Baseline Assessment of the Ethiopia Local Governance Project (ELGP)

1.     Background

1.1.  Introduction

The Ethiopia Local Governance Project (ELGP) is a three-year governance and accountability initiative to be implemented by HELVETAS Swiss Intercooperation in partnership with Amhara Women Association (AWA), Sidama Development Association (SDA), Wag Development Association (WDA), and Women Empowerment Action (WE-Action). The Austrian Development Agency (ADA) is co-funding the action ELGP as part of International Partnerships Austria. The project is the successor phase of the Amhara Local Governance Project Plus (ALGP+), which was implemented in the Amhara Region over seven years. Building on the achievements and lessons of ALGP+, the project seeks to strengthen and institutionalise effective governance and accountability approaches in the Amhara Region while adapting and introducing them in the Sidama Region.

The project will be implemented over a period of thirty-six months across three zones in the Amhara Region and two zones in the Sidama Region, covering twenty-two woredas and 247 kebeles. Direct beneficiaries will include citizens, elected council members, civil society organisations, community-based organisations, and service providers operating at the local government level. Through strengthened governance systems, enhanced citizen participation, and improved public accountability, ELGP seeks to contribute to more responsive, inclusive, and accountable service delivery and is expected to indirectly benefit more than one million citizens residing within the intervention areas.

1.2.           Governance and Service Delivery Context

Ethiopia operates under a decentralised federal governance system in which significant responsibility for development planning, budgeting, and service delivery has been devolved to regional, woreda, and kebele administrations. The constitutional framework recognises citizen participation, transparency, accountability, and inclusive development as fundamental principles of governance. Local councils are legally mandated to represent citizens, enact local legislation, approve budgets and development plans, monitor implementation, and hold executive bodies accountable for the delivery of public services.

Despite these provisions, many local governance institutions continue to face substantial challenges affecting their effectiveness, legitimacy, responsiveness, and accountability. Local planning processes often remain top-down, opportunities for meaningful citizen participation are limited, council oversight functions are weak, and accountability mechanisms are either underdeveloped or inadequately institutionalised. Citizens frequently report low levels of influence over public decision-making, while community priorities are not consistently reflected in government plans and budgets. Weak feedback mechanisms, insufficient public consultations, and ineffective grievance redress systems further contribute to reduced trust between citizens and local government institutions. At the service delivery level, public institutions responsible for education, health, water, agriculture, and rural infrastructure often face constraints in responsiveness, transparency, and accountability. Citizens, particularly women, youth, persons with disabilities, and other marginalised groups, frequently encounter barriers in accessing information, influencing planning processes, and holding service providers accountable for results. These governance and accountability challenges directly affect the quality, accessibility, and inclusiveness of basic services delivered to communities.

1.3.           Learning from ALGP+

The predecessor intervention, ALGP+, generated important achievements in strengthening citizen participation, promoting Integrated Community-Based Participatory Planning (ICBPP), improving community-government dialogue, and enhancing council performance in target areas of the Amhara Region. The project demonstrated the effectiveness of citizen platforms, participatory planning mechanisms, community consultations, and council capacity development interventions in improving local governance outcomes.

However, lessons learned from ALGP+ also highlighted key challenges. These included limited participation of women in governance processes, weak institutionalisation of accountability mechanisms, insufficient integration of community priorities into government budgets, limited responsiveness of executive structures, and persistent socio-cultural barriers affecting civic participation and inclusion. ELGP intends to address these challenges through approaches that place greater emphasis on inclusion, accountability, institutional sustainability, women’s leadership, council empowerment, grievance redress mechanisms, and participatory service delivery monitoring.

As ELGP builds on the implementation of ALGP+ in the Amhara Region, substantial evidence is already available through project monitoring systems, assessments, and the ALGP+ Endline Evaluation. These sources provide an important reference point for understanding governance, participation, accountability, and service delivery conditions in the Amhara intervention areas. In contrast, the Sidama intervention areas represent a new geographic focus for the programme, where comparable baseline information is not available. Therefore, the baseline assessment is undertaken primarily to establish benchmark values for ELGP indicators and generate evidence on the prevailing governance and service delivery context in Sidama, where comparable baseline data are not available, against which future progress, outcomes, and results can be measured.

1.4.           Context of Sidama Region

The Sidama National Regional State was established recently following Ethiopia’s decentralisation reforms and continues to strengthen its governance systems, administrative structures, planning capacities, and accountability mechanisms. Preliminary assessments conducted during project design identified both opportunities and challenges affecting local governance performance in the region. The region depends largely on smallholder agriculture and is vulnerable to climate-related risks, land degradation, resource pressures, and disparities in service delivery. Access to quality health, education, water, agricultural extension, and rural infrastructure services remains uneven in a number of localities. Institutional capacities among local councils, planning structures, oversight bodies, and service providers vary considerably across intervention areas.

Furthermore, socio-cultural norms continue to affect inclusive governance and participation in the region. These factors may affect the extent to which women, youth, persons with disabilities, and other marginalised groups are able to participate effectively in decision-making processes and governance structures. Preliminary assessments indicate that women face significant barriers in participating effectively in decision-making processes and governance structures. However, a separate Intersectional Gender Analysis will be undertaken by ELGP parallel to this baseline assessment to examine these issues in detail. A separate Context Analysis will also be conducted to assess governance dynamics, institutional relationships, opportunities, and risks that may influence implementation of the project in Sidama. Therefore, the baseline assessment will build on, and complement, these studies rather than duplicate them.

1.5           ELGP Intervention Logic

The overall impact of ELGP is: Communities in the project areas of the Amhara and Sidama Regions benefit from improved delivery of basic services that are planned through participatory processes and delivered in an accountable and inclusive manner to all citizens and driven by empowered councils holding the administration accountable. To contribute toward this impact, ELGP is expected to achieve three outcomes:

• Outcome 1: Active participation of communities in planning, budgeting and decision-making ensured.
• Outcome 2: Legislative oversight role effectively exercised by councils.
• Outcome 3: Improved efficiency, responsiveness, and reliability of service delivery.

The project plans to apply mutually reinforcing approaches, including Integrated Community-Based Participatory Planning (ICBPP), Community Score Cards (CSC), Social Accountability Committees (SAC), citizen platforms, consultation platforms, council capacity development, Grievance Redress Mechanisms (GRM), policy advocacy, community-government interface meetings, and institutional strengthening of accountability systems. These approaches are expected to enhance citizen participation, strengthen council oversight, improve accountability, and promote responsive and inclusive service delivery.

2.     Purpose of the Baseline Assessment

The overall objective of the baseline assessment is to establish evidence-based baseline values for the project indicators in the intervention areas of Sidama Region and to generate a comprehensive understanding of the existing governance, participation, accountability, and service delivery context. The assessment will provide the official benchmark for measuring project results and progress throughout the implementation period and will inform evidence-based planning, adaptive management, monitoring, learning, accountability, and future evaluations.

3.     Objectives of the Baseline Assessment

Specifically, the baseline assessment shall:

• Establish baseline values for all impact indicators, outcome indicators, and selected output indicators included in the project Logframe.
• Assess the status of citizen participation in local planning, budgeting, and decision-making processes.
• Assess the effectiveness of local governance structures, including council oversight functions, accountability mechanisms, and citizen engagement platforms.
• Examine the responsiveness, inclusiveness, and accountability of public service delivery systems in the project intervention areas.
• Validate key assumptions and contextual factors underpinning the ELGP Theory of Change and Results Framework.
• Identify opportunities, risks, and contextual issues that may influence project implementation and achievement of results.
• Review and validate the ELGP logical framework and develop a comprehensive baseline indicator matrix that will serve as the official reference for project performance monitoring, annual outcome surveys, and mid-term and endline reviews.

4.     Scope of the Baseline Assignment

The baseline assessment will be conducted in the ELGP intervention areas of Sidama Region, covering North and South Sidama Zones. The assessment will be conducted in three sampled woredas selected from the six target woredas (Malga, Gorche, Hawassa Zuria, Bursa, Teticha, and Hula), including a representative sample of kebeles from the 60 project kebeles. As the first phase of ELGP implementation in Sidama, the assessment will establish the baseline conditions against which project progress and results will be measured throughout the implementation period.

The study will focus on communities and institutions that are expected to benefit from and contribute to the achievement of ELGP results. Data will be collected from a representative sample of households and relevant stakeholders within the intervention areas to assess the existing status of citizen participation in local planning, budgeting, and decision-making processes; the effectiveness of council representation and oversight functions; the accessibility and functionality of accountability mechanisms; and the responsiveness, inclusiveness, and quality of local service delivery systems.

The assessment will engage a range of key stakeholders, including women, men, youth, persons with disabilities, community representatives, elected council members, local government institutions, public service providers, community-based organisations, and civil society actors. The study will generate evidence on the governance and service delivery context in the intervention areas and establish baseline values for all relevant impact, outcome, and selected output indicators contained in the ELGP logframe, thereby providing the benchmark for project monitoring, annual outcome surveys, the Mid-Term Review, and the Endline Review.

5.     Key Assessment Questions

The assessment will address the following key questions, but will not be limited to:

• To what extent do citizens, including women, youth, persons with disabilities, and other marginalised groups, participate in local planning, budgeting, decision-making, and accountability processes, and what factors facilitate or constrain their participation?
• To what extent do local councils effectively exercise their legislative, oversight, representation, and accountability functions, and what institutional capacities, systems, and challenges influence their performance?
• How responsive, inclusive, transparent, and accountable are local governments and service providers in the delivery of basic public services, and to what extent do citizens perceive improvements in service quality and responsiveness?
• To what extent are government plans, decisions, budget allocations, and relevant public information transparent and accessible to citizens, particularly women, youth, persons with disabilities, and other marginalised groups? What mechanisms currently exist to promote access to information, social accountability, citizen feedback, grievance redress, conflict resolution, and government accountability, and how effectively are these mechanisms functioning?
• To what extent are citizen priorities reflected in local development plans, budgets, and service delivery decisions, including consideration of Gender Social Equity (GSE), and Gender Responsive Budgeting (GRB) principles?
• What are the prevailing levels of trust and confidence between citizens, local councils, service providers, and government institutions, and what factors influence these relationships?
• What capacities, policies, procedures, coordination mechanisms, and institutional systems are currently in place to support sustainable and accountable local governance and service delivery?
• What contextual opportunities, risks, assumptions, and external factors may influence the implementation and achievement of ELGP outcomes in the intervention areas?

6.     Indicators for Baseline Measurement

Impact indicators:

• % of community members (disaggregated by sex, age, and disability) satisfied with the quality, availability, and accessibility of basic services (health, education, water, agriculture, and roads)
• % of community members (disaggregated by sex, age, and disability) who perceive local government institutions as responsive, accountable, and inclusive

Outcome Indicators:

• % of community members (disaggregated by sex, age, and disability) who report having participated in local planning and decision-making processes for basic service delivery
• % of top-ranked community priorities integrated into local government plans and budgets
• % of women participants in citizen platforms who feel their specific proposals were considered/adopted
• % of community members (disaggregated by sex, age, and disability) who perceive local government decision-making processes as transparent and accountable
• % of community priority actions in annual work plans delivered/achieved
• % of women who report feeling safe and respected when participating in community and governance processes
• # of actions (e.g., formal warnings, audit requests, public hearings) taken by councils to hold the administration accountable
• # of local-level legislations passed annually to address community priorities or service delivery gaps
• % of council oversight recommendations that result in a documented corrective action by the executive branch
• % of citizens (disaggregated by sex, age, and disability) who report that the local council is effective in ensuring local government (executives) is responsive to community needs
• % of woredas annual non-salary budget allocated to specific gender-equality measures or services primarily benefiting women (tracked via GRB codes)
• Average level of citizen trust (disaggregated by sex, age, and disability) in key local institutions (e.g., Woreda administration, pro-poor sectors, police, and courts) as measured by a 10-point rating scale
• A composite score (0-100%) measuring the degree to which participatory planning and accountability mechanisms are institutionalised and practiced within the project woreda, calculated as a weighted average of four dimensions: existence of mechanisms (20%), functionality & practice (40%), inclusivity & access (20%), and perceived effectiveness (20%)

Output Indicators:

• # of accessible Grievance Redress Mechanisms (GRMs) established, publicised, and functional (e.g. suggestion boxes) at the woreda level
• % of grievance claimants (disaggregated by sex, age, and disability) reporting satisfaction with the grievance redress process and outcome
• % of women who report feeling safe using established GRMs
• % of grievances reported that are resolved, disaggregated by grievance type (Gender related /gender discrimination or safety concerns/ and others) and sex of claimant
• # of consultation sessions facilitated between constituencies and the elected council
• % of scheduled on-site oversight visits by woreda Standing Committees that result in a formal monitoring report with findings and action points
• Average number of formal changes/amendments to government development plans initiated by woreda councils per year
• % of women councellors appointed as Chairpersons or Deputy Chairpersons of Standing Committees (Finance, Justice, and Social Affairs)
• % of woreda women caucuses that hold pre-council meetings to articulate women’s priorities and submit joint positions to council sessions
• # of formal motions or amendments to the woreda development plans or budgets, tabled by women’s Caucuses, that are passed by the full council per year
• % of sector offices that submit a gender analysis statement justifying their annual budget request

7.     Methodology

The baseline assessment will employ a mixed-methods approach that combines quantitative and qualitative methods. The consultant is expected to propose a methodology capable of generating reliable, representative, and disaggregated baseline data while providing sufficient contextual information to explain and interpret the findings. Human Rights-Based Approaches (HRBA), GSE, conflict sensitivity, and do-no-harm principles should be integrated throughout the assessment design, data collection, analysis, and reporting process.

The quantitative component will consist of a representative survey of citizens and council members in the project intervention areas, generating data disaggregated by sex, age, disability, and other relevant social categories where appropriate. The qualitative component will complement the survey through key informant interviews, focus group discussions, institutional assessments, document review, and, where relevant, direct observation of governance and community participation processes. Together, these methods will enable triangulation of findings and provide deeper insight into governance dynamics, participation, accountability, inclusion, and service delivery challenges.

The consultant will review relevant project and contextual documents, including the ELGP Project Document, ELGP Logframe, ALGP+ evaluation findings, ALGP+ phase reports, and other governance and planning documents. Data collection will utilise Kobo Toolbox and be supported by appropriate quality assurance measures, including enumerator training, pre-testing of tools, field supervision, data verification, and data cleaning. Quantitative data will be analysed using appropriate statistical techniques, while qualitative data will be analysed using thematic methods. Findings from different sources and methods will be systematically triangulated to strengthen the validity and reliability of the baseline results.

Ethical Guidelines for Evaluations and Data Collection: All data collection will adhere to international ethical standards and HELVETAS’ safeguarding policies. This includes:

• Informed Consent: Obtaining written or documented verbal consent from all participants in their  preferred languages prior to participation. Where minors are involved, appropriate child safeguarding procedures, parental/guardian consent, and child assent protocols will be followed. with child assent protocols observed for minors.
• Confidentiality and Data Protection: Ensuring the confidentiality and anonymity of participants by anonymising sensitive information, applying secure data management and storage procedures, utilising Kobo Toolbox security features as appropriate, and restricting access to authorised personnel only.
• Do No Harm: Employing trained enumerators who adhere to ethical data collection and conflict sensitive approaches, and implementing measures to minimise potential risks, unintended negative consequences, discomfort, or distress to participants arising from the assessment process.
• Safeguarding and Inclusion: Ensuring that data collection processes are respectful, inclusive, gender-sensitive, culturally appropriate, and accessible to women, youth, persons with disabilities, and other potentially vulnerable or marginalised groups.

8.     Workplan and Deliverables

The baseline assessment is expected to be completed within 40 days of contract signing. The assignment will be implemented through the following phases.

Phase 1: Inception and Design (7 Days)

During this phase, the consultant will undertake a desk review of relevant project and contextual documents, refine the assessment methodology, develop data collection tools, finalise the sampling strategy, and prepare a detailed fieldwork plan. Data collection tools will be translated into Amharic and Sidama language (Sidaamu Afoo), as required, and pre-tested to ensure clarity, accuracy, and contextual appropriateness. An inception report (maximum 15 pages excluding annexes) will be submitted, containing the assessment methodology, assessment matrix, sampling approach, data collection tools, quality assurance procedures, analysis framework, and workplan. HELVETAS and ADA will review the inception report and provide consolidated feedback within 5 days. The consultant will address comments and submit the revised inception report before commencement of fieldwork.

Phase 2: Field Data Collection (13 Days)

The consultant will conduct quantitative and qualitative data collection in the selected project intervention areas using approved tools and methodologies. Data collection will be undertaken using Kobo Toolbox and follow agreed ethical, safeguarding, and data quality standards. Regular communication will be maintained with the ELGP team to address emerging operational and data quality issues. This phase will result in completed fieldwork, verified data, and cleaned primary datasets.

Phase 3: Data Analysis and Draft Report Preparation (10 Days)

The consultant will analyse quantitative and qualitative data, triangulate findings, establish baseline values for project indicators, and prepare a draft baseline report. The draft report (maximum 30 pages excluding annexes) will present the methodology, baseline findings, indicator values, analysis, conclusions, recommendations, and a draft baseline indicator matrix. HELVETAS, ADA, and relevant stakeholders will review the draft report and provide consolidated feedback within 5 days.

Phase 4: Validation and Finalisation (10 Days)

The consultant will facilitate a validation workshop to present preliminary findings and gather stakeholder feedback. Based on comments received from HELVETAS, project partners, and key stakeholders, the consultant will finalise and submit the baseline assessment package, including the final baseline report in Word and PDF formats, a baseline indicator matrix presenting baseline values for all ELGP impact, outcome, and relevant output indicators, cleaned datasets (including Kobo Tool data with credentials) and analysis files, final data collection tools, and a PowerPoint presentation summarising the methodology, key findings, baseline values, conclusions, and recommendations.

9.     Reporting and Management Arrangements

The baseline assessment will be conducted by an external consultant under the overall supervision of HELVETAS Ethiopia. The ELGP MEAL Officer will serve as the primary focal point for coordination, technical guidance, quality assurance, and review of deliverables throughout the assignment. The MEAL Officer will work closely with the ELGP team and relevant technical staff to facilitate access to required documents, stakeholders, and field locations, and to ensure alignment of the assessment with project information needs.

The consultant will maintain regular communication with HELVETAS throughout the assignment and provide progress updates during key stages of the assessment. All deliverables, including the inception report, draft baseline report, baseline indicator matrix, datasets, and final report, will be submitted to HELVETAS for review and approval before proceeding to subsequent stages of the assignment.

The management of the baseline assessment will adhere to accepted research ethics and professional standards, including objectivity, impartiality, confidentiality, independence of findings, and do-no-harm principles. While HELVETAS will provide technical oversight and quality assurance support, the consultant will retain responsibility for the methodological rigor, accuracy, analysis, and conclusions of the assessment findings. Where required, HELVETAS will facilitate coordination with relevant government institutions, project partners, and other stakeholders to support the successful implementation of the assessment.

Consulting Firm/Team Requirements

The assignment may be undertaken by a consulting firm or a multidisciplinary team of consultants with demonstrated expertise in governance, decentralisation, local government systems, social accountability, citizen participation, public service delivery, and development research. The firm/team should have proven experience in conducting baseline assessments, evaluations, and mixed-methods studies for donor-funded development programmes.

The consulting firm/team should demonstrate:

• Proven experience in designing and conducting baseline assessments and evaluations using quantitative and qualitative research methods.
• Strong expertise in governance, decentralisation, participatory planning, social accountability, citizen engagement, and local public service delivery.
• Previous experience with local governance, social accountability, citizen engagement, and participatory planning programmes in Ethiopia will be an asset.
• Experience in developing statistically sound sampling frameworks and conducting representative surveys.
• Proven capacity in digital data collection, management, quality assurance, and analysis using platforms such as Kobo Toolbox or similar systems.
• Experience applying Human Rights-Based Approaches (HRBA), gender-responsive and socially inclusive methodologies, disability inclusion, conflict sensitivity, and do-no-harm principles.
• Strong analytical, report writing, facilitation, and stakeholder engagement skills.
• Familiarity with results-based management, logical frameworks, theory of change, and indicator measurement systems.
• Demonstrated understanding of the Ethiopian governance and development context and experience working with government institutions, civil society organisations, and communities.
• Strong commitment to research ethics, safeguarding, confidentiality, and data protection standards

Qualifications and Experience of Team Members

Team Leader

• At least a Master’s degree in Development Studies, Governance, Public Administration, Political Science, Social Sciences, or a related field.
• Minimum 8 years of experience leading baseline assessments, evaluations, or research assignments for development programmes.
• Demonstrated expertise in governance, decentralisation, social accountability, citizen participation, or public service delivery.
• Strong experience in mixed-methods research design, sampling, data analysis, quality assurance, and report writing.
• Excellent communication, facilitation, and stakeholder engagement skills.

Research Team

The proposed team should collectively possess expertise in quantitative and qualitative research, governance, public administration, data management and analysis, and MEAL. Team members should have relevant academic qualifications and practical experience in conducting surveys, key informant interviews, focus group discussions, institutional assessments, and data analysis.

The consulting team must demonstrate excellent written and spoken English proficiency and have the capacity to conduct data collection, facilitation, and stakeholder consultations in both Amharic and Sidama language (Sidaamu Afoo). Data collection tools, consent forms, and other field materials must be translated into the relevant local languages and administered by qualified field personnel proficient in those languages.

Proposal Submission Requirements

Interested consultants/firms shall submit separate Technical and Financial Proposals.

Technical Proposal (maximum 10 pages, excluding annexes) should include:

• Understanding of the assignment and ELGP context.
• Proposed methodology, sampling approach, data collection methods, quality assurance measures, and data analysis plan.
• Workplan and timeline.
• Team composition, roles, and CVs of key personnel.
• Relevant experience in baseline assessments, governance, local governance, social accountability, citizen engagement, or related assignments.
• At least two samples of similar assignments and contact details of three referees.

Financial Proposal should include:

• Detailed budget in Ethiopian Birr (ETB).
• Professional fees and all associated costs, including fieldwork, travel, accommodation, translation, data collection, analysis, and reporting.
• Explanation of key cost assumptions and level of effort.
• All costs must be inclusive of applicable taxes and comply with Ethiopian legal requirements.

Applicants shall also submit valid business licenses, TIN, VAT registration, Tax clearance, and other relevant legal documents. Only proposals meeting the administrative requirements will proceed to technical evaluation.

Evaluation Criteria

Proposals will be evaluated using a Quality and Cost-Based Selection (QCBS) approach, with the technical proposal carrying 80% of the total score and the financial proposal carrying 20%. Only firms or consultants scoring at least 65 out of 80 points in the technical evaluation will have their financial proposals considered.