethics and Anti- Corruption Commission. This has led to confusion among the public and huge backlog of complaints. EIO is pushing for reform and amendment to the law so as to deal with these legal impediments.

• The fact that EIO is a relatively new institution has made some of the executive

organs reluctant and unwilling to comply with the process of the investigation and the recommendations that the institution makes. However, due to the various awareness raising campaigns being conducted, the executive agencies’ response has shown some improvement.

4.3 Federal Ethics and Anti Corruption Commission

Effectiveness and efficiency of the Commission enhanced public participation in promoting ethics and fighting corruption increased and institutionalized

Key Results in 2011

1. Enhanced efficiency and effectiveness of the commission through

adopting new organizational practices and process: The institutional capacity of the Commission in performing its mandates has remarkably increased


in the reported period as a result of the various capacity building initiatives and adoption of new organizational practices and process.

• Targeted, strategically focused and synchronized public awareness raising and

communication work on selected areas such as Justice Sector, Construction sector Land administration, Tax- administration, Financial institutions and higher education. Panels, on sector specific ethics and anti-corruption issues, have been done so as to resolve the challenges in the specific sector. For instance, modules were developed and panels were organized on customs and land. The intervention contributed to the retrieval of two billion Birr worth of land, which was illegally owned.

• A registrar for tip-offs was established. This enabled the commission to provide

informers immediate response on issues including whether the case is within the jurisdiction of the commission and will be prosecuted or it needs to be referred to other institutions.

• The merging of the investigation and prosecution teams enhanced their

collaboration and efficiency. The average time required to resolve a compliant in the past was 8 months, but currently, it was reduced to 3 to 4 month.

• In the past, training on ethic and anti-corruption was provided on the request

of the institution demanding the training and it was often one day training. Training was provided on a regular basis. A module covering different aspects of ethics and anti corruption has been developed and the Commission provides a weeklong 52 training per annum.

• As part of its corruption prevention measure FEACC used to study the whole

organization suspected of corruption. However, in the reporting period the study focuses only on specific areas or departments of an institution that were at risk or vulnerable to corruption and the staff of the host institution took part in the study. Once the study is concluded, an action plan will be developed so as to follow-up the recommendations of the study.

• A team, responsible for the administration of properties confiscated/barred due

to corruption related investigation, has been established within the commission. As a result of this new practice and capacity building support, the number and quality of cases resolved by the commission has increased. All case submitted to the Commission were reviewed and necessary actions were taken. Almost all corruption cases that needed to be investigated were investigated and prosecuted accordingly. A assessment report of FEACC conducted by the research team of the Commission revealed that, the customer satisfaction on the commissions’ services delivery reached 87%, from 62% in the year 2009/2010.


No

*Total Corruption case Received and resolved

Year (EFY) Total

2001 2002 2003 2004(1/2)

1 Total tips-off and complaints lodged

2,286

2,915

3,251

1,600

10,052

a. Under the Jurisdiction of the FEACC

1,212

1,331

1,543

760

4,846

b. Out of the Jurisdiction of the FEACC

1,074

1,584

1,708

840

5,206

2 Cases Investigated

311

371

550

217

1,449

3 Cases prosecuted

75

362

757

601

1,795**

4 Other decisions *

*

*

*

*

*

5 Conviction rate (%) 86.7 96.6 86.8 85.5 88.9

* Properties returned to Government

** Some cases were investigated by Police and Tax Authority thus increasing the

rate of prosecuted cases.

Year Decisions made in favor of the Government

2008/09

• 348,970 m2 of urban land estimate price of 596,449,718 Birr • 14 vehicles, 20 residential houses, one brick factory, a share worth

173,000Birr, and 413,331 Birr deposited in the bank had injunction by the court decision.

2009/10

• 207,512 m2 of illegally grabbed land, six-storey building, nine residential units, four condos, a business enterprise and some 22 vehicles of different types, were put to injunction through court order.

• 14,800 m2 of land and 2,026,132 Birr were confiscated, and transferred to the government treasury for public use.

• 3,542,637 Birr and 3,822,357 Birr worth property, raw materials and spare parts obtained through corruption committed during the privatization process of Deber-Ziet Floor Factory, all are transferred to government ruled by the court verdict.


Cases/complaints received and treated since the commencement of the DIP by FEACC

2010/11

• Birr 8,700,000 • 25,600 m2 of urban land, of estimate price 4,370,000 Birr • 166,552 m2 of urban land, were confiscated, and returned to

government.

2011 – 6 month – last two quarters (July_ Jan)

• Properties restrained: 19,553 m2 land, 9 vehicles, 16 houses, 1 hotel, 172 ha of Agricultural investment land, 1 warehouse, and 727,155 Birr in bank deposit,

• Properties confiscated: 6 residential houses, 18 vehicles, 86,606 m2 of land, 2 motor cycles and 3,200,000 Birr (cash).All are decided to reimburse to government.

Source : The FEACC Annual Report, Published

2. Enhanced capacity of stakeholders to fight against corruption and to

promote ethics. Better relationship, coordination and partnership between the commission and the stakeholders has been established and strengthened. The National Anti-Corruption Coalition has been strengthened and institutionalized. For instance, the Coalition has designed its five year plan and approved. Some regions such as the SNNP REACC established the Regional Anti-corruption Coalition, the Tigray states REACC has been restructured and strengthened, and the Afar regional states established Afar REACC. These efforts have significantly improved the national anti-corruption efforts and contribute towards preventing incidence and acts of corruption. Civil society groups like youth and women associations have continued working on promotion of ethics and fight corruption. In addition to the efforts enumerated above;

• The Commission has established seven forums Professional Association forum,

Mass Organization forum (eg Youth Ass., Women Ass.,), Trade sector forum, Media Association forum, Religious association forum, NGO and Civil Society forum. In 2011, 113 associations were established and have been operating under these seven fora. All received several training, and technical support on how to operate and to support the Commission’s effort in promoting ethics and fighting corruption. All the forums have regular meetings with the Commission, and established system of planning and reporting. They implement their plan independently. Almost all these entities organized training for their members, at least once a year.

• Members of the National Anti-Corruption Coalition are drawn from FEACCs,

REACCs, Federal Ministries (institutions), and all the seven and opposition parties operating in Ethiopia. It is also worthy to mention that the Coalition

is effectively and very closely working with the Commission, in planning,


implementing and evaluating the plan with the Commission in the area of promoting ethics, anti-corruption, and preventing corruption incidence in the public offices. The Commission has been working with different ant-corruption clubs such as 50 Kebeles, 160 Schools and 24 Higher Education Institution with a total of 234 anti-corruption clubs.

3. The emergence of more awakened and equipped public that do not condone

unethical behavior and corrupt practices: As a result of the panel discussions, intensive awareness creation activities, public gathering and different events organized during the reported period in connection with 10th year anniversary of the establishment of the Commission and 8th International Anti-Corruption Day. These activities contributed towards increased awareness about ethics and corruption. Many public institutions (including academic institutions), public officials have started publically denouncing corrupt practices. Increasing number of the public and NGOs/CSOs, private sector, and individuals have started working closely and willingly with the Commission in fighting corruption and promoting ethics.

Implementation Challenges

• Skill gap in areas of investigation and prosecution

• Lack of especial forensic investigation tools

• Financial constraint for increased public outreach.

4.4 National Election Board of Ethiopia

Enhanced capacity of the Electoral Board to organize free, peaceful and credible elections Key Results in 2011

1. Improved relationship and collaboration among key stakeholders - Parliament and

State Councils, PAC, Media, Audit Offices, Law Enforcement and the Judiciary, Joint OAGs Session, Internal Auditors, Private External Auditors. The level of awareness amongst different stakeholders on the findings of audit reports and the remedy measure they have to take on their respective part had been very minimal. For instance, Parliaments’ follow-up action on audit report had been insignificant. Hence, it had been difficult for OFAG to enforce the measures that needed to be taken by different stakeholders. Hence, in order address these challenges and enhance the ownership and awareness of its stakeholders, OFAG invited them

Cases/complaints received and treated since the commencement of the DIP by FEACC


in its Auditors General National Annual Conference. The participants included representatives of federal and regional councils, Public Accounting Committee members (PACs), FEACC, MoFED, BoFED, OFAG and ORAGs. The conference created an opportunity to raise the awareness of different stakeholders on the importance of audit and the measures that needed to be taken on the respective part as per the audit findings. It is intended to make them part of the solution, to make them accountable and take a follow-up action. Accordingly,

o The federal and regional state councils formed a forum and passed resolution

so as to enhance their follow-up action on audit findings and decided to develop a checklist.

o MoFED and BoFED also agreed to revise and develop policies and strategies

that enhance the follow-up action and improve on technical competence

o FEACC and OFAG also agreed on their future engagement direction 2. Adoption of uniform voter education manual through a broad stakeholder

consultation: During the previous elections, Civic and Voter education was given without a comprehensive manual. There was a material that NEBE used, but it was not prepared in the format of a manual, and it was unilaterally prepared by NEBE. Other entities that conducted the civic and voter education used their own materials. Therefore, there was no uniformity in giving civic and voter education to the public. NEBE maintains that some of the unrest created during the past General Election was due to the lack of uniformity in the education given to the public.

• The new manual introduced uniformity of content in the Civic and Voter

Education. This means other than the usual contents on the Constitution, Human Rights and the details of the Electoral Laws, it also teaches about the history of election in Ethiopia, changes registered throughout the different regimes, how the participation of the public and also the types and administration of elections have changed since the first election in the history of the country, what the participation of women looks like throughout this process, what rights, duties and responsibilities do Voters have in the electoral process, what process of administration of elections entails NEBE actively engaged and incorporated the views of wider sections of stakeholder i.e. democratic institutions, higher education institutions, regional branch offices, Civic Society Organizations, media, relevant government ministries and bureaus while developing the manual. The manual has now been translated into different languages and being distributed to various stakeholders.


3. Stocktaking of performance: NEBE undertook evaluation of its performance during the May 2010 election. The evaluation indentified strengths, weakness and areas of improvement in the election process. Political Parties were consulted on the draft Post Election Evaluation Report to review and validate the draft report. They provided comments to improve the coherence and structure of the report. As it is the first ever Post Election Evaluation Report in Ethiopian history, the validation workshop was useful in that it brought all the Political Parties together to discuss the strengths, the weakness and challenges of the administration of General Elections made in 2010. This has helped NEBE for the first time to systematically evaluate all aspects of the administration of the election. NEBE has thus initiated various interventions based on the findings.

4. Developing an electronic Data base system. NEBE developed electoral database,

updated its website regularly to provide for publicly accessible electoral information in order to create a comprehensive information reservoir that allows NEBE to store information in a reliable way and also serves the public. The database covers all kinds of elections - general elections, local elections, bi-elections and referenda.

5. Improved relationship, partnership and networking. Through continuous

consultations and trainings provided to stakeholders (political parties, CSOs, Media), NEBE was able to improve its engagement with its stakeholders. NEBE is also building good and trusting relationship, particularly with political parties. The latter have started to bring forward and discuses their issues and challenges openly with NEBE. NEBE learnt several valuable lessons from experience sharing visit visits to different countries such as Mexico and South Africa.

6. Operational Resource Center: The resource center which is now equipped

with different materials such as server, books, furniture, computers, printers and photocopy machine has created a conducive environment to access different election related materials to staff and the public.


• Staff turnover both at the Head office and Branch Offices

• Delay in decision making

• Shortage of expertise in different areas

• Staff giving more attention to implementing the regular activities

4.5 House of Federation

Enhanced capacity of The House of Federation to discharge its mandates of functioning mechanisms for equitable federal grants allocation, interpretation of the constitution, increased awareness of citizens on their constitutional rights, resolution of issues regarding nationalities and nations, resolution and mediation of conflicts maintenance of unity and economic balance.

Key Results in 2011

1. Increased constitutional awareness: HOF continued to create massive awareness

on the Constitution of the Federal Republic of Ethiopia to gain better understanding country wide through weekly radio programmes. The children cartoon television series developed continued to gain wider publicity and acceptance through weekly broadcast by Ethiopian Television.

2. Upgrading budget transfer system: The HoF commenced review of the current Grant Sharing Formula with consultancy and workshop for stakeholders drawn from the regions and federal ministries. To formulate accurate budget transfer formula in the country, stakeholders agreed that regional states should provide reliable and accurate information or data and as much as possible in harmony/compatible with Central Statistical Agency (CSA) data. The other critical issue identified is that budget transfer experiences of regional states and the federal government are supposed to be investigated further and documented to assist in the review of the formula. The stakeholders also agreed that awareness of the society needs to be increased on how budget transfer formula is formulated. Results from the consultation include the following:

• The understanding of the budget grant sharing formula for the development goals of the country has been increased.

• Stakeholders have a better understanding of their contribution, and the need for further training has been identified.

• Through participants from regional states, regions are able to upgrade (more fair and efficient) their budget transfer system for sub regional budget distribution. A road map has been developed for follow up of formulating the new upgraded grant sharing formula.

• Members of the House of Federation are equipped with the necessary knowledge to make decisions on the 2005 E.C. (2012 G.C.) Grant Sharing Formula.

• Data from all regional states and the two city councils have been collected for analysis which will take place in the next quarter.


• Research, Decision and Implementation Follow up Directorate team is more actively involved in the process of updating the 2012 Grant Sharing Formula than it has been the case during the last formula review.

3. Faster and efficient accessibility to information and responses to claims:

The HoF has designed a Web Based Intranet in such a way that it gives online collaborative service to customers. The web-based intranet has three applications;

• Claim Application: this is an application where customers/ citizens send their

claims and receive responses via the web

• Conflict Reporting Application system: this is where conflicts are reported to the House of Federation and the issues are analyzed.

• Research Application: research institutions are contacted and assigned to

carry out researches on certain topics via this application

• It also serves the purpose of SMS to send messages like call on meetings to the secretariat staff and the members of the House of Federation. It is expected that the application would be operational and available to the general public in 2012.

4. The video-conferencing improves the communication capacity of the HoF, access

to partners provided, training can now also be organized through this means, stakeholder communication within the country will benefit through this as well. The video-conferencing system is accessible for men and women in the same way.


• HoF exhausted its allocated resources and faced the challenge of continuing

until December 2012. The additional resources provided by SIDA covered the additional resources need to service the 2004 approved AWPs until December 2012.

• The HoF faced a challenge to proceed with some of the activities because all

directors and some staff members were in training for two consecutive months.

• The HoF and the Institute for Peace and Security Studies (IPSS) settled a Memorandum of Understanding dated April 16th, 2010 for building a partnership in order to work jointly towards conflict prevention, management and resolution and other issues of peace-building as part of their common mission. On the signing of the MoU with HoF, DED (now GIZ) planned to provide a joint fund for the project, but pulled out at a certain point. This created a disagreement with IPSS since they had no initial budget for staff recruitment and the DIP policy did not allow such activities to be carried out. This disagreement has been resolved meanwhile, but IPSS’ budget report to the HoF is still due for submission.


4.6 House of Peoples Representatives and Regional State

Council

Enhanced capacities of the HoPR and RSC in effective law making process oversight management public consultation and popular representation.

Key Results in 2011

1. Intensive and productive legislative oversight and representation functions:

MPs at all levels have emphasized that the DIP support has provided them a practical opportunity to leverage and effectively exercise their oversight function. The MPs and the standing committees are now able to undertake a thorough field visit to monitor the implementation of the Government programmes and projects that resulted in an increased confidence to leverage and make the executive more accountable for their performance. As far as the parliamentary oversight is concerned, a number of results have been attained with the support of DIP program especially through the committee based field visit.

• Access to information to citizens has been increased through parliamen-

tary oversight. The oversight work of the parliament is increasingly getting a wide media coverage that increased access of information to citizens regarding the performance of government towards implementing policies, programmes and projects. As a result of the oversight, the MPs tried their best to pin point the gap and give direction and recommendation to improve the service and functioning of the government organizations in order to meet the stated objectives and goals towards delivering a better services to the citizen.

• Confidence of parliamentarians has been increased through the practical

oversight exercise. The committee based field trip has increased MPs’ capacity to have better access to information from primary sources, i.e. the recipients of government services and provide an opportunity for MPs to better interact with citizens. This has given the MPs courage to exercise their mandate and make the executive more accountable for their actions. Through this it is believed that accountability of the executive would be increased.

• Capacity of parliamentarians has been enhanced. The skills and

understanding of MPs have been improved regarding their roles and responsibilities towards exercising parliamentary oversight function. Clear understanding of the separation of powers between parliament and government has been created. Presently, the executive at all levels have come to respect the power of the parliament.

• Working mechanisms have been improved. The MPs are now using a

standardized checklists and formats to make a quality and effective oversight


in light of checking and balancing what the government is doing. This has given the Parliaments to sustain their interventions, to bear significant independent expertise, and exercise effective leverage in their oversight activities and policy initiatives with respect to the executive.Oversight has contributed towards improving Service delivery. The fieldwork-based activities of standing committees have become more significant both at federal and regional levels. Due to the critical and valuable comments of the standing committee on the performance of the executive organ that increased accountability, the executive became more responsible to discharge its function with respect to delivering basic services to the people.. The standing committee made sure whether public institutions like education, health and water are built and completed on time by keeping their standard and giving the expected services to the peoples. It was noted that due to the continuous and frequent oversight of the parliamentary committees, the pace of project implementation like road construction, education and health institutions and water projects have been improved in many places across the country.

2. Increase knowledge of parliamentarians on the role of the House: RSCs confirmed that the experience sharing among different RSCs has enabled them to learn a number of new things which helped them to enhance capacity in exercising their mandates. For instance, it was reported by Harrari RSCs that they were able to learn that the Standing Committee in Dire Dewa and Addis Ababa are better organized and effectively carry out their mandates as compared to that of Harrari. They indicated that even though they have similar standing committee structure, they got input on how to practically and effectively carry out their tasks following the experience sharing from other RSCs.

3. More inclusive Speakers forum: The Speakers forum has been promoted and

strengthened in order to further expand and share knowledge and skills among the leadership and professional staffs of the parliament both at federal, regional, city and Woreda council levels. The forum was established in 2005 aiming at sharing experience about parliamentary reform, law making process, oversight and representation. All the activities undertaken by the forum are carried out with the full support of UNDP through DIP. The speakers’ forum has been upgraded and well promoted in a sense that a new memorandum of Understanding (MoU) has been endorsed to transform the speakers’ forum into a joint council’s consultation forum comprising of the Speakers, deputy speakers, chairpersons of standing committees, and heads of secretariat of both HoPR, HoF, RSCs and CCs. In addition to this, it was agreed that the government whips and members of the advisory committees of the HoPR, HoF, RSCs and CCs to be part and parcel of the forum. The women’s and standing committees’ forums would also be part of the joint council’s consultation forum.

4. ICT development and expansion: HoPR inaugurated its ICT expansion and

development project in the reported period. The system has the following components: Network infrastructure design, installation, configuration and


commission services, Digital Audio Recording and Digital Library System, Web and internet configuration system, installation and configuration, Live Communication System and E-mail Management System, Automation System for Human Resource Management System (HRMS, Material Management System (MMS), Document Management System (DMS), Intelligent and multi functional kiosk application that can incorporate all the activities of related to meetings of the HoPR. It was also remarked that training was provided to HoPR network administration to deploy the system. The system would enhance communication within the parliament and between the parliament and citizens.

• Implementation Challenges

• Delay of reporting from the RSCs and CCs and lack of getting detailed report

as well.

• Slow procurement process, especially at HoPR.

• Slow pace of implementation and lack of prompt decision due to official’s engagement in other duties ( meeting and prolonged training)

4.7 Office of the Auditors General and Regional Offices of Auditors General

OAGs across Ethiopia appropriately trained and capacitated allowing them to carry out their constitutional mandates in accordance with internationally recognized standards and in an institutional framework where audit work is followed up by due parliamentary process and reported in the public domain leading to greater accountability of the executive to the legislature and citizens.

Key Results in 2011

1. Improved relationship and collaboration among key stakeholders - Parliament and State Councils, PACs, Media, Audit Offices, Law Enforcement and the Judiciary, Joint OAGs Session, Internal Auditors, Private External Auditors. The level of awareness amongst different stakeholders on the findings of audit reports and the remedy measure they have to take on their respective part has been very minimal. For instance, Parliaments’ follow-up action on audit report has been insignificant. Hence, it has been difficult for OFAG to enforce the measures that needed to be taken by different stakeholders. In order to enhance ownership and awareness of its stakeholders, OFAG invited them for its Auditors General National Yearly Conference. The participants included representatives of federal and regional councils, Public Accounting Committee members (PAC), FEACC, MoFED, BoFED, OFAG and ORAGs. The conference created an opportunity to raise the awareness of different stakeholders on the importance of audit and the measures that needed to be taken on the respective part as per the audit findings. It is intended to make them part of the solution, to


make them accountable and take a follow-up action. Accordingly,

o The federal and regional state councils formed a forum and passed resolution so as to enhance their follow-up action on audit findings and decided to develop a checklist.

o MoFED BoFED and also agreed to revise and develop policies and strategies that enhance the follow-up action and improve on technical competence

o FEACC and OFAG also agreed on their future engagement direction

2. Improved Audit quality and coverage: OFAG/ORAGs continued to develop the skills of its auditors in the regions as well as at the federal level through training and long term education to improve the capacity for quality audit. Due to a continued effort to enhance the capacity of staff, the quality of audit report, its timeliness and coverage improved. There is no audit backlog at federal level. This has been made possible by implementing interim audit system. There is an effort to replicate the experience to regional level. The use of international audit standards enabled OFAG deliver uniform services throughout the country which has led to improved quality, coverage and efficiency.

3. Improved Audit Environment: OFAG has been largely understood as a fault finder by the different stakeholders. Due to the awareness raising effort of OFAG, there is now a remarkable improvement in the acceptance of OFAG by its stakeholders.


• The budget allocated from the government for education and training is very minimal

• The audit coverage in some regions is very minimal and it is exacerbated by lack of adequate transportation. Some regional offices have only one vehicle and it has been a hindrance to increased audit coverage.

• Lack of resource center/ library has been hindering knowledge transfer amongst staffs and enhanced the challenges in times staff turnover.

• Lack of qualified personnel mix that can undertake different types of audits (environmental audit, gender audit, etc) and a national institution that can provide training.

• Frequent change in international auditing and accounting standards.

• Due to issues related to jurisdiction some tasks have proved to be difficult to undertake.


Program Management and Coordination and Support Programme Steering Committee: Following the approval of the Mid-Term Evaluation recommendation to streamline the management arrangement forming the Programme Steering Committee (PSC), the committee was inaugurated in 2011. The PSC held two rounds of meeting in 2011. The first meeting was held on the 12th of April and discussed agenda items related to expansion of the DIP to Regional IPs; Gender and Communication Strategy; MTE Recommendations implementation Action Plan and PSC terms of reference. The second PSC was held on 6th of September 2011 and discussed on program progress, DIP funding gap and analysis, proposal and recommendation for regionalization and NEBE external evaluation.

DIP Coordination Unit (DIP/ CU): As a coordination unit, the DIP/ CU carried out a number of activities during the reported period. Apart from facilitating various Donor and IP meetings, the CU carried out the following major activities:

Monitoring activities: The CU in line with the established Programme Monitoring and Evaluation Framework employed various mechanisms to follow up implementation of the programme as per the approved work plan. Accordingly, it held a total number of 5 program officers meetings, two quarterly PMUs per partner institution, and a number of close day to day follow up, support and troubleshooting to provide solutions to implementation challenges encountered. The monitoring activities the CU held have contributed towards accelerating delivery, providing substantive advice and identifying and responding to programme challenges timely.

Technical backstopping: The CU provided various technical supports to the IPs in 2011. In this regard, the technical support provided by CU includes paper presentation, sharing international experiences on thematic issues, reviewing plans and advising on programme implementation.

Organizing capacity building trainings: Organized a number of capacity building trainings for its IPs as per the recommendation of the MTE in 2011. The following are very important training events organized by the CU in the reported period i.e. Leadership Training, Result Based Management (RBM) and Human Right Based Approach (HRBA) trainings. The CU also facilitated BRDGE training for NEBE.

Study tours/visits: The DIP/CU facilitated various training and study tours for the DIP IPs. The IPs returned with experiences that have assisted in improving their overall capacity.

Facilitation of Procurement: The CU facilitated procurement for the IPs for critical equipment not readily available locally.


Figure 3: Participates at the leadership training for DIP IPs Stakeholders’ Activities The CU organized various stakeholder events during the reporting period such as DIP IPs retreat, knowledge sharing forum, DIP monthly briefing sessions, two ad-hoc meetings and a number of task force meetings. The following is brief description of some of the events.

• DIP IP retreat: A retreat was organized in January 2011 to review programme performance of 2010 and plan for 2011, identify challenges and achievements as well as to discuss issues of future implementation. It also provided an opportunity for cross institutional cross cutting issues such as gender, monitoring, communications.

• Knowledge Sharing Forum: The midterm evaluation identified the need for stakeholders and programme partners to engage substantively on the programme. The DIP Knowledge Sharing Forum was established to facilitate experience and knowledge exchange among the programme stakeholders. Other initiatives include the establishment of knowledge sharing platform and annual communication forum. The knowledge sharing forum provides an opportunity to share and gain experience from a larger group of governance stakeholders, in addition to contributing to building knowledge and enhancing the IPs’ capacity to deliver on their mandates. The forum further explores other opportunities for enhancing the capacity of the IPs to deal with core good governance issues of participation, responsiveness, effectiveness and efficiency, accountability and transparency, equity, rule of law and human rights. In 2011, DIP organized two rounds of knowledge sharing forums.

The first knowledge sharing forum was organized in March 2011 focusing on the role of the DIP IPs in realizing the GTP from their respective mandates perspectives. Some of the key roles identified by IPs in support of the Government’s Growth and Transformation Plan center mainly around the promotion of human rights, accountability and transparency and popular participation of citizens in the development process. The



products from the KSF would be compiled, published and widely disseminated in 2012.

The second knowledge sharing forum was organized by DIP CU in collaboration with the House of Federation (HoF) in October2011 on “Fiscal Equalization”. The House of Federation has been reviewing the grant sharing formula, and hence, the objective of the second KSF was geared towards exchanging experience and draw inputs from the practices of other countries.

• DIP Monthly Briefing Sessions: The DIP/ CU introduced monthly DIP donors briefing since January 2011. This is a forum where the CU shares information with donors and presents briefs on overall programme implementation progress, challenges and upcoming events when necessary. IP representatives are invited to interact with partners and provide information on specific issues of interest. During the reporting period, the EHRC and NEBE presented their implementations in relation to legal aid centers and Post Election Evaluation Report respectively.

• Ad-Hoc meetings and Task Force meetings: As per the decision of the PSC in April 2011, the first Ad-hoc meeting was held in June 2011. The ad-hoc meeting, chaired by MoFED, discussed the draft gender and communication strategy action plans, DIP logical framework, and the regionalization plan. As FEACC, HoF and DIP/ CU had experienced funding gaps which had become crucial; task forces were established to review the draft logical framework, and the regionalization plan. The documents were revised following the recommendations of the task forces with a view to refining them and fine tuning them for the PSCs decision in August 2011.

Challenges and Lessons during the implementation of AWPs in 2011

Notwithstanding the notable improvement in the implementation of the 2011 AWPs by partners, some challenges were encountered during the period under review including the following:

Operational: Most of the challenges reported by implementing partners related to operational issues such as delays in fund transfer and reporting from the field. Since these challenges were reported in the first and second quarter reports of the IPs, the DIP// CU discussed with management of all IPs during Programme Management Unit (PMU) meetings to reflect on how to address the challenges faced. Appropriate solutions have been provided. For instance, in relation to the delay in procurement process, a challenge that almost all IPs are grappling with, the DIP/ CU organized training for procurement officers, procurement endorsement committee members, internal auditors, and finance officers for all DIP IPs.

Technical/Reporting: Some IPs still have challenges in complying with the RBM reporting thus impacting on their ability to project their results. The training organized by DIP /CU on RBM for all DIP IPs have to some extent ameliorated this challenge. However, full utilization of RBM principles and tools needs continuous efforts and emphasis which needs more time and continues engagement to produce result based planning and reporting.

Annex I: Financial Report

1. Summary Of Financial Report (in USD

Donor Opening Balance for 2011

Contributions Received

in 2011

Total Funds Available

Expenditure in 2011 Balance

Government of Austria 20,617 142,400 163,017 162,090 927

Government of Canada 1,648,044 3,058,104 4,706,148 3,245,167 1,460,980

Government of Denmark 147,461 - 147,461 147,574 (112)

Government of Ireland 17,390 - 17,390 17,103 287

Government of Italy 6 - 6 6 0

Government of The Netherlands 192,358 1,980,000 2,172,358 1,540,246 632,112

Government of Norway 526,220 2,366,519 2,892,739 1,742,414 1,150,326

Government of Sweden 1,050,084 - 1,050,084 1,101,583 (51,499)

Government of the United Kingdom 593,542 1,582,758 2,176,299 1,114,862 1,061,437

European Union 198,443 1,615,153 1,813,596 1,394,671 418,925

OHCHR 12,308 - 12,308 12,105 203

UNDP 985,000 985,000 981,184 3,816

USAID 274,688 - 274,688 - 274,688

Total 4,681,161 11,729,933 16,411,094 11,459,004 4,952,091

Note: 1.Figures in this report are provisional until the Certified Financial Statement is issued by the UNDP Comptroller in June 2012



Table 2: Implementing Partners 2011 Budget and Expenditure (in USD)

IPs

Allocated Budget

for 2011

Expenditure

in 2011

Delivery %

Ethiopian Human Rights Commission (EHRC)

2,032,634

2,084,025

103

Ethiopian Institution of the Ombudsman (EIO)

1,310,250

1,236,526

94

Federal Ethics and Anti-Corruption Commission (FEACC)

1,172,753

1,177,009

100

House of Federation (HoF) and Southern Nations and Nationalities Region-Council of Nationalities (SNNPR CoN)

664,419

685,511

103

House of Peoples Representatives (HoPR) and Regional State Councils (RCs)

3,283,000

3,069,972

94

National Electoral Board of Ethiopia (NEBE)

1,691,000

1,498,912

89

Office of the Federal Auditor General (OFAG) and Offices of the Regional Auditor General (ORAGs)

1,373,880

1,338,006

97

DIP Coordination Unit

506,542

369,043

73

TOTAL

12,034,478

11,459,004

95

Note: 1. Figures in this report are provisional until the Certified Financial Statement is issued by the UNDP Comptroller in June 2012.

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Table 3. Overview of Donor Contributions per DIP Sub-Programme for 2011

Donor

Total

Contrib ution (USD)

Budget Allocation per Sub-Programme in USD EHRC EIO FEACC HoF HoPR NEBE OAG DIP CU

Government of Austria 163,017 163,000 - - - - - - -

Government of Canada 4,706,148 1,063,396 200,000 517,000 135,642 1,728,000 20,449 165,678 10,000

Government of Denmark 147,461 60,000 50,000 37,300

Government of Ireland 17,390 17,120

Government of Italy 6 - - - - -

Government of The Netherlands 2,172,358 90,000 484,750 125,500 17,000 720,000

Government of Norway 2,892,739 320,000 226,549 31,253 255,351 421,922 22,726

Government of Sweden 1,050,084 120,964 129,000 185,000 115,746 366,100 133,274

Government of the United Kingdom 2,176,299 204,000 50,000 321,777 175,000 181,200 65,000

Europian Union (EU) 1,813,596 175,274 65,951 115,000 190,000 583,000 301,134 382,880 6,542

OHCHR 12,308 - - - - - - - -

UNDP 985,000 100,000 234,000 552,000 30,000 69,000

USAID 274,688 -

Total 16,411,095 2,032,634 1,310,250 1,172,753 664,419 3,283,000 1,691,000 1,373,880 506,542

Note: 1. USAID Contribution was not utilized after 30 September 2010 as requested by the donor. 2. Figures in this report are provisional until the Certified Financial Statement is issued by the UNDP Comptroller in June 2012.

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Table 4. Expenditure details by budget lines for 2011 (in USD) DIP Co-

Budget lines (Account code) Support to EHRC

Support to EIO

Support to FEACC

Support to HoF

Support to HoPR

Support to NEBE ordination

Unit

Support to OAG

Total Expenditure

International Staff 0 0 0 0 0 0 199,938 0 199,938 Contractual Service-Individuals 16,520 29,514 157,521 9,689 60,130 12,652 50,042 84,956 421,022 UN Volunteers 35,231 33,348 9,542 9,557 11,046 5,393 104,116 Total Staff Cost 51,751 62,862 167,063 19,245 60,130 23,697 255,372 84,956 725,076 Local Consultants 5,186 17,456 7,683 44,816 1,022 6,028 82,191 International Consultants 17,600 7,285 24,885 Total Consultant Cost 5,186 17,456 0 7,683 17,600 44,816 1,022 13,313 107,076 Furniture 28,868 2,817 12,677 43,273 1,973 44,617 134,225 Office Equipment 105,573 50,748 244,144 33,096 5,834 56,613 496,008 ICT Equipment 48,771 156,407 12,537 6,772 224,488 Transportation Equipment 238,515 183,116 364,805 786,436 Communication & AV Equipment 1,377 88,191 43,357 8,413 624,901 11,473 777,712 Total Equipment Cost 374,333 322,055 51,589 43,357 786,446 713,807 7,807 119,475 2,418,869 Service Contract-Companies 339,700 21,573 37,077 3,452 15,430 79,006 6,538 8,718 511,495 Total Service Contr-Comp. 339,700 21,573 37,077 3,452 15,430 79,006 6,538 8,718 511,495 Stationery and other office supplies 40,884 10,747 103,314 2,678 92,208 6,481 439 24,713 281,465 Books 0 0 0 0 0 0 0 0 0 Total Supply cost 40,884 10,747 103,314 2,678 92,208 6,481 439 24,713 281,465 Printing and Publication cost 175,009 79,168 131,536 77,564 182,312 102,040 5,356 29,938 782,923 AV Production Cost 159,749 64,728 116,558 183,274 95.77 97,925 488.76 8,475 631,292 Total Promotional Cost 334,758 143,896 248,094 260,838 182,408 199,965 5,844 38,412 1,414,215 Training cost 41,380 41,380 Workshops 594,864 408,992 257,531 220,909 1,393,592 227,774 41,164 729,871 3,874,696 Study Tour 40,439 46,760 84,093 1,791 26,311 91,397 290,791 Travel 24,000 72,035 155,446 16,604 281,538 47,856 3,388 38,920 639,785 Total Learning Cost 700,683 527,786 497,069 239,304 1,675,130 301,940 44,552 860,189 4,846,653 Professional service cost 11,927 12,624 7,488 32,038 Utilities 34,486 10,503 305.76 865 118 4,570 3,060 53,907 Sundry 43,166 40,122 78.56 56,857 28,226 3851.39 18,571 77,938 268,810 Miscellaneous 89,578 50,625 79 57,163 29,091 16,593 23,141 88,486 354,755 TOTAL: 1,936,873 1,157,001 1,104,285 633,721 2,858,441 1,386,306 344,715 1,238,262 10,659,604 GMS 127,902 67,182 60,090 44,363 178,554 97,687 20,406 86,667 682,851 Exchange rate loss 19,251 12,343 12,634 7,427 32,977 14,920 3,922 13,076 116,550 Grand Total 2,084,025 1,236,526 1,177,009 685,511 3,069,972 1,498,912 369,043 1,338,006 11,459,005

Note: 1. Figures in this report are provisional until the Certified Financial Statement is issued by the UNDP Comptroller in June 2012.

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Annex Two: DIP Logical Framework Analysis 2011. Democratic Institutions Programme Results Framework

Results Indicators Baseline

Target Means of Verification

2008 - 2012

Risks & Assumptions

Progress towards Outcome as at June

2011

Programme Outcome

1. Level of satisfaction of citizens of services rendered

Baseline not conducted prior to commencement of programme implementation

60%

Independent Perception survey, DIs report to parliament, evaluation reports

Ability to finalize the perception survey timely.

Study to be conducted end of programme implementation

Well-structured and well-functioning institutions that embody open, transparent and democratic governance which respects the rights of all its citizens as enshrined in the Constitution (Adapted from the PASDEP, P. 176)

2. Institutionalized systems of accountability, transparency and participation

3. Level of

awareness of the people about their rights, corruption and ethical standards

Baseline not conducted prior to commencement of programme implementation Baseline not conducted prior to commencement of programme implementation

7 DIs 60%

Perception survey, DIs report to parliament, evaluations reports Perception survey, DIs report to parliament evaluation reports

Study to be conducted end of programme implementation Study to be conducted end of programme implementation to determine progress

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Results Indicators Baseline Target Means of erification

Risks & Assumptions

ogress towards Outcome as at June 2011

2008 - 2012

Output 1

Enhanced capacity of EHRC to promote, enforce and protect the rights of citizens, and to receive, investigate, follow- up on complaints related to human rights violations and abuses and periodically report on its work in the public domain.

Number of National Human Rights reports produced by the EHRC detailing human rights cases pursued , actions taken and results of investigations (status, thematic, monitoring reports)—this can be disaggregated by cross-cutting issues such as gender, HIV/ AIDs, PWDs, etc

na 3 Human

rights reports produced

Published reports Timely released

high standard report

• Data gathered and being analyzed

for the first report to be produced Human Rights Situation Report:

- Relevant data has been collected. • Two external experts were hired,

who teamed up with the staff of the Commission.

- The first draft of the report has been prepared.

- But the report is still not yet made public.

• Prison Monitoring Report: EHRC has monitored all prisons found in the country. Based on the monitoring data (collected using questionnaires and checklist) nine separate reports at regional levels, one at a federal level and an additional report on Rehabilitation Centre for Juvenile Delinquents have been prepared. The first draft of a comprehensive status and baseline reports on the conditions of prisons and rights of prisoners has been also prepared.

• The report is still not yet made public

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Human Rights Action Plans prepared in an all-inclusive participatory manner, approved and implemented

na

1

Finalized action plan

As participation of many actors is required, the process of finalizing the action plan my take some time

• National coordination committee members conferences were conducted in all regional states and City Administrations and relevant data that will be used as input for the preparation of the NHRAP was collected

• The NHRAP is being draft and is expected to be finalized in March

• A two days induction training for member of the NHRAP task force was provided in order to enhance their knowledge and skills.

• Members of the Executive National Coordination Committee (have five members) meet every week and members of the Steering Committee meet every month

Number of EHRC outreach centres established and operational

na

At least 6 branch offices, 150 legal aid centres

Annual performance report of EHRC to Parliament, DIP Evaluation report; Independent perception Survey

Availability of resources to meet required increase in budget.

• Six branch offices have been opened and providing service to the public in Mekele, Jimma, Bahirdar, Gambella, Hawassa and Jigjiga .

• 112 legal aid centers open and providing service to indigent citizens.

• 4,865 (2,482 female and 2,383) indigent citizens benefited from the service of the legal aid centers.

% decrease in number of outstanding state party reports of GoE to UN and African human rights treaty bodies

19 outstanding reports to UN and regional Treaty bodies (2007)

0 outstanding reports

State party reports submitted to and considered by treaty bodies

Follow up on Treaty Body Observations: - A consultative workshop is planned to discuss with and sensitize relevant stakeholders on the observations of treaty bodies.

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Follow up on the implementation of UPR recommendations: - A national workshop in cooperation with MoFA was organized on the implementation and follow up of the UPR recommendations. - Relevant institutions mandated with the task of implementing specific recommendations of the UPR were identified and communicated on their duties and responsibilities in line with the UPR recommendations. - The EHRC is also planning to hold monitoring the implementation of the recommendations as per its communication to the relevant stakeholders on the implementation of same.

% increase in the cases/complaints effectively resolved out of number submitted to the EHRC disaggregated by sex/ social group/regions.

48.4 % [545 cases out of which 264 resolved] (2009/10)

80% Annual

performance report of EHRC to parliament

All pending reports have been cleared in 2010 Ethiopia has undergone periodic review by the UN Human Rights Council. • A total of 590 cases have been

submitted to the Commission at the Federal level and effectively handled.

• Of this 452 were male and 138 were female.

• In addition more than 260 cases were handled by the branch offices in last two quarters 2011.

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Proportionate increase in number of recommendations/ advise /opinion provided to parliament on harmonization of laws with human rights standards

0(2007) 100 % of new legislations ;at least 5 laws already enacted

Parliamentary records, EHRC reports ,Amended legislations as per EHRC’s advise

No progress recorded yet

Output 2

Enhanced capacity of the EIO to receive, investigate and follow up on administrative complaints and for ensuring access by citizens to information ( resulting in improved promotion, claiming and enforcement of both male and female citizens’ rights)

Number of maladministration complaints filed to EIO (disaggregated by sex of the complainant?)

67 (2005) 7000 EIO Reports A total of 7,323 complaints (3,367 Male, 1,245 Female and 2,711 unidentified) were filed.

% increase in the cases/complaints effectively resolved out of submitted to the EIO

39.9%[138 Cases with 3018 complainants out of which 36 were resolved and 19 that were not within the jurisdiction of the EIO (2009)

80% EIO Reports In the last six months of 2011

• Complaints lodged to EIO/Per No. of Files/ 1339

• Complaints found outside the jurisdiction of EIO 1024

• Complaints resolved through mediation ( with the executive organ) 88

• Complaints investigated 302

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• Complaints where there was no maladministration found 210

• Complaints where maladministration was found, recommendations made 28

Number of EIO branch offices established

0 5 Annual performance report of EIO

Branch offices are opened in five regions i.e. Amhara, Tigray, SNNPR, Oromia, Dire-Dawa.

Number of enforcement regulations passed

0 At least 4 EIP developed the following Regulations and Directives through the support of DIP: Developed and published - FOI Reporting Guideline - FOI Complaints Handling Guideline

Developed but not Published : - Records Management Guideline. - Whistle Blowers Protection Regulation. - Classified Information Act - A training manual.

FOI implementation officially launched on Dec. 5, 2011

Number of recommendation provided by EIO for review of administrative procedures and directives to reduce maladministration in the civil service

0 At least 3 EIO Reports Two Grievance Hearing procedures and directives are recommended to be revised. No progress has been recorded yet

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Publicly available reports made by the Ombudsman

0 At least 2 EIO Reports AWP Performance Report which was

presented to the HOPR - The EIO’s Communication Strategy and Gender Strategy Document to be posted

Output 3

Effectiveness and efficiency of the Commission enhanced, public participation in promoting ethics and fighting corruption increased and institutionalized

Number of corruption cases investigated and successfully prosecuted out of number submitted to FEACC

2,950 cases received, 371 investigated, 362 prosecuted (2009/2010)

100% of cases reported to FEAC are dealt with (referred to appropriate institutions, investigated, prosecuted…)

Annual report of FEACC

Awareness on corruption prevention leading to reduction in corruption incidences.

In 2011: • 2910 Cases reported • 328 Cases investigated • 729Cases prosecuted • 1575 Cases fall out of the

commission jurisdiction • 278 Cases referred to other

relevant organs (delegated)

Status of extent and perception of corruption known

na One nationwide survey that reveals the extent and perception of corruption conducted

Regular assessments, targeted surveys, perception surveys

Survey is conducted and draft report discussed with stakeholders

Mechanisms in place and operational to deal with corruption in public sphere

No national corruption monitoring framework; no national anticorrup- tion strategy; 1-FEACC establishment proclamation

Anti- corruption coalition, management system, national anti- corruption strategy, Asset Registration legislation

Annual Report of FEACC

Anti-corruption strategy acceptable to FEACC

Asset registration proclamation in place and being implemented • The asset of more than 30,000

public servants and officials registered

• National Anti-Corruption Coalition

formed and operational

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Mechanisms in place and operational to deal with corruption in public sphere

No national corruption monitoring framework; no national anticor- ruption strategy; 1-FEACC establishment proclamation

Anti- corruption coalition, management system, national anti- corruption strategy, Asset Registration legislation

Annual Report of FEACC

Anti-corruption strategy acceptable to FEACC

The national Anti-corruption Coalition founding charter 2009, envisaged the following objectives: - to create a society that would not tolerate corruption thereby joining in concerted and integrated effort in perseverant fight against corruption in ever front and promoting integrity’. Member of the National Anti- corruption coalition include : - Government representatives - Federal and Regional Ethics and Anti-corruption Commissions, - House of Peoples Representatives, - House of Federations, - Prime Minister’s Office, - EHRC IEO, OFAG - NEBE, Federal Police, Federal Supreme Court, Federal Prison’s Administration, MoFED, MoJ, MoE, MoCB, , MoWA, MoYS, Ethiopian Revenue and Custom Authority, Federal Civil Service Commission National Bank of Ethiopia, Privatization and public enterprises supervising Agency, Judge and public prosecutors’ training center), Civil Society Representatives (The commission and Professional Association Forum, The commission and mass organization Forum, The commission and Media association Forum, The commission and NGOs joint Forum), Private Sector Representative (Trade and Sector Association Forum) and Opposition Partie

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Output 4

Enhanced capacity of The House of Federation to discharge its mandates of functioning mechanisms for equitable federal grants allocation, interpretation of the constitution, increased

Regular review and approval of Grant Sharing Formula that equitably allocates Federal subsidies to regions

There was a grant formula which was contested and unac- ceptable to the regions

Grant sharing formula acceptable to all regions approved

HOF Annual Report, Regional reports

Grant sharing formula is acceptable to the Regions; Stakeholders failed to accept the grant sharing formula.

Grant Sharing formula developed in 2009 and accepted by all regions and operational. The formula is due for review in 2012. The formula is being reviewed so as to ensure both vertical and horizontal fiscal equalization. - Data collection is on progress. - External consultants hired -

awareness of citizens on their constitutional rights, resolution of issues regarding nationalities and nations, resolution and mediation of conflicts,

% increase in number of constitutional breach cases received and resolved by HoF in line with the Constitution

Number of Cases in 2007

50% CCI/ HoF decisions • In 2011 HoF received and discussed a total of is 183 cases

• The Cases discussed in the reported period significantly increased as compared the 60 cases received and discussed last year.

maintenance of unity and economic balance.

No. of policies and strategies in place for conflict resolution in consultation with stakeholders.

na 1 Policy/ strategy for conflict resolution

HOF Annual Report, Regional Reports

The Addis Ababa University has been engaged to facilitate the development of the peace policy. - Training was provided for the researchers. - Data gathering has commenced - External consultation with other stakeholders such as Ministry of Federal Affairs planned

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Output 5

Enhanced capacities of the HoPR and RSC in effective law making process, oversight management, public consultation and popular representation.

Number of parliamentary rules and procedures put in place that foster constructive parliamentary deliberations and consensus building in committee and plenary discussions

220 Laws 2 procedure 51, Resolu- tions enacted

Rules and procedures

HOPR Annual Report

Information not yet available.

Number of MPs consultations and activities with constituencies

once a year

At least 2 consultations and 2 activities per year

In 2011 period more than 90% of MPs at the Federal level conducted two consistency outreach activities each lasted for 25 working days.

Number of oversight functions carried out by standing committees

2 times in 2 years by each standing committee (13 Standing Commit- tees), 52 quarterly reports

Field visit at least twice a year, 128 quarterly reports, 384 monthly reports

Parliamentary records, annual report of the HoPR and RSCs

In 2011 more than 20 committee field visits (at a federal level and regional levels) were conducted by all standing committee members.

% increase in number of women in parliamentary committees ( at various levels, Federal, Regional)

Number of women in HoPR- 22.4%(2005), Number of women in parliamentary committees

30% of women in parliament at Federal level; 50% of women in RSCs

Parliamentary Records

28.7% at Federal 50% on average at regional level

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at Federal and Regional State Coun- cils not available

Number and level of participation of CSOs, political parties, other stakeholders in public hearings.

5 consultations

media reports, HoPR Annual Report

Public hearings are open to the public. CSOs are invited to public hearing on regular basis.

Output 6

Enhanced capacity of the Electoral Board to organize free, peaceful and credible elections

% of Voter turnout at general elections proportionate to the registered voters disaggregated by sex

82.6% (2005)

At least more than 85% of registered voters

NEBE records, Election observers reports, election Evaluation Report

May 2010 Elections: • Registered voters: 31,926,520

(15,252,240 (47.8%) female and 16,674,280(52.2%) male)

• Voter turnout: 29,832,190 (93.4%) (Female 47.6% - male 52.4% ) 2011 By-election: Registered voters: 780,335 of which 400,370 (51.3%) were female and 379,995 (48.7%) were male.

• Voters turnout: 601,939 of which, 318,288 (52.9%) were female and 283,651 (47.1% were male.

% decrease in number of invalid votes at general elections

9.5%. Less than 5% of total votes

NEBE records, Election observers reports

Information to be updated in future

Number of domestic and international observers accredited

2005 3 Interna- tional, 100% of domestic applicants

Observation missions reports

2010:International observers 1. European Observer Mission 2. Africa Union

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Domestic Observers A coalition of 11 mass based organizations as well as other NGOs

% of citizens exposed to Civic and Voter Education and electoral information proportionate to the number of registered voters

na 90% of eligible voters

NEBE report, an independent survey

CSOs participation in the voter and civic education guaranteed.

Information not yet available

Number of electoral complaints effectively resolved out of number submitted to NEBE

299 100% NEBE report In 2010, 62 complaints lodged resolved \(100%)

Number of necessary revisions and subsequent translation into local languages made on electoral laws, regulations, directives and frameworks in order to align it with the FDRE Constitution and international standards

Amended Electoral law (2007), Political party registration proclamation(2008), voter and candidates registration manual, complaints Resolution, financial assistance sand airtime apportion- ment directives as well as observers directives

At least 50 % of existing frameworks reviewed( if necessary), translated and disseminated

NEBE records, review of legislations

Electoral laws, Political parties Registration law and Code of Conduct were published and distributed to stakeholders such as political parties, election officers, public observers and all 43,000 polling stations. Consolidated information containing the full list of polling stations, addresses and constituency maps have also been produced by NEBE and disseminated to stakeholders. The NEBE website has provided regular upto date information for external stakeholders including access to proclamations, directive, regulations and guidelines. (http:// www.electionethiopia.org).

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Number of measures/ mechanisms introduced to increase participation of women in electoral process and decision making

No gender strategy, no directorate and no separate outreach programs to enhance women participation

Targeted specific measures introduced and adopted

NEBE report

Following the establishment of a gender directorate in 2009 and the appointment of the head in February 2010, a gender expert was recruited to support strengthening the issue of gender in election. A gender strategy is developed and a validation workshop is to take place on November 14, 2011. After the workshop, the strategy will be presented to the Board for endorsement. The preparation of the action plan is also underway.

Output 7

OAGs across Ethiopia appropriately trained and capacitated, allowing them to carry out their constitutional mandates in accordance with internationally recognized standards, and in an institutional framework where audit work is followed up by due parliamentary process and reported in the public domain,

% increase in public sector performance and financial audit coverage of the country in accordance with international standards.

low audit coverage (about 35%)2010;

At least 50%

OAGS Report to parliament/ Regional State Councils

• In the EFY 2002 OFAG conducted financial / regulatory audit in 143 federal government institutions and the coverage was 87.19%. With regards to performance audit, OFAG carried out a total of 14 performance audits which has 82.35% coverage. These activities were conducted as per international standards.

• The audit coverage for 2011 is reported between 80-85% at regional and Federal levels.

% increase in retention of professionally qualified staff in OAGs

High staff turnover in OAGs (25 % per annum)

15% turn over

OAGS Report to parliament/ Regional State Councils

High turnout may still remain to be a problem with new entries as they are not part of the training scheme

• 550 Auditors trained on audit manuals. The trainings conducted on audit manuals are in line with new developments included in different audit annuals (regulatory, performance, IT, etc) which are updated every year. AFROSAI-E (African Organization of Supreme

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leading to greater accountability of the executive to the legislature and citizens.

Audit Institutions for English speaking African countries) updates the manuals on yearly basis. Accordingly OFAG and regional OAGs are training relevant staff in view of introducing them with new standards.

• 8 staff on Management development so as to enhance the efficiency of the leadership.

• 150 auditors on communication skills so as to enhance the skills on properly handling the internal and external relationships with stakeholders. The stakeholders include audit institutions, the Parliament/ Regional State Councils, etc.

• 47 auditors attending ACCA • 72 staffs (52 on MSc and 20 on

Bachelor level) are registered in different institutions of higher learning. The regional distribution shows that an average of 6 people attending classes 155 staff with diploma on BA course

• 4 staff with certificate attending diploma courses.

Number of joint OAG and PAC sessions on audit report

2 3 OAGS Report to parliament/ Regional State Councils

Plans underway to conduct PAC sessions and would be reported subsequently.

Number of consultations held with RSCs for the establishment of Public Accounts Committees (PACs)

0 2 per OAG OAGS Report to parliament/ Regional State Councils

Following the public accountability conference hosted by HoPR and OFAG in 2010, Oromiya RSC organized a follow up accountability conference which intended to strengthen

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financial accountability and its public accounts committee. OFAG Held a session with the Somali RSC as for 19 PAC members and awareness creation on the Role of Audit and Office of the Auditor General of Somali for 35 participants.

Number of interactive sessions between OAGs and the media

3-5 Sessions

34 OAGS Report to parliament/ Regional State Councils

An awareness raising training which focused on the duties and responsibilities of OFAG as well as its mandate was conducted for 22( 19 male and 3 female) media professionals. - Amhara OAG has started transmitting radio programme which focuses on introducing its mission, mandate responsibilities, objectives and related matters.

Number of audit backlogs cleared

1-2 years No backlog OAGS Report to parliament/ Regional State Councils

No backlog currently

% increase in quality and uniformity of audit reports

70% 100% OAGS Report to parliament/ Regional State Councils

Not yet available

The Democratic Institutions Programme is a multi-donor programme in support of the Government's PASDEP's theme goal to develop "... a fully operational democratic, accountable and responsive constitutional federalism, ensuring citizens' empowerment and participation". The following institutions are benefiting from the support: the Ethiopian Human Rights Commission, the Ethiopian Institution of the Ombudsman, the Federal Ethics and Anti-Corruption Commission, the House of Federation, the House of Peoples Representatives and the Regional State Councils, the National Electorial Board of Ethiopia, the Federal Auditor General and Regional Offices of Auditors General.

Democratic Institutions Programme ECA Old Building

P.O. Box 5580 Addis Ababa,Ethiopia Tel.(251-11)5514455 Fax (251-11)5514599

Email:[email protected]

March 2012 The Democratic Institutions Pro ramme is funded by the following donors:

mailto:[email protected]

mailto:[email protected]

annual report · and the dip logical formwork analysis for the 2011. 6 programme (dip) 2011 annual...

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