national economic strengthening guidelines for vulnerable

NationalEconomic

StrengtheningGuidelines

forVulnerablePopulations

September, 2017Addis Ababa, Ethiopia

Federal Democratic Republic of EthiopiaMinistry of Women’s and Children’s Affairs

Ministry of Labour and Social Affairs

Urban Job Creation and Food Security Agency

Federal HIV/AIDS

Prevention and Control Office

PRIMARY CONTRIBUTORS

1. Wro Almaz Hagos FHAPCO

2. Ato Kifle Mitiku FHAPCO

3. Ato Tsegaye Tilahun USAID

4. Ato Merid Mengesha MoLSA

5. Ato Getachew Taddese UJCFSA

6. Ato Getachew Kebede MoWCA

7. Ato Ensermu Legese FHAPCO

8. Ato Dereje Muluneh WFP

9. Ato Solomon Wole FHI360

10. Ato Yonas Mekonen FHI360

11. Dr. Afework Negash USAID

12. Ato Befikadu Ejeta FHI360

13. Ato Gobena Sobeka Pact

14. Ato Melese Yigerem Child Fund

15. Ato Abebe Bezabih PSI

OTHER CONTRIBUTORS

1. Ato Ahmed Jemal MoLSA

2. W/ro Atsedewoine Wuhabi FHAPCO

3. W/t Hiwot Shibiru FHAPCO

4. W/ro Tinos Kebede NNPWE

6. Ato Assefa Hailu CARE

7. W/ro Tsegalem Tibebe UJCFSA

Table of ContentAcknowledgement ..................................................................................................

Acronyms ...............................................................................................................

1. Introduction ............................................................................................................

1.1. Background ............................................................................................................

1.2. Development Process .............................................................................................

1.3. Context Analysis ....................................................................................................

1.3.1. Development and Policy Context ...........................................................................

1.3.2. Specific policies, strategies, and procedures for the most vulnerable households..

1.3.3. Poverty and Vulnerability Context .........................................................................

1.3.4. Responses of Different Actors to Poverty and Vulnerability .................................

1.3.5. Opportunities and Challenges ................................................................................

1.4. Conceptual Framework and Strategies for Economic Strengthening ....................

1.4.1. Provision .................................................................................................................

1.4.2. Protection ...............................................................................................................

1.4.3. Promotion ...............................................................................................................

1.5. Goal and Objectives of the Guidelines ...................................................................

1.6. Rationale for the Guidelines ...................................................................................

1.7. Who Should Use the Guidelines? ...........................................................................

1.8. How Should One Use the Guidelines? ...................................................................

1.9. Guiding Principles ..................................................................................................

2. Economic Strengthening Interventions ..................................................................

2.1. Provision Level Support .........................................................................................

2.1.1. Intervention: Unconditional (Soft Conditional) Cash or Asset Transfer ................

2.1.2. Intervention: Conditional Cash or Asset Transfer ..................................................

2.2. Protection-Level Support .......................................................................................

2.2.1. Intervention: Loss Management Livelihood Phase ................................................

2.2.2. Risk Reduction Livelihood Phase ..........................................................................

2.3. Promotion Level Support .......................................................................................

2.3.1. Income Stabilization Livelihood Phase ..................................................................

2.3.2. Income Growth Livelihood Phase ..........................................................................

2.3.3. Intervention: Establishment of Manufacturing or Service Enterprises ..................

2.4. Graduation Stage ....................................................................................................

2.4.1. Graduating Households ..........................................................................................

2.4.2. The Process of Graduation .....................................................................................

2.4.3. Minimum Activities ................................................................................................

2.5. Transforming Stage ................................................................................................

2.6. Entry and Exit Strategies of economic strengthening implementing partners .......

2.6.1. Entry Strategies ......................................................................................................

2.6.2. Exit Strategies ........................................................................................................

3. Monitoring, Evaluation and Reporting ...................................................................

3.1. Program Quality .....................................................................................................

3.2. Approaches to Monitoring and Evaluation ............................................................

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3.3. Economic Strengthening Monitoring and Evaluation Indicators ...........................

3.4. Reporting ................................................................................................................

4. Roles and Responsibilities of Stakeholders ...........................................................

4.1. Relevant Government Organizations at Federal Level ..........................................

4.2. Government and Non- governmental Organizations at Regional and Lower

Levels .....................................................................................................................

5. Cross Cutting Issues ...............................................................................................

5.1. Targeting Economic Vulnerability .........................................................................

5.2. Gender Mainstreaming ...........................................................................................

5.3. Knowledge Sharing and Information Management ...............................................

5.4. Capacity Development ...........................................................................................

5.5. ResourceAllocation and Utilization .......................................................................

5.6. Avoiding Stigma and Discrimination .....................................................................

5.7. ENVIRONMENTAL PROTECTION ....................................................................

6. Mainstreaming, Partnership, and Networking ........................................................

6.1. Mainstreaming ES Interventions ............................................................................

6.2. Partnership and Networking ...................................................................................

6.3. Coordination ...........................................................................................................

Glossary of Terms ..................................................................................................

References ..............................................................................................................

Contributors ............................................................................................................

Annex .....................................................................................................................

Disclaimer ..............................................................................................................

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Acknowledgement

We, the Federal HIV/AIDS Prevention and Control Office (FHAPCO), Ministry of Women and

Children Affairs (MoWCA), Ministry of Labor and Social Affairs (MoLSA) and the Urban Job

Creation and Food Security Agency (UJCFSA) would like to express our sincere appreciation for the

United States Agency for International Development (USAID) and the President’s Emergency Plan

for AIDS Relief (PEPFAR) for funding and providing technical assistance for the development of

the National Economic Strengthening Guidelines for Vulnerable Populations through its implementer,

FHI360’s Household Economic Strengthening Activity (HESA) project. FHI360’s HESA project had

taken the leadership of the logistical part of the consultancy service done and technically worked in

close collaboration with the members of the Economic Strengthening Technical Working Group

(TWG).

We would also like to thank the Care and Support Advisory Group members and Economic

Strengthening TWG members for their guidance, insightful feedbacks, and commitment during the

preparation of these guidelines.

Last, but not least, FHAPCO, MoWCA, MoLSA and UJCFSA acknowledge the participants of the

consultation and validation workshops for their continuous support and technical contribution during

the development of the guidelines.

Finally, we the undersigned representing the Government of the Federal Democratic Republic of

Ethiopia fully recognize each ministry’s, office’s and agency’s mandate and pledge our commitment

to support the implementation and achievement of the objectives of the Economic Strengthening

guidelines.

Acknowledgement

........................................................................................................

Ato Shallo Daba

Director General, Federal HIV/AIDS Prevention

and Control Office

........................................................................................................

W/ro Tadelech Dalicho

State Minister of Social and Labor Affairs

........................................................................................................

W/ro Alemitu Omot

State Minister of Women’s and Children’s Affairs

........................................................................................................

Ato Zenebe Kumo

Director General of Urban Job Creation and

Food Security Agency

Acknowledgementii

Acronyms and Abbreviations

ART Anti-Retroviral Therapy

BDS Business Development Service

BEE Business Enabling Environment

CBO Community-based Organization

CCC Community Care Coalition

CRC Convention on the Rights of the Child

CRS Catholic Relief Service

CSA Central Statistics Agency

CSI Child Support Index

ES Economic Strengthening

ESDP Education Sector Development Program

FBO Faith-Based Organization

FDRE Federal Democratic Republic of Ethiopia

FeMSEDA Federal Micro and Small Enterprise Development Agency

FHI 360 Family Health International

FHAPCO Federal HIV/AIDS Prevention and Control Office

GTP Growth and Transformation Plan

HDI Human Development Index

HESA Household Economic Strengthening Activity

HHEVA Household Economic Vulnerability Assessment

HES Household Economic Strengthening

HICOTS HESA International Consultancy and Training Service

HIV/AIDS Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome

HVC Highly Vulnerable Children

IGA Income-generating Activity

IP Implementing Partner

LIFT Livelihoods and Food Security Technical Assistance

MARP Most At-Risk Population

MDG Millennium Development Goal

M&E Monitoring and Evaluation

ME Microenterprise

MERL Monitoring, Evaluation, Research and Learning

MFI Microfinance Institution

MoANR Ministry of Agriculture and Natural Resources

MoE Ministry of Education

MoFEC Ministry of Finance and Economic Cooperation

MoH Ministry of Health

MoLSA Ministry of Labour and Social Affairs

Acronyms and Abbreviations iii

MOU Memorandum of Understanding

MoWCA Ministry of Women’s and Children’s Affairs

MoYS Ministry of Youth and Sport

MoUDH Ministry of Urban Development and Housing

MSME Micro, Small, and Medium Enterprise

MSE Micro and Small Enterprise

NEP+ Network of Networks HIV Positive in Ethiopia

NESG National Economic Strengthening Guidelines

NGO Nongovernment Organization

NSPP National Social Protection Policy

NSPS National Social Protection Strategy

PSSN Productive Social Safety Net Program

OVC Orphan and Vulnerable Children

PEPFAR President’s Emergency Plan for AIDS Relief

PLHIV People Living with HIV

PMTCT Prevention of Mother-to-Child Transmission

PPI Progress out of Poverty Index

PWD People with Disabilities

RPSNP Rural Productive Safety Net Program

SCA Savings and Credit Association

SG Savings Group

TVET Technical and Vocational Education and Training

TWG Technical Working Group

UJCFSA Urban Job Creation and Food Security Agency

UJCPSN Urban Job Creation and Productive Safety Net

UK United Kingdom

UN United Nations

UNDP United Nations Development Program

UNICEF United Nations Children’s Fund

UPSNP Urban Productive Safety Net Program

USA United States of America

USAID United States Agency for International Development

USD U.S. dollar

USNP Urban Safety Net Program

WFP World Food Programme

Acronyms and Abbreviationsiv

Introduction

Introduction 1

Section 1

1. INTRODUCTION

1.1. BACKGROUND

With a population of over 90 million growing annually at 2.6 percent, 1Ethiopia is the second-

most populous country in Africa. According to the Central Statistics Agency (CSA), the urban

population share from the total population will increase from 17 percent in 2008 to 20 percent

in 2016. The CSA estimates that the urban population is growing by 4.67 percent annually. Urban

population is expected to triple by 2034; 30 percent of the total population is expected to reside

in urban areas by 2028. It is also expected that about 11 percent of urban dwellers will be poor.2

The average annual per capita income was USD 691 in 2014 and the percentage of the

population living below the poverty line fell from nearly 38.7 percent in 2005 to 23.4 percent

in 2015.3 According to the UNDP’s Human Development Index (HDI), Ethiopia ranked 174

out of 188 countries in 2013.4 Although the overall HDI ranking for Ethiopia is low, there

have been improvements in areas such as life expectancy, school enrolment, employment,

maternal and child health, and disease burden, including significant progress in fighting the

HIV epidemic. To build on the achievements of the past two decades, a concerted effort is

needed to further improve as well as transform the health and socio-economic status of

Ethiopian communities.

The HIV epidemic has had a great impact on Ethiopia and other countries in Africa by

reducing life expectancy, increasing the mortality rate of working-age people, crippling health

care systems, and creating unstable economies. The Government of Ethiopia, donors, and

both local and international nongovernmental organizations (NGOs) have made tremendous

progress in combating the HIV/AIDS epidemic in Ethiopia, including reducing the HIV

prevalence rate from 2.4 percent in 2010 to (1.19) percent in 2017. Currently, 757,919 persons

(Male 297,002 and female 460,917) are estimated to be living with HIV, including (74,636

children). Due to the introduction of anti-retroviral therapy (ART), the annual deaths caused

by AIDS have declined from nearly 100,000 in 2004 to approximately 10,928 in 2017. The

total number of orphans, both due to HIV and non-HIV factors, also fell by more than 30

percent (from 5,459,139 in 2008 to 3,756,001 in 2015).5

On the other hand, building people’s awareness, knowledge and skills to understand what

HIV services are available, what their rights are to access them, how to access them, are basic

rights that Ethiopians should get and should be supported through economic strengthening

activities in order to win poverty and lead their livelihood. The government of Ethiopia is

committed to equity of resources and respects the right of communities to participate in

bringing about change in their own lives and support them to identify the skills and capacity

they need to both develop their rights-based HIV programmes and exercise their voice in

decision-making and policy spaces.

Given the complexity of the HIV epidemic, a number of strategies, tools, and guidelines have

been developed over the years to effectively lead, standardize, and scale up response

strategies, including economic strengthening (ES). ES interventions are used to help

vulnerable populations attain sufficient economic security to avoid behaviors that put them

at risk of HIV infection, or if they are living with the disease, to access and adhere to treatment

and care. However, a desk review performed by Federal HIV/AIDS Prevention and Control

Office (FHAPCO) and FHI 360 revealed that national guidelines and supporting tools for ES

interventions are lacking.

The impacts of ES on improving the livelihood of vulnerable households and communities

have been widely articulated in various studies. Although not in a standardized manner,

various organizations have designed and implemented a wide array of ES interventions in

National Economic Strengthening Guidelines for Vulnerable Populations; February, 20172

Ethiopia. The absence of a standard framework has resulted in a diversity of approaches,

making it difficult to replicate and scale up ES programming efficiently and effectively.

Therefore, these guidelines aim to guide policy makers and implementers in designing as

well as promoting standardized ES approaches. In addition, the guidelines will contribute to

the ambitious agenda outlined by PEPFAR to achieve the Joint United Nations Programme

on HIV/AIDS (UNAIDS) 90-90-90 goals: by 2020, 90% of people living with HIV (PLHIV)

will be diagnosed, 90% of those diagnosed will be on antiretroviral therapy (ART), and 90%

of those on ART will be virally suppressed.

This document has six sections. This section introduces key definitions and the ES conceptual

framework. Section two describes ES intervention phases, stages, and entry and exit

strategies. Section three discusses monitoring and evaluation for ES interventions. Sections

four to six deal with key stakeholders’ roles and responsibilities; cross-cutting issues; and

mainstreaming, partnership, and networking respectively. Annexed to this document is: The

Household Economic Vulnerability Assessment (HHEVA) tool.

1.2. DEVELOPMENT PROCESS

Before developing these guidelines, FHAPCO and FHI 360’s HESA project assessed existing

ES guidelines in Ethiopia and consulted responsible government sector leaders, including

FHAPCO (Director General & Deputy Director General), the Ministry of Women and

Children Affairs (state Minister), the Ministry of Labor and Social Affairs (Director of the

Social Welfare Development Promotion Directorate) and FeMSEDA, now Urban Job

Creation and Food Security Agency, (Deputy Director) to discuss on the need of developing

an agreed, comprehensive, and uniform national economic strengthening guidelines.

First, we conducted an assessment of existing guidelines. We then conducted a half-day

meeting with the above sector officials to present the assessment report. The officials agreed

on the need for a comprehensive national economic strengthening guidelines, delegated

FHAPCO to continue coordinating the development process, and assigned professionals from

each organization to work on the guidelines. An Economic Strengthening Guideline Technical

Working Group (TWG) was established, including members from the above-mentioned

sectors, the National Care and Support Advisory Group, TVET institutions, Network of

Networks HIV Positive in Ethiopia (NEP+), and implementing partners who had experience

in ES. The TWG conducted series of meetings to support the development process, then

solicited proposals from outside firms to draft the guidelines. HESA International Consultancy

and Training Service (HICOTS) PLC was selected. With the intensive support from the TWG,

HICOTS developed the draft of the guidelines, which was presented at a validation workshop

in March 2017 with representatives from pertinent federal and regional government offices

and development partners. Their inputs were incorporated into the document, resulting in a

final draft of the Economic Strengthening Guidelines for Vulnerable Populations.

1.3. CONTEXT ANALYSIS

1.3.1. Development and Policy Context

The Government of Ethiopia has designed and implemented several multi-sectoral poverty

reduction policies and strategies, such as the Growth and Transformation Plan (GTP-1:

2010/11–2014/15), which set a goal for Ethiopia to become a middle-income country by

2025. Today, Ethiopia is one of the fastest growing economies in sub-Saharan Africa and has

successfully achieved six of the eight Millennium Development Goals (MDGs).6

Introduction 3

Based on the lessons learned from the implementation of GTP-1, the country has launched

GTP-2 (2015/2016–2020/2021), which gives priority to agriculture and industry as drivers

of sustained economic growth and export earnings. In addition, human resource development

has been accorded top priority in GTP-2. Development-partner-driven programs, including

ES interventions, are expected by the Government of FDRE to broadly align with GTP-2

priorities in various forms, such as promotion of social protection, urban safety net and job

creation policies, and strategies aimed at reducing poverty and addressing the needs of the

most vulnerable groups.

1.3.2. Specific policies, strategies, and procedures for the most vulnerable

households

According to the Article 41 of the Constitution of the Federal Democratic Republic of

Ethiopia (“Economic, social and cultural rights”), every Ethiopian national has the right to

engage in economic activities and pursue the occupation of her/his choice and to have equal

access to publicly-funded social services. The Constitution also obligates the government to:

• allocate resources to provide rehabilitation and assistance to children who are left

without parents or guardians, and

• expand job opportunities for the unemployed and the poor, including through

programs and public works projects.

Based on the Constitution’s provisions, the Government of Ethiopia has issued and

implemented various policies, regulations and action plans to address the needs of vulnerable

groups, including the following:

• Ethiopian Women and Children Development Plan (2010)

• Alternative Child Care Guidelines (2009)

• National Policy Framework for Early Childhood Care and Education (2010)

• Standards Service Delivery Guideline for Orphan and Vulnerable Children’s (OVC)

Care and Support Programs (2011)

• Proclamation No. 568/2008 providing for the right to employment of people with

disabilities, the National Plan of Action of Persons with Disabilities (2012–2021)

• Multi-Sectoral HIV/AIDS Policy (1997)

• National Youth Policy (2004)

• National Youth Livelihood Program Development Guideline (2014)

• Community Level Care and Support Services Delivery Guideline for PLHIV and

Affected Families (2013)

• Community Level Care and Support Services for People Living with HIV and

Affected Families (Implementation Manual) (2015)

• National Social Protection Policy (2015)

• Urban Safety Net Program (USNP)

1.3.3. Poverty and Vulnerability Context

Several studies have concluded that the policies and strategies mentioned above have

contributed to the reduction of poverty in Ethiopia.7 Another key policy document that

i The MoLSA document uses “protective” as the name for this category, however internationally the preferred label is “provision,” which

has the advantage of avoiding confusion between this and the next category labeled “protection.” Throughout the remainder of these

guidelines, we employ “provision” in place of “protective.”

addresses vulnerability issues is the National Social Protection Policy (NSPP) of the Ministry

of Labour and Social Affairs (MoLSA). In this policy document, vulnerable households have

been broadly categorized per the types of interventions appropriate to meet their economic

needs. These categories can be used to prioritize households for social protection coverage

based on their need. These categories are summarized as follows:

1) Protectivei: Households in need of protective interventions are destitute and

require relief from economic deprivation. They are typically food insecure and

require basic social services such as removing fees and other barriers to school

and health services.

2) Protection: Interventions in this category are appropriate for households

classified as strugglers who require systemic support (health insurance,

unemployment insurance, employment promotion, savings, etc.) to protect against

risks and shocks, and to prevent them from reverting back to destitution.

3) Promotion/Transformation: Interventions in this category are for households

broadly defined as growing and focused on enhancing income, skills development,

and provision of credit.

Per NSPP, these categories are not mutually exclusive and households that are categorized

in one group may also face challenges mentioned for one of the other two groups.8

Households may be vulnerable for various reasons, including physical, psychological, health,

social, and economic conditions. In addition, households may be highly vulnerable to poverty

if they are characterized by one or more of the following: large family size, low educational

attainment, lacking in capital assets that can be converted easily into cash, and lacking social

networks.

1.3.4. Responses of Different Actors to Poverty and Vulnerability

The Government of Ethiopia, NGOs, clan leaders, Faith Based Organizations, private sector

firms and communities have implemented mechanisms to reduce poverty and vulnerability

in Ethiopia.

1.3.4.1.Government of Ethiopia

The Government of Ethiopia has taken the lead role in promoting actions to reduce poverty

by addressing multiple dimensions of poverty such as disease burden, illiteracy, food

insecurity, unemployment and others. To address the multiple facets of poverty, MoLSA

issued the NSPP and corresponding strategy in 2015. The Ministry of Urban Development

and Housing (MoUDH) has also established in 2016 the Urban Job Creation and Food

Security Agency (UJCFSA).

1.3.4.2.Bilateral and Multilateral Agencies and NGO Partners

Bilateral and multilateral agencies such as USAID, World Food Programme (WFP), and other

UN agencies have invested significant amounts of technical and financial resources to address

the needs of poor and vulnerable populations in the country. These agencies, and the local

NGOs and CBOs that implement the programs they fund, have played an important role in

poverty reduction. However, it is problematic to compare the effectiveness of these

interventions due to differences in ES implementation standards as well as duplication in

targeting of beneficiaries.

Introduction 5

1.3.4.3.Community Care Coalition

Community platforms such as the Community Care Coalition (CCC) is another social support

mechanism that recently emerged at the community level; the government is now scaling up

the CCC structure in communities of all regional states. The CCCs consist of volunteers and

representatives from civil society organizations, faith-based organizations, government, and

NGOs operating at the community or kebele level (the lowest administrative unit). The main

objective of a CCC is to create a coordinated system that enables a community to engage in

actions to address and respond to the root causes of social problems. They also provide technical

guidance, for instance on nutrition assessment and counselling, and support organizations in

implementing projects at the grassroots level. For example, CCCs mobilize resources from the

local community, including the private sector, through direct and in-kind support. Due to their

strong links to the community and intimate knowledge of households they support, CCCs play

an important role in identifying the most vulnerable households and providing necessary

technical and financial support, utilizing the resources mobilized through referral networks.

1.3.4.4.Communities

Community-based social support systems play a significant role in addressing the needs of

households, particularly those classified as destitute and strugglers. This support system

includes women and youth associations, faith-based organizations, and prominent community

leaders, as well as informal establishments such as Iquib (established by a small group of

people to provide substantial rotating funding in a form of loans) and Idirs (established among

neighbors to raise funds to respond to family/household emergencies). Such support systems,

widely utilized in both urban and rural settings, often provide the first line of response to

shocks experienced by individuals and communities.9

1.3.5. Opportunities and Challenges

The efforts made by the Government of FDRE, communities and development partners at

the grassroots level have brought commendable results, including higher school enrolment

rates, reduced infant and child mortality, and greater engagement in small- and micro

enterprises, among others. However, there still are large numbers of poor and vulnerable

households unreached by either the government or community support systems such as the

CCC, due to the lack of robust coordination mechanisms and economic challenges to

implement at scale.

To close this gap, bilateral and multilateral agencies, and local and international NGOs should

be encouraged to partner with the Government of FDRE, CCCs, faith-based organizations,

and other community-level structures to further address the needs of poor and vulnerable

populations. Such collaborations will confront many challenges, but will also provide many

opportunities, as briefly summarized below.

1.3.5.1.Opportunity - Conducive environment

Livelihoods of poor and vulnerable households depend not only on their own capacities and

the support they receive, but also on conducive economic policies and programs. In this

regard, the Government of FDRE has designed various enabling policies, strategies,

programs, and projects to promote growth and development:

• The National Social Protection Strategy (NSPS) of Ethiopia articulates how support

should be provided to people who are vulnerable to shocks and natural disasters,

particularly in rural areas, as well as urban residents who face food price inflation,

unemployment, and other economic shocks.


• The promotion of micro and small enterprises has created an environment that

enables individuals to become entrepreneurs by enhancing access to loans,

agricultural inputs, technical support, and markets. These efforts will be further

enhanced by the NSPP and UJCPSN programs.

• The Agricultural Development-Led Industrialization Strategy has enhanced the

development and productivity of the agriculture sector to improve national

economic development, income growth, and employment.

1.3.5.2.Opportunity - Urbanization and infrastructure development

• During the last decade, Ethiopia has experienced significant urbanization and

substantial expansion in infrastructure such as water and electricity systems, roads,

and communications, particularly mobile phone penetration. These improvements

have great potential to improve livelihoods and expand access to markets and

information.

1.3.5.3.Opportunity - The involvement of more actors in ES programs

The growing numbers of community-based support programs like CCCs are paving the way

to address the needs of poor and vulnerable populations in Ethiopia.

1.3.5.4.Challenges

• Urban poverty is highly complex and unique from rural poverty. Addressing the

dynamics of urban poverty, including the mutually-reinforcing effects of social

inequality and deprivation, is a challenge to be faced in the short to medium term.

• Many poor and vulnerable populations are living in large cities where there is a

shortage of ES support.

• Reaching remote populations in difficult-to-reach geographic locations is a

challenge for ES programs.

• ES programs can be expensive to implement, so they often face budgetary challenges.

• Weak or limited infrastructure is a challenge for scaling up ES programs.

• Harmful traditional practices can limit the effectiveness of ES programming, such

as those related to gender inequality and child protection.

1.4. CONCEPTUAL FRAMEWORK AND STRATEGIES FOR

ECONOMIC STRENGTHENING

Economic strengthening is defined as a portfolio of strategies and interventions that supply,

protect, and/or grow physical, natural, financial, human, and social assets. The Livelihoods

and Food Security Technical Assistance (LIFT) project of FHI 360 has defined ES at the

individual or household level as follows:

Household economic strengthening (HES) is the process by which individuals and

households improve their living conditions by participating in any number of

activities that increase assets (physical, financial, human or social) and/or their

capacity to obtain them. Non-Governmental Organizations (NGOs) and Community

Based Organizations (CBOs) often facilitate HES activities to reduce poverty and

improve the overall welfare of individuals, households and communities.10

Introduction 7

A literature review identified different types of ES frameworks and pathways. However,

among them, the conceptual framework developed by LIFT (Figure 1) has been selected for

its clarity. The framework depicts three types of ES support — provision, protection, and

promotion―along with the corresponding coping mechanisms/livelihood strategies,

livelihood objectives, and potential livelihood interventions. The framework also shows how

targeted households can be categorized into five levels of decreasing vulnerability associated

with five livelihoods phases ― destitution/distress, loss management, risk reduction, income

stabilization, and income growth. As a household moves up the livelihoods pathway, its

vulnerability decreases, its livelihood yields more income and grows more robust, and its

food security improves. The relationship of this conceptual framework with Ethiopian social

protection and other types of ES support, policies, and strategies is briefly discussed next.

1.4.1. Provision

The first livelihood phase is known as destitution/distress, which reflects that the household

is highly vulnerable in terms of its economic capacity. In this phase, the household’s coping

mechanisms or livelihoods strategies might encompass activities such as seeking charity,

migrating under distress, going without food, and engaging in transactional or commercial

sex. Those households living in such a situation are categorized as destitute and distressed.

They can be supported effectively through asset transfers, including the direct supply of food,

cash (through conditional and unconditional transfers), health care and social services, and

other essential requirements. The support provided to these households is known as

“provision” and aims to enable them to establish some assets and stabilize their consumption.

The recommended support to be provided to households in the Provision stage is compatible

with the Ethiopian Social Protection Policy and the National Social Protection Strategy of

Ethiopia. Both documents clearly stipulate that the Government of Ethiopia will support those

people who are vulnerable to shocks such as drought and floods, particularly in rural areas,

as well as urban residents who face food price inflation, unemployment, and other economic

shocks.

The government, through the leadership of MoUDH, will provide support for the targeted

population under the UJCPSN program. As stipulated in the social protection policy and its

corresponding strategy, the government will, among other actions, implement interventions,

including unconditional cash transfers, conditional cash transfers (non-work conditions),

public works, and scalable instruments to respond to shocks.

1.4.2. Protection

Protection-level support includes interventions that help households to maintain and/or build

their capacity to reduce risk and cope with shocks and stresses by smoothing household

consumption or income, managing household cash flows and building protective assets.

Households provided Protection-level support¬ fall into two categories. The first category

consists of households in the loss management livelihood phase. To cope with stress, these

households engage in selling their productive assets, borrowing informally at high interest

rates, and other coping mechanisms that further reduce their spending and food consumption.

Households in this phase are supported through an income-based safety net created by

improving access to credit and savings, microinsurance, and strengthened social safety nets,

among others. These supports enable the households to protect key assets.

The second category in the Protection level involves those households that have accumulated

some assets and are taking measures to reduce risks to shocks. When faced with a shock or


stress, such households sell their reversible assets, seek wage labor, migrate to another place

for work, and borrow to cope with livelihood hardships. The pertinent interventions for these

households are strengthening social networks, provision of financial literacy, and providing

access to credit and saving schemes. Support for these households aims to build their

capacities to smooth consumption and to increase their skill in managing their cash flow.

The Social Protection Policy and its corresponding strategy state that the government will

provide support under Focus Area 2: Livelihood and employment promotion. The

interventions to be implemented by the government under this focus area include (a) technical

support to on- and off-farm livelihoods activities of poor households in rural and urban areas,

(b) employment services and standards for rural and urban people, and (c) financial services

for poor households.

1.4.3. Promotion

Promotion-level support involves activities to stabilize or increase household income and

build productive assets by improving the ability of household members to identify and seize

employment and self-employment opportunities. At this level, there are two livelihood phases.

The first―income stabilization―is where households engage in low risk, low return income-

generating activities (IGAs), gradually diversifying their sources of income and building

productive assets. To boost the household income and promote asset growth, interventions

may include providing access to credit and saving, supplying business development services,

facilitating the identification of and participation in business and social networks, and backing

microenterprise development.

The second livelihood phase―income growth―pertains to households that can engage in

high-risk and high-return businesses to rapidly and significantly expand their income and

consumption. The pertinent interventions for households at this stage are workforce

development, access to savings and credit, encouraging start-up of micro, small, and medium

enterprise, and provision of business development services.

By following ES conceptual framework (see next Page), programs can design and implement

ES interventions to help the beneficiary households graduate from ES support.

As indicated in previous sections, the government has developed a policy and strategy to address

vulnerable populations. The livelihood support framework cited in the National Social

Protection Strategy of Ethiopia defines target populations under different livelihood phases in

relation to relevant intervention mechanisms. The types and levels of support relate to the three

basic livelihood phases indicated in international literatures. This makes the use of the livelihood

and food security framework informing the development of these guidelines. Table 1

summarizes the intervention areas under the National Social Protection Strategy of Ethiopia.

Introduction 9

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Table 1. Focus Intervention Areas under the National Social Protection Strategy of Ethiopia

Source: National Social Protection Strategy of Ethiopia (Final Draft)

* = Focus areas under the National Social Protection Strategy of Ethiopia

Focus area 1 = Social Safety net

Focus area 2 = Livelihood and Employment Schemes

Focus area 3 = Social Insurance

Focus area 4 = Addressing inequalities of access to basic services

Focus area 5 = Addressing violence abuse and providing legal protection and legal suppor

Introduction 11

potential

target groups

Broad indications oF

intervention types

Focus

areas*

Children under difficult circumstances (e.g., orphans,

street children).

Conditional social transfers (including school

feeding) to enable them to attend school.1, 4

Vulnerable pregnant and lactating women.Unconditional transfers only for a limited period of

time; employment and livelihood.1, 2

People/children with physical and mental disabilities. Unconditional transfers; special needs schooling. 1, 4

Elderly living alone with no care and support.

Unconditional transfers; psychosocial support

provided through either formal (e.g., social workers)

or community-based mechanisms (e.g., CCC, Idir).1, 4

Labour-constrained citizens, female-headed

households in particular.

Employment opportunities through public works;

progress to employment and diversified livelihoods. 1, 2

Victims of social problems such as beggars,

commercial sex workers, drug and medicine

addicted.

Conditional transfers (e.g., skills training);

rehabilitation through psychosocial support.1, 4

Citizens affected by HIV and AIDS and other chronic

diseases that constrain their ability to work.

Conditional transfers for a period of time;

employment and livelihood opportunities.1, 2

Segments of the society vulnerable to violence and

abuse.

Counselling, legal support, employment, and

livelihood opportunities and conditional transfers for

a limited time. 5, 2, 1

Segments of the society vulnerable to natural and

manmade risks.

Humanitarian assistance; employment through

public works; sustainable employment and

livelihoods.1, 2

Unemployed men, women, and youth. Employment and livelihoods. 2

Citizens engaged in the informal sector who lack

social insurance coverage.Social and community-based health insurance. 3

Victims of human trafficking and repatriated

emigrants.

Short term transfers; psychosocial support;

employment and livelihood.1,5,2

1.5. GOAL AND OBJECTIVES OF THE GUIDELINES

The overall goal of the National Economic Strengthening Guidelines for Vulnerable

Populations is to standardize the implementation of ES interventions to ensure cost-effective

and sustainable efforts to help individuals and households improve their livelihoods so they

can avoid behaviors that increase their risk of contracting HIV, support orphans and

vulnerable children in their care, and—if HIV-positive—live healthfully with HIV/AIDS.

The objectives of these guidelines are:

1) To provide ES implementing partners with implementation standards,

2) To frame and harmonize the roles played by different stakeholders in improving

the quality of ES services, and

3) To guide service delivery in ways that help households protect and expand their

asset base through sustainable microenterprises.

1.6. RATIONALE FOR THE GUIDELINES

The Government of FDRE has issued policies, strategies, and procedures to create an enabling

environment for organizations to provide ES support to poor and vulnerable communities.

In addition, the government provides direct support to vulnerable Ethiopians. The

Government of FDRE is making important advances in ES programming by putting in place

policies and programs to support women, children, youth, people with disabilities, elderly

people, etc., and by engaging other partners.

Under government leadership, a number of national and international NGOs, including

USAID/PEPFAR-funded programs, have been providing ES support to individuals and

households who are infected and affected by HIV to enable them to meet their basic needs

and improve their livelihoods. In the absence of national guidelines to define standards and

common approaches, almost all development partners have been using their own ES

guidelines or procedures when providing ES support. Consequently, different ES approaches

have prevailed in Ethiopia, making it challenging for the government to monitor ES

interventions and compare their costs and benefits to inform large-scale, government-

supported interventions.

To be useful, these guidelines are designed to be broad enough to address the needs of poor

and vulnerable populations, particularly those who are affected and infected by HIV and AIDS,

and to serve as a vital instrument to guide implementers to achieve ES objectives more

effectively. The guidelines are also aligned with the National Social Protection Policy (NSPP)

developed and administered by MoLSA and the Urban Productive Safety Net Program

(UPSNP) under MoUDH. The guidelines are useful because a) they help the government

coordinate and lead services in a standard and replicable manner; (b) provide a quick reference

for development partners to design, implement, monitor, and evaluate their ES interventions

in ways that permit comparisons and promote collaborative learning, as well as to identify and

scale up cost-effective and sustainable practices; (c) help to create and strengthen collaboration

within the network of ES intervention implementers and government organizations and avoid

duplication of efforts; and (d) ensure mutual accountability, transparency and equity in quality

service provision among all stakeholders, including beneficiaries.

1.7. WHO SHOULD USE THE GUIDELINES?

The guidelines serve government, NGOs and development partners who design, implement,

monitor, and coordinate ES interventions for households infected and affected by HIV and


AIDS and are living in resource-limited settings. The guidelines are broad enough to be

utilized by implementers serving a range of households that are socio-economically

vulnerable.

From this perspective, the following stakeholders working on ES activities are expected to

be potential users of these guidelines:

• Government sectors such as: MoH/FHAPCO, MoLSA, MoWCA, MoYS, UJCFSA,

MoANR, MoFEC, Micro Finance Institutions, Cooperatives, Municipality/City

Administrations at all levels and others.

• Multilateral and bi-lateral organizations.

• Local NGOs, FBOs, CCCs, CBOs, beneficiaries and international NGOs engaged

in ES implementation in Ethiopia.

1.8. HOW SHOULD ONE USE THE GUIDELINES?

Economic Strengthening intervention partners can use these guidelines to assess and guide

their target households as well as in planning, executing, carrying out monitoring and

evaluation, and creating effective networks and partnerships in ES interventions. Users should

adapt and adhere to the guidelines based on the types of beneficiaries they serve. Other

stakeholders may use these guidelines to guide them in evaluating and scaling up ES

initiatives.

1.9. GUIDING PRINCIPLES

In managing ES interventions, stakeholders/partners will be guided by the following

principles:

Table 2. Guiding Principles

Introduction 13

principle description

QualityAll ES interventions should always meet the highest attainable quality standards

to maximize the wellbeing of beneficiaries.

Equity

Access to ES support should be equitable without any discrimination based on

gender, disability, religion, ethnicity, HIV status, age, etc. Every eligible beneficiary

group and/or individual should be included in the ES support programs.

Priority for vulnerable groups of

the population

Notwithstanding the principle of “Equity,” priority should be given for vulnerable

groups of the population.

Human rights ES support providers must uphold the rights of all persons.

CollaborationWhile implementing ES interventions, all stakeholders must work in a coordinated

manner, focusing on the realization of the same goal.

IntegrationAll types of ES support interventions should be integrated with the prevailing

government policies, strategies, and programs at all times.


principle description

Focus on beneficiaries’ needs

Be household-centered. The ES intervention support provided to people who are

infected and affected by HIV/AIDS must be comprehensive and broad enough to

address the needs and expectations of the beneficiaries.

Inclusiveness

ES interventions should adhere to the principle of gender and disability

inclusiveness and other disadvantaged groups in the selection of and overall

support to beneficiaries. Also, implementers should include all stakeholders who

have the potential resources and are interested to contribute to ES initiatives, as

well as ensure inclusiveness of the services to be provided to beneficiaries at all

stages of the intervention processes.

Respect Beneficiaries and their households should be respected.

ConfidentialityAll information provided by the beneficiary or related to members of her or his

household should be kept confidential unless disclosure is demanded by a court.

Participation

ES beneficiaries should participate in identifying their needs, preparing action plans,

and monitoring and evaluation. This participation will enhance the quality of the

intervention and help to ensure that supports are being provided according to the

needs and wants of beneficiaries.

Coordination

Since ES interventions are often carried out by many organizations, implementers

and funders should identify the support gaps and fill the gaps by coordinating their

efforts.

Evidence based

ES interventions should be selected based on existing evidence of effectiveness.

Implementers should conduct assessments and operations research to inform their

interventions.

TransparencyCommunities and households should be aware of the criteria used to select ES

participants and who has been selected according to these criteria.

Results-oriented Implementers should define and track the expected livelihood outcomes for their

interventions and ensure that programs are designed to reach these outcomes.

Minimize risk and vulnerability

Provision of ES services to economically vulnerable populations should seek to

prevent further vulnerability. Programs should adhere to consistent application of

the standards within the agreed up on provisions. To minimize risk, ES intervention

implementers should seek community input, including targeted beneficiaries, and

engage stakeholders at all levels.

Community participation and

engagement

ES intervention program implementers should engage all stakeholders ensuring

community participation by actively seeking their inputs at all levels in order to

increase the role of the community and also minimize risk of ES intervention

programs.

Accountability ES service providers should be accountable to the relevant government

organizations as well as to the community.

Sustainability

Interventions should be designed and implemented to ensure that there is a

sustainable system of management and source of resources for the foreseeable

future.

Economic Strengthening Interventions 15

Economic

Strengthening

Interventions

Section 2

2. ECONOMIC STRENGTHENING INTERVENTIONS

Economic strengthening interventions are designed to reduce the economic vulnerability of

households and empower them to meet the essential needs of their members, especially the

women, children and youth in their care. 11ES interventions help participants to identify and

reduce risks, stabilize incomes and build assets, and take advantage of available economic

opportunities. Expected outcomes from these activities include improvements in the economic

position and general wellbeing of all household members, as well as gain in children’s

education and health.

The goal of ES is to promote household self-reliance and to reduce dependency on

government and donor support. These guidelines promote a livelihoods pathway approach

(as described in the preceding section) to achieve greater household self-reliance. They also

detail the need for and provision of services such as cash transfers and food aid to meet basic

consumption needs. The guidelines do not include detailed implementation activities, which

may be addressed in a separate implementation manual.

The sub-sections below describe the different types of ES interventions and their respective

beneficiaries.

2.1. PROVISION LEVEL SUPPORT

Interventions at Destitution/Distress Livelihood Phase: Asset transfers and social services

This is the first stage under the social protection interventions intended to support households

living in acute poverty or at the destitution/distress level. A household is said to be at the

level of acute poverty if, and only if, it is living in destitution and unable to meet the most

basic necessities such as food. At this stage, households should be provided with social

assistance such as unconditional and conditional cash transfers, cash for work payments, food

and nutritional support, material support, and other asset transfers and social services. These

supports will help the households to obtain relief from their critical economic problems, thus

helping them to meet their basic needs, reduce their food insecurity, and lower their economic

vulnerability.

In general, a household should be classified as destitute if one or more of the following criteria

apply:

• Has extreme food insecurity and trouble paying for basic necessities (such as food).

• Has no discernible or predictable source of income but potentially a lot of debt that

may not be repaid.

• Has no tangible or liquid asset.

• Lacks a breadwinner or is labor-constrained―i.e., there are no able-bodied adults

who can earn income.


Care should be taken to understand whether this situation is chronic (whether

the household has been in this situation for years), transient (the household

cycles in and out of this situation, possibly in step with the agricultural

calendar), or acute (the household has only been in this situation for a few

weeks/months, possibly due to a severe shock).

2.1.1. Intervention: Unconditional (Soft Conditional) Cash or Asset Transfer

An unconditional cash or asset transfer is cash or in-kind support provided to targeted

households without pre-conditions. It includes the following:

• direct cash support

• in kind support

Although cash or asset transfer may generally be unconditional, sometimes beneficiaries may

be asked to carry out some activities; these are considered soft conditions. Soft conditions

are not binding to receive the allocated supports; however, the household will likely derive

benefit from meeting these conditions and will be encouraged to do so. Using behavior change

communication techniques can help implementers appeal to the targeted household’s values

and beliefs to encourage households to fulfil the requested conditions. For instance, targeted

households may be informed and advised to send their children to school, protect children

from hazardous work, avoid stressful conditions for pregnant or lactating (up to 12 months)

mothers and primary caregivers of malnourished children under the age of 5. In this respect,

these household members will be expected to participate in the core elements of the health

extension program in return for being provided direct cash or asset support.

2.1.1.1.Criteria for targeting beneficiaries

The main criterion for receiving unconditional cash transfer benefit is the inability to engage

in any type of employment or income-generating activity because of severe disability, poor

health, old age, etc. The following households are eligible for unconditional cash or asset

transfer support:

• elderly caregivers;

• people living with HIV (PLHIV) of all ages who are poor and at the symptomatic

stages;

• child-headed households;

• bedridden people;

• elderly people;

• persons with severe disability;

• destitute women, widows and women-headed households;

• poor households with large family size;

• pregnant and lactating poor women;

• orphans and vulnerable children, including poverty-driven school drop outs;

• others, identified based on the HHEVA tool.

2.1.1.2.Steps to be taken

Implementing partners should take the following steps to provide support for the above-

mentioned target populations:

a) Sign an MOU with the pertinent government organization(s) on the type and extent

of support to be provided.

b) Communicate to the CCC at the woreda where the implementing organization

wants to provide support and explain the type of intervention planned.


c) Where there is no CCC, communicate to the pertinent government organization(s)

at the woreda where the implementing organization wants to provide support and

explain the type of intervention planned.

d) Conduct a study in consultation with the CCC or the pertinent government

organization(s) on the type and extent of support to be provided for each

household.

e) Prepare an implementation plan with the CCC or the relevant government

organization(s).

f) Develop a transition strategy with the CCC or the pertinent government

organization(s) as households move from destitute to other levels, when they

graduate, or when the project ends.

g) Assign a professional with expertise in economics, development, business, or

accounting and finance to coordinate, lead, and facilitate the ES support,

h) Provide timely training on ES for staff implementing interventions.

2.1.1.3.Minimum activities

The following are the minimum activities should be carried out by implementing partners

and their coalitions:

a) Identify the eligible households―particularly those with members living with or

affected by HIV/AIDS―in collaboration with the CCC or the responsible

government organization(s), using the Household Economic Vulnerability

Assessment (HHEVA) tool annexed to these guidelines.

b) Prepare and apply a questionnaire to profile supported households.

c) Develop and maintain a case file for each household supported.

d) Encourage the participating households to send their children to school.

e) Allocate funds for an unconditional cash transfer program.

f) Ensure that no child in the household is engaged in hazardous activities.

g) Provide an unconditional cash transfer to eligible households.

h) Record every support provided on the registration card prepared for this purpose.

i) Build the capacity of the targeted households to manage the cash they are provided.

j) Monitor the livelihood situations of the households jointly with the CCC and other

pertinent government organization(s).

k) Assess the eligibility of households for the next support level based on pre-set

criteria determined in collaboration with the CCC or pertinent government

organization(s) using the HHEVA tool.

l) Transfer the households to the next support level.

Among the households enrolled in the support program, some may leave, either

by choice or due to death. It will be important to identify eligible households to

replace those who have left the program.


2.1.2. Intervention: Conditional Cash or Asset Transfer

Conditional cash or asset transfer support shall be provided to a household that for a brief

period cannot engage in any economic activity or only can participate in an economic activity

for a limited time each day. Members of such households must meet some conditions to

receive cash or asset transfer support. For example, although women in such households

almost always must shoulder a heavy burden of unpaid household work such as fetching

water, cooking, and cleaning, they nevertheless should do some work outside the household

in exchange for ES support. Therefore, instead of providing them with direct cash or asset

transfer, it is advisable to engage them in public work for a few hours in the day, but for less

time than a male participant would spend to receive the same-sized cash or asset transfer

(single fathers, such as widowers, and who are primary caregivers, also should have their

hours reduced when their circumstances and responsibilities are similar to those generally

faced by women). For those caregivers with children of primary school age, educational

support materials shall be provided based on the Child Status Index assessment findings, a

tool to gather and assess the needs and well-being of a child. The caregivers shall be

compelled to send the child to school to receive this support.

2.1.2.1.Target beneficiaries

The main eligibility criterion for conditional cash transfer is the temporary in ability to be

engaged in any normal economic activities, but can be engaged for a limited time in the day

or once they got the transfers. Accordingly, the following households are eligible for

conditional cash or asset transfer support:

• poor women but cannot be engaged in any activity for various reasons (pregnant, lactating—

first 12 months);

• PLHIV of all ages but in poor health;

• persons with disability;

• OVC/HVC caregivers;

• older OVC;

• vulnerable adolescent girls;

• drug addicts under rehabilitation;

• sexually exploited/abused women who need to work now.


Follow steps a) through h) mentioned under 2.1.1.2.

2.1.2.3.Minimum Activities

These are the minimum activities expected to be executed for identifying targeted beneficiary

households:

a) Implement all minimum activities mentioned under 2.1.1.3.

b) Provide the conditional cash transfer to eligible households.

c) Encourage the households to participate in UJCPSN programs, whenever the

household member is able to work.


d) Assess and record whether the household fulfils the required conditions to receive

the support.

e) Provide training about the benefits of saving and encourage participants to save

some amount of money from the income they get from the UJCPSN programs.

f) Ensure that the household’s nutritional level is improved in addition to other aspects

mentioned above by establishing referral network.

2.1.2.4.Key indicators for provision-level support

Table 3. Indicators for Provision-Level Support

2.2. PROTECTION-LEVEL SUPPORT

As illustrated earlier in the livelihood and food security framework (Figure 1), vulnerable

groups eligible for protection-level support fall into two livelihood phases: loss management

and risk reduction. The interventions corresponding to these two livelihood phases are

explained below.

2.2.1. Intervention: Loss Management Livelihood Phase

In the loss management livelihood phase, households are categorized as “struggling.” These

households shall be provided with support that enables them to retain their productive assets

such as land and housing, stop borrowing for consumption at high interest rates, maintain

their livelihoods, and stabilize their income.



due to death or their own choice. It will be important to identify eligible

households to replace those who have left the program.

Key indicators

• % of cash transfer from the allocated amount by IPs to beneficiaries

who are eligible;

• % of eligible beneficiaries who receive transfers;

• Actual cash transfer (track to ensure adequate and maintained over

time);

• Percent of beneficiaries that start saving after receiving the transfer;

• Percent of beneficiaries that started/re-started business after

graduating from the transfer.

In this livelihood phase, households:

• are unable to pay for basic necessities (such as food, health expenses) and other

necessities (such as school fees);

• have no (or very few) liquid assets—such as cash savings, livestock, food/crop

stores, and personal belongings—that could be sold or traded for money;

• have no predictable sources of income;

• are highly food-insecure;

• have the capability to engage in microenterprise or business activities.

2.2.1.1.Engage households in rural/urban safety nets

The following illustrates key activities to be carried out to support those in loss management

livelihood phase.

• HHEVA will be completed for households.

• Implementers should ensure that the targeted household has the capacity and

willingness to engage, through the provision of training and technical support, in

safety net activities and earn income from them.

The rural/urban safety net or public works scheme is shown in Table 4 below.

Table 4. Safety Net and Public Work Schemes


1. Roads:

• Cobblestone, gravel, and red ash

roads;

• Rehabilitation of roads;

• Pedestrian walkways.

2. Sanitation:

• Community soak-away pits;

• Community latrines;

• Sludge ponds.

3. Solid waste management:

• Collection bins, transfer stations,

collection points;

• Solid waste

collection/environmental cleaning.

4. Urban drainage:

• Drainage systems;

• Simple flood control measures.

5. Social services:

• Health posts;

• Class rooms;

• Day care centers;

• Community halls.

6. Markets and production centers:

• Rehabilitation and/or development

of small community-based

markets;

• Work sheds for small and micro

enterprises.

7. Urban parks and greenery

8. Rural

• Terracing;

• Natural resource protection;

• Water well digging.




The implementers should perform at least the following activities to support such

beneficiaries:

a) Implement all minimum activities except d, e, and g mentioned under 2.1.1.3.

b) Develop or adapt a savings group (SG) manual and other tools needed to establish

and facilitate SGs.ii

c) Train and assign professionals to provide technical assistance to the SG and

monitor their saving efforts.

d) Effect payment or ensure payments are made regularly to the household member

engaged in the safety net support.

e) Train participating households in cash management and saving either in a group

or individually and encourage them to start saving either in SGs or in individual

accounts in financial institutions (SCA, MFI, or a bank).

2.2.2. Risk Reduction Livelihood Phase

In the risk reduction livelihood phase, households try to reduce their risk of losing their

productive assets by selling their properties, migrating for employment, borrowing money,

and decreasing their food consumption and spending. The support provided to these

households aims to stabilize their consumption and to enable them to manage their assets,

encouraging them to engage in IGAs, and advising them to avoid borrowing money,

especially beyond their repayment capabilities.

Categorized under this livelihood phase, households:

• can usually pay for basic necessities (such as food) but may not be able to regularly

afford other necessities (such as school fees), especially if service-giving institutions

require relatively large lump-sum payments;

• have one or more fairly predictable sources of income;

• have some liquid assets, which may fluctuate throughout the year;

• may demonstrate seasonal fluctuations in income/expenses, especially in

relationship to the agricultural seasons (i.e., they can meet their expenses for part

of the year but have real difficulties doing so during another part of the year);

• are classified as moderately food-insecure.


due to death or of their own choice. It will be important to identify new eligible

households to replace those who have left the support scheme.

i i These member-owned and managed groups are often referred to as Village Savings and Loan Associations (VSLAs), although there are

variations in methodologies and naming. Globally, they are known as savings groups (SGs), which is the nomenclature employed in

these guidelines.


2.2.2.1.Intervention: Financial Literacy, Market Understanding, and Participation in SGs

Savings is an important means for households to mobilize capital to use to address their short-

and long-term economic needs. When invested in productivity-enhancing assets like land

and tools, or in asset-expanding purchase of merchandise for resale, savings can facilitate

the growth of a household’s income. In countries where access to the formal financial system

is limited and savings rates are low, SGs are mechanisms to create viable financial access for

poor households. Through their participation in SGs, households can save or borrow money

to solve short term economic problems and to pursue longer term strategies to develop

income-generating micro- and small enterprises.

Savings groups are viable means for creating the culture of saving on the one hand and loan

management and repayment on the other hand through a voluntarily self-selected individual

membership. SGs are unique in the sense that they are autonomous and self-managed informal

institutions. To enhance the viability and sustainability of SG activities, it is important to

provide financial literacy and marketing management training to members operating

microenterprises (MEs).


Households at the risk reduction livelihoods level, some of which may have graduated from

the preceding ES intervention support levels, should fulfil the following criteria for inclusion

in the support scheme:

• have at least some knowledge and experience of the benefits of saving;

• be a member of a SG;

• be willing to continue saving on regular basis.




ES implementers should perform at least the following activities to support the target

beneficiaries and stabilize their livelihoods:

a) Implement all minimum activities mentioned under 2.1.1.3 except d, e, and g.

b) Review, develop, and/or adapt existing SG manuals and other necessary tools to

help to establish SGs. Such tools have already been standardized and are available.

c) When an SG is established, the implementing partner along with the CCC and/or

other pertinent government organization(s) should: provide training on the SG

methodology by an experienced professional.

d) Train and assign professionals to provide technical assistance to the SGs and

monitor their savings and credit activities.

e) Train participating households in cash management and saving either in groups or

individually.

f) Train the targeted households in micro- and small enterprise (MSE) activities from

which they can earn income.


g) Provide participating households with need-based vocational and skills training

programs.

h) Encourage households to establish SGs and start to save at least the minimum

amount as agreed with fellow group members.

2.2.2.5. Key Indicators for protection-level support

Table 5. Indicators for Protection Support

2.3. PROMOTION LEVEL SUPPORT

Vulnerable households eligible for this support level fall into two livelihood stages: (1)

income stabilization and (2) income growth.

2.3.1. Income Stabilization Livelihood Phase

Households at the income stabilization livelihood stage have surpassed the first two stages

of provision and protection and are beginning to progress to the promotion level. At this level,

also known as growing, households:

• can pay for both basic necessities (such as food) and other basic expenses (such as

education and basic healthcare) on regular basis; may struggle to make large lump-

sum payments but are usually able to manage them,

• possess some liquid assets that do not fluctuate significantly throughout the year,



due to death or of their own choice. It will be important to recruit new eligible

households to replace those who have left the support program.

Key indicators

• Number of individuals engaged in public works or any other types

of work (disaggregated by gender, and type of work and

employment);

• Number of individuals trained (disaggregated by gender and type of

training);

• Number of SGs established;

• Number of beneficiary households that start saving;

• Number of beneficiaries started or re-started business;

• Amount of money saved.

• may suffer seasonal fluctuations in income/expenses, but without dramatic swings,

• are mildly food-insecure.

2.3.1.1.Intervention: facilitate informal microenterprises

Households will be assisted to start informal MEs using their own resources. For instance,

they will be encouraged to adopt better productive behaviors to improve yields and manage

product stock and income. It would be important, however, to indicate that behavior change

is the primary focus while capital accumulation is secondary. At the same time, they shall be

supported to engage in various types of production activities through business development

service providers so they can produce marketable products.

The eligible targets for M&E facilitation interventions are households transferred from the

protection stage, as well as those who have graduated from it using their own resources, but

also meet other eligibility criteria (e.g., are PLHIV or caring for HIV-positive children). In

general, the participating households should fulfil these additional criteria:

• have experience in petty trading or small business activities,

• have experience in saving and credit from participation in SGs with repayment track

records,

• be willing and able to engage in micro enterprise development activities,

• be willing and able to engage in vocational and skills development training,

• be willing and able to engage in gainful employment.




• Implement all minimum activities mentioned under 2.1.1.3 (except d, e, and g).

• Conduct a study to identify feasible ME opportunities that target households may

pursue.

• Build the capacity of the targeted households to effectively manage their MEs.

• Review, develop, and/or adapt existing SG manuals and other necessary tools to

help establish SGs.

• Facilitate market linkages in consultation and collaboration with the concerned

government and/or private sector organizations.

• Train participating households in cash management, and how to save either in

groups or individually.

• Provide technical assistance to participating households.

• Train the targeted households in ME activities (select, plan and manage their own

businesses) from which they can earn income (using the standard training manual

developed for this purpose).

• Provide participating households with need-based vocational and skills training

programs.

• Link interested and capable individuals with microfinance institutes.


2.3.2. Income Growth Livelihood Phase

Households at the income growth livelihood phase are at a higher level of the promotion or

growing stage but have not yet fully transformed. These households:

• can pay for both basic necessities (such as food) and other basic expenses (such as

education and basic healthcare) on a regular basis,

• have achieved economic security and possess a stable assets base,

• their income/expenses fluctuate seasonally,

• are food-secure.

2.3.2.1.Intervention: facilitate formal micro, small, or medium enterprises

At this stage, households are assisted to establish micro-, small, or medium enterprises either

individually or in groups, using resources they have and drawing on knowledge obtained

through the technical assistance previously received from ES programs. Households in this

group have already graduated from the previous levels. The enterprises established can be

either rural or urban economic activities that produce simple products, sell merchandise, or

provide services. The households also can be trained in marketable skills and be employed

by other businesses.


The target households of this intervention are the ones transferred from the growing stage or

they already reached the growing stage by themselves but are eligible to be included under

this support scheme.

The targeted beneficiaries should fulfil the following criteria in addition to the above-

mentioned requirement.

• The household should have experience in operating a farm or other agricultural

business, either in a group or individually.

• The household should have experience in SG activities.

• The household should have a strong credit history (i.e., has a history of repaying

its loans).


Follow steps a) through h) mentioned under 2.1.1.2


a) Implement all minimum activities mentioned under 2.1.1.3 (except d, e, and g).

b) Conduct a feasibility study to identify feasible business opportunities for targeted

households

c) Assess the capacity and interest of households prior to engaging them in

rural/urban agriculture production and/or marketing activities.

d) Conduct a supply and value chain assessment for the products that targeted

households will produce in consultation with the concerned government body.


e) Build the capacity of the targeted households to effectively manage rural/urban

agriculture production and/or marketing business.

f) Facilitate the process of securing land for rural/urban agriculture production in

consultation with the pertinent government organization.

g) Ensure the provision of expertise to improve existing or the new rural/urban

agriculture production and/or marketing business.

h) Ensure that the households are trained in the business area in which they would

like to be engaged.

i) Create linkages with pertinent government and non-government vocational and

skills training institutions.

j) Facilitate access to micro-finance institution (MFI) loans.

k) Train and assign professionals that will provide technical assistance to the SGs

and conduct close follow up of their savings and credit activities.

l) Facilitate experience sharing.

m) Technical support to the economic strengthening participants, especially the group

enterprises shall be guided by a well prepared business development service

(BDS) action plan.

2.3.3. Intervention: Establishment of Manufacturing or Service Enterprises

The facilitation support services anticipated for this level of intervention are to establish a

micro-, small, or medium business enterprise.


These interventions target households transitioned from the preceding income stabilization

livelihood phase either by the implementers or by themselves, having fulfilled the eligibility

criteria set for this level, including:

• The household should have experience and be willing to be engaged in managing

manufacturing, merchandising, or a business that provides services.

• The household should have experience in group savings and credit activities,

including a good loan repayment record.





due to death or of their own choice. It will be important to identify new eligible

households to replace those who have left the support scheme.


a) Implement all minimum activities mentioned under 2.1.1.3 (except d, e, g).

b) Conduct a feasibility study for the different types of manufacturing,

merchandising, or service-providing businesses and identify the types of business

in which targeted households shall be engaged.

c) Build the capacity of the targeted households to effectively manage manufacturing,

merchandising, service-providing, and/or marketing businesses.

d) Facilitate market linkages and the creation of networks in consultation with the

pertinent government organizations.

e) Facilitate securing land/space/room for manufacturing, merchandising, or service

provision in consultation with the pertinent government organization.

f) Facilitate creation of a viable supply and value chain for the products.

g) Facilitate access to loans from an MFI in consultation with the pertinent

government organization.

h) Ensure the provision of expertise to improve an existing or new manufacturing/

merchandising, service-providing, and/or marketing business.

i) Technical support shall be guided by a well prepared business development service

(BDS) action plan.

2.3.3.4.Key Indicators for Promotion-Level Support

Table 6. Indicators for Promotion Support


Key indicators

• Number of individuals engaged in enterprises (disaggregated by

gender, and type of work and employment);

• Number of MEs established;

• Number of beneficiaries who receive credit from formal financial

institutions;

• Percent increase in Enterprise profitability;

• Percent increase in the capital of enterprises;

• Percent change in enterprise level (as some may develop into small

enterprises after some time);

• Percent change in food security status of beneficiaries;

• Percent change in income level of beneficiaries.

Table 7. Summary of ES Interventions and Targeted Households

types oF es

interventiontargeted HouseHolds

• Unconditional cash transfer;

• Food aid.

Households that are living in destitute livelihood phase:

• Elderly caregivers;

• Poor women or widows;

• Poor HIV positive Children;

• Poor vulnerable adolescent girls;

• OVC;

• Poor PLHIV of all ages at the symptomatic stages;

• Child-headed households;

• Persons with disability but unable to work.

• Conditional cash transfer.

• Poor women or widows but have no opportunity to be

engaged in any activity for various reasons;

• PLHIV of all ages but partially in healthy condition;

• OVC care givers;

• OVC headed households;

• Vulnerable adolescent girls;

• Persons with disability but need opportunity to work.

• Urban/rural safety net/public

works.

• OVC;

• Vulnerable adolescent girls;

• OVC caregivers;

• Youth/adolescents who are unable to be engaged in

business activities;

• Poor women or widows who are unable to be engaged

in business activities;

• PLHIV of all ages in healthy condition but who are

unable to be engaged in business activities;

• Persons with disability unable to be engaged in

business activities.

• Financial literacy;

• Business skills;

• Technical skills;

• Market/feasibility study:

- Enterprise development

rural/urban agricultural activities;

- Micro, small, and medium

manufacturing or merchandising

and service enterprises.

• Micro finance services;

• Cooperative services;

• Revolving loan;

• Savings groups;

• Vocational and skills training;

• Apprenticeship and internship;

• Close follow up and business

development support.

• All poor men and women at all ages who are able and

willing to be engaged in business activities;

• PLHIV of all ages in healthy condition, who are able

and willing to be engaged in business activities;

• Persons with disability who are able and willing to be

engaged in business activities;

• Sexually exploited/abused women;

• Female sex workers and women engaged in

transactional sex who are vulnerable to HIV/AIDS.

2.4. GRADUATION STAGE

ES implementing organizations must follow the definition, basic stages and indicators

mentioned for each phase in this document. The end goal of ES is to move participants/

beneficiaries out of vulnerability and into sustainable livelihoods. This process is known as

graduation. Beneficiary households can exit from ES support in two ways; (1) by self-

application - a household can leave the program on its own or, (2) by evaluation results—a

household can graduate from the ES support system based on evaluation results conducted

using the vulnerability assessment tool provided with these guidelines (HHEVA) and/or clear

criteria.

2.4.1. Graduating Households

Graduation should be based on case-by-case evidence-based assessment results of a

household’s circumstances using relevant, realistic, and transparent criteria. Identification of

graduating households are in no way linked to policy targets for graduation. Because the end

goal of graduation is common across all ES programs–to exit households from vulnerability

into sustainable livelihoods–each ES implementing organization must follow the set criteria

for graduation listed below. Before a household graduates from the ES support system, the

implementer, in collaboration with the pertinent government organization, should use the

graduation assessment tool and set criteria to confirm that the household has reached the

following criteria.

Table 8. Indicators for graduation stage

Additionally, beneficiaries should be notified when they are expected to graduate prior to

graduation to safeguard them from premature graduation.


Key indicators

The household:

• Has received sufficient loans and engaged in manufacturing,

merchandising, or service- providing business;

• can consistently repay loans;

• Confidently uses the ES skills it has acquired through the

program with minimal external support;

• Has access to markets and increased clientele with increased

revenue;

• Has improved access to healthcare; and

• Has increased self-confidence and a plan for the future.

2.4.2. The Process of Graduation

Vulnerable households selected for economic strengthening interventions will graduate

between 27 and 36 months and should not stay more than twelve months in each three stages

of ES stages outlined in this guideline. Thus, unless there are special occasions of health,

social and security issues, a target household should be ready for graduation within twenty

seven months from the time of entry into the program.

Home Visit

It is important to assess ES participant’s progress at each stage of the livelihood pathway and

during at the end of a program through home-visit evaluations made by at least two staff.

When working in pairs, one interviewer can ask questions and discuss informally while the

other assesses objective questions by observing ES beneficiaries’ homes, assets, children, etc.

Committee

After each household has been visited and evaluated according to the vulnerability assessment

tool and the determined criteria, a graduation committee of staff, CCCs and management can

be gathered to help determine the status of members whose special circumstances are not

reflected in a systematic evaluation. This allows for a more nuanced evaluation process and

corrects for human error in data collection and observation. The graduation committee

meetings can also help ES implementing organizations identify weakness in the program and

the assessment tool itself, and to consider ways of improving both during scale-up and future

programs.

Graduation Ceremony

After each ES beneficiary has been evaluated and his or her eligibility for graduation

determined, it is important to hold a graduation ceremony for participants and their families.

The ceremony allows the participants to talk about their progress with their families and

celebrate their success. Participants may receive certificates of program completion or other

gifts.

What if an ES participant doesn’t achieve the graduation benchmarks?

Despite efforts made by the implementers, some households may not be able to graduate

from ES support for various reasons. Alternatively, the implementer may be forced to close

its program for other reasons. When either happens, the implementer in collaboration with

community platforms like CCC should present the list of households that could not graduate

from the ES support to the pertinent government organization for subsequent support. Further,

the implementer should define the interventions that will be available to “non-graduates.”

Will the program offer an extension period for those who do not graduate? If so, how will

this be managed? These decisions may be time-sensitive as resources will need to be allocated

for members who need additional support. Moving reliably out of vulnerability is a process,

rather than a threshold or “finish line,” and some ES program participants may need additional

support.


2.4.3. Minimum Activities

When it is determined that a household is ready to graduate from ES support, implementers

should perform the following activities, among others:

• Ensure the income source of the household is predictable and sustainable.

• Ensure that the household meet the criteria from economic vulnerability assessment

tool.

• Graduating ES participants are linked to MFIs and organizations that provide

support after the project.

• Prepare graduation ceremony and issue graduation certificate.

2.5. TRANSFORMING STAGE

It is apparent that at this level that an economically empowered household does not need

economic support from a program. Nevertheless, the household may still need technical

support after graduation to consolidate its gains and avoid sliding back to a lower economic

level. To make the ES support sustainable, the pertinent government organizations along with

other development partners should follow up to ensure sustained progress.

2.6. ENTRY AND EXIT STRATEGIES OF ECONOMIC

STRENGTHENING IMPLEMENTING PARTNERS

When a new intervention is introduced in a specific community, there will be entry strategies

that implementers should pursue. Similarly, when the intervention is completed; there will

be exit strategies that implementers should follow prior to closing the program. The pertinent

government and community-based organizations also have specific responsibilities in relation

to entry and exit of implementing partners for ES support programs.

2.6.1. Entry Strategies

Every implementer should adhere to the following entry strategies when seeking to implement

an ES support program in a community:

• Allocate sufficient budget to run the intervention.

• Employ ES implementation managers and/or officers with relevant experience in

economics, business management, business administration, and finance, and provide

appropriate training for their staff.

• Contact the pertinent government organization(s) to express interest in

implementing ES support interventions.

• Submit to the pertinent government organization(s) legal documents, including the

project proposal. In doing so:

- The government will ensure that the interests of the implementer comply

with government policies, strategies and programs and, as necessary.

- The government will assign the implementer to specific area where the ES

support intervention shall be implemented.


- The implementer, jointly with the government and community-based

organizations, will discuss and agree on the selection of target beneficiaries,

implementation modalities of the program and the like.

- They will jointly review detailed implementation and monitoring and

evaluation plans with the pertinent government office.

- They will reach an agreement and sign a MOU.

- The pertinent government organization(s) shall provide the necessary

support as required and facilitate the implementation of the ES support

intervention.

- The implementer will conduct a baseline vulnerability assessment using

the annexed tool before selecting the beneficiaries.

2.6.2. Exit Strategies

When an implementer ceases its support due to program phase-out or other reasons, it should

not suddenly leave the intervention area and beneficiaries. Rather, it should implement the

following activities prior to program closure:

• Inform its beneficiaries and the pertinent government and community-based

organization in writing and organize a close-out workshop at least six months before

the cessation of the program, explaining clearly when its support will cease and

why.

• Link ES beneficiaries with MFIs and other pertinent government organizations to

help sustain program outcomes.

• Facilitate employment opportunities for those beneficiaries who are not able to run

a business.

• Perform all exit strategies as stipulated in the project document.

• Hand over all required project-related documents and materials to the pertinent

government agencies and other stakeholders.

• Fulfil all the required conditions that are stipulated in the project document and

MOU.

• Reach agreement with the pertinent government and community-based organization

on the closing of the program and obtain confirmation letters from these

organizations.

• Arrange meetings with pertinent government and community-based organizations

for official closing of the program.

• Conduct and submit external audit reports.

• Conduct final evaluation/assessment and share lessons learned to stakeholders.


Monitoring and Evaluation 35

Monitoring

and

Evaluation

Section 3


3. MONITORING, EVALUATION AND REPORTING

This section covers program monitoring/supervision, evaluation, and reporting with respect

to program quality. Monitoring and evaluation (M&E) is a means to track work progress and

impact of a program as well as to evaluate whether the program/organization is working

effectively and efficiently.

A well-designed and implemented M&E system frames the parameters of ES activities, guides

adjustments along the way, and enables measurement of changes. In addition, it will identify

key lessons learned during the project implementation and/or when a project ends to ensure

that resources are optimally used and ES interventions are having sustainable impact on the

lives of targeted households.

While an M&E system is established, selecting appropriate indicators is an essential step to

ensure whether ES activities are meeting their objectives. Implementing partners and other

stakeholders shall use MERL a uniform M&E approaches and data tracking mechanisms so

that there will be consistent and reliable data at the national level that can be used to inform

development partners, government, and even beneficiaries on the effectiveness of ES

interventions. Additionally, all ES partners should be able to report on key, nationally agreed-

upon indicators so that their efforts and outcomes are visible and measurable.

Implementers will be expected to be familiar with the M&E system, key ES indicators, and

program quality measurements summarized in these guidelines.

3.1. PROGRAM QUALITY

ES interventions should continually be monitored and assessed to understand progress and

trends by focusing on type, quality, and quantity of ES services provided to the targeted

households. This will ensure that ineffective efforts are amended and effective efforts scaled

up in a timely fashion.

The following Quality Assurance Matrix is presented to help ES partners undertake quality

assurance activities on ES interventions. Based on the program quality parameters below,

and depending on the nature of the program targets, the implementers can also develop their

own customized program quality measurement indicators.

QUALITy ASSURANCE MATRIx

DESIRED OUTCOME: Households have sufficient income to improve their livelihood.

Table 9. Quality Dimensions Matrix: Economic Strengthening

Quality

dimensionsQuality cHaracteristics oF es interventions

Safety

• Develop financial service delivery mechanism to reduce financial

vulnerabilities (savings-led financial services) of beneficiary households.

• Child labor exploitation is prohibited in accordance with the CRC.

• Employers are aware of requirements for a safe working environment.

• ES activities that are deemed illegal or dangerous are avoided.


Quality


Access

• Convenience to target group is considered when delivering services.

• All training materials are in accordance with and respectful of the local context.

• Selection criteria are transparent and prioritize the most vulnerable.

• Households should have access to financial resources, material, and social

support.

Effectiveness

• Income generated is used to care for the households.

• ES schemes have low capital or resource requirements, and are accessible to

those most in need.

• Household assets (economic and social) are built to withstand shocks.

• A financial service delivery mechanism is developed to reduce debt (savings-

led financial services).

• Households acquainted with basic SGs skills and knowledge.

•Household income sources are sustained and diversified.

Technical

Performance

• Technical support is regularly provided.

• All activities and services are managed by the households.

• ES are environmentally sustainable.

• Households know/are trained on how to manage financial resources.

• ES interventions have established mechanisms to minimize risk (e.g.,

providing child-friendly IGAs, follow-up to avoid possible risks, strengthening

appropriate data management, confidentiality).

• ES are based on market assessments (supply/demand driven).

• Progress of beneficiaries is supervised, monitored, evaluated and documented.

Efficiency

• ES delivery strategy has a low operation cost.

• Interventions leverage public and private sector resources.

• Service delivery strategies are consistent with community norms and values.

• ES opportunities are diverse.

Continuity

• ES interventions are appropriately linked with other service providers.

• ES delivery strategy is managed by the community.

• ES interventions are consistent with local laws and regulations.

• ES interventions are built on indigenous community knowledge and tradition.

• ES interventions are based on local resources and outlets.

• Trained beneficiary households are linked to potential employers.

• Beneficiary households are facilitated and encouraged to interact or build

relationships with the private sector.


Quality


Respectful

Relations

• ES delivery is participatory.

• ES delivery is need-based not supply-driven.

• ES and products made should not be labelled to avoid stigma.

Appropriateness

• HIV-positive OVC and caregivers are not engaged in activities that are

overly strenuous or put their health at risk.

• ES delivery is demand-driven.

• ES are based on local tradition norms and values.

• ES are focused on primary needs of most vulnerable.

Participation

• Beneficiary households participate in selection, planning, and management

of the activities.

• Service delivery is flexible.

• Community convenience is considered in conducting activities.

• Selection of beneficiary households is transparent.

• Community is involved in decision-making leading to empowerment.

Sustainability

• Local laws and regulations maintained and recognition given to innovative

service delivery mechanisms.

• The ES services provided are built on strengthening traditional coping

mechanisms.

• Referral system is properly linked and maintained with safety-net programs

such as urban gardening, WFP, UPSNP and others in the targeted areas.

• Resources are leveraged from communities, private, and public sector.

• Beneficiary households are trained in business management, savings, and

investment.

3.2. APPROACHES TO MONITORING AND EVALUATION

Program monitoring will be conducted through joint supportive supervision engaging all

pertinent stakeholders. Implementers should adhere to the following guidelines when

conducting M&E activities:

• Maintain an adequate database for ES interventions.

• Make sure that the project’s database has incorporated all key indicators of ES

interventions proposed in these guidelines.

• Collect data per the indicators mentioned in these guidelines for the monitoring and

evaluation of the ES interventions.

• Develop and implement appropriate data-capturing formats.

• Assign a responsible person to collect the data.

• Maintain disaggregated data (by sex, by age, location, type of intervention, and type of

household—destitute, struggling, and growing).

• Maintain consistency in the types and depth of data to be collected.

• Organize and keep program data in an appropriate way.

• Put in place data validity-checking mechanisms.

• Analyze data and generate information for evidence-based decision making.

• Share key finding with concerned partners/stakeholders.

3.3. ECONOMIC STRENGTHENING MONITORING AND

EVALUATION INDICATORS

The tables below provide an illustrative list of sample process/output, outcome, and impact

indicators that are going to be tracked routinely or periodically by implementers to monitor

and evaluate the ES intervention’s performance.

Table 10. Sample Economic Strengthening Monitoring and Evaluation Indicators


type oF

indicatorpurpose/anticipated result

means oF

veriFication

Input/process

Indicators

Inputs indicators are used to measure the

resources and methods you employ to

conduct work (e.g. ES basic training, staff

capacity building, cash transfer, project

launching, etc.). Inputs can be:

- Physical (e.g. equipment rental or

purchase);

- Material (e.g. supplies and provisions);

- Human (labor cost such as salaries for

technical assistance, staff etc.);

- Financial (such as travel costs, per diem

costs, direct and indirect costs).

Examples:

- Number of ES beneficiaries identified;

- Number of ES need assessments

conducted;

- Number of cash handouts done;

- Number of partners and CBO staff trained

in the use of the HHEVA tool and using

analysis to target appropriate household

interventions;

- Amount of money transferred;

- Number of ES participants trained.

Training reports,

attendance sheets,

log sheets, receipts,

audio-visual

recordings, etc.


type oF


means oF

veriFication

Output

Indicators

Output indicators are used to measure

information, products, or results produced by

undertaking activities or projects. Example:

- Number of saving and lending groups

formed;

- Number of enterprise groups formed;

- Number of ES promoters/ES staff trained;

- Amount of savings mobilized;

- Percent of mobilized savings invested.

Pre-test and post-

test; field

observation,

testimonies, review

of financial records,

reports, etc.

Outcome

indicators

Outcomes indicators are measures of broad

changes in development conditions,

answering the “so what” question. Example:

- Percent of beneficiaries who started/re-

started business after graduating from the

transfer;

- Percent of cash transfer disbursed from

the allocated amount by IPs to

beneficiaries who are eligible;

- Percent of eligible beneficiaries who

received transfers;

- Percent of beneficiaries that can start

saving after receiving the transfer;

- Number of individuals engaged in public

works or any other type of work

(disaggregated by gender, and type of

work and employment);

- Number of individuals who started

businesses;

- Number of beneficiaries linked to formal

financial institutions;

- Number of ME established;

- Percent increase in enterprise profitability;

- Percent increase in the capital of

enterprises;

- Percent change in enterprise level (as

some may develop into small enterprises

after some time);

- Percent change in food security status of

beneficiaries;

- Percent improvement in income level of

beneficiaries;

- Vulnerable households have increased

ability to build and protect assets.

Reports, a carefully

designed qualitative

and quantitative

survey.

Table 11. Household Economic Strengthening Indicators


type oF


means oF

veriFication

Impact

indicators

Impact indicators are measures of the overall

and long term effects of an intervention.

Example:

- Overall increased access and availability

of the right mix of economic opportunities

for vulnerable households;

- Vulnerable households have increased

ability to build and protect assets;

- Overall improvement in household

wellbeing.

Reports, a carefully

designed qualitative

and quantitative

survey.

indicators numerator denominator

Proportion of households with

access to minimum food

consumption requirements-

measured against 2,100

kilocalories per person per day.

Number of households with access to

minimum food consumption

requirements- measured against 2,100

kilocalories per person per day

(adapted for child caloric requirements

as needed).

Total number of

households

enrolled in the ES

program.

Proportion of households

reported to have increased

consumption of diverse diets

that include cereals/grains, roots,

beans/nuts, vegetables,

meats/fish, fruits, cooked food,

milk products, sugar, beverages,

and spices.

Number of households reported to

have increased consumption of diverse

diets that include cereals/grains, roots,

beans/nuts, vegetables, meats/fish,

fruits, cooked food, milk products,

sugar, beverages, and spices.

Total number of

households

enrolled in the ES

program.


reported to have expended on

essential non-food items and

services (schooling, uniforms,

health care, food, shelter,

electricity) in the previous

month.

Number of households reported to

have expended on essential non-food

items and services (schooling,

uniforms, health care, food, shelter,

electricity) in the previous month.

Total number of

households

enrolled in the ES

program.


reported increase in asset

ownership.

Number of households reported

increase in asset ownership.

Total number of

households

enrolled in the ES

program.


indicators numerator denominator

Proportion of households earned

sufficient cash income to maintain

productive assets.

Number of households earned

sufficient cash income to maintain

productive assets.

Total number of

households

enrolled in the ES

program.

Proportion of households with

the ability to invest in productive

activities`.

Number of households with the ability

to invest in productive activities.

Total number of

households

enrolled in the ES

program.


to have increased ability to cope

with economic shocks.

Number of households reported to have

increased ability to cope with economic

shocks.

Total number of

households

enrolled in the ES

program.


to have increased revenue due to

application of the new ES skills.


increased revenue due to application of

the new ES skills (determine profit

values and compare with the cost of

inputs) over the last month, year, or

since program inception.

Total number of

households

enrolled in the ES

program.


reported to have increased

clientele base, or increased

market access compared to

before the program inception.


increased clientele base, or increased

market access compared to before the

program inception.

Total number of

households

enrolled in the ES

program.

support

level

intervention

approacH

illustrative indicators oF

program success

Provision

social

assistanceiii (conditional and unconditional)

Asset and Cash

Transfers

Are cash transfers getting to the intended recipients in a

timely and efficient manner?

- No. of households that received at least one cash transfer

in the preceding period;

- No. of households reported increased income within a

given time period (list lowest, average, and highest

amount received);

- No. of households reported spending cash on various

items, such as schooling, uniforms, health care, food,

shelter, electricity, alcohol/tobacco, and other

entertainment items in the previous month.

Food Assistance

Is food aid reaching the intended recipients in a timely,

frequent, and efficient manner?

- No. of households that received food aid;

- Frequency of receiving food aid (weekly, monthly, other);

- Household use of food aid (consuming, selling, trading,

giving away) food aid;

- Condition of food: good, bad, neutral;

Protection

asset

protectioniv (restore or maintain economic resources)

Group and Individual

Savings

- No. of households reported increase in asset ownership;

- No. of households reported increased capacity to cope

with economic shocks (see these indicators listed above);

Legal Protective

Services for Vulnerable

Groups

Particularly relevant for divorced, separated, and widowed

women, and also orphans.

- No. of households engaged in productive ES activities;

- No. of households with access to credit, if they need it;

- No. of households with legal status to care for their

children;

- No. of households with legal status to maintain the

property they owned;

- No. of households reported to have received legal

assistance when they needed it;

- No. of households reported requiring legal assistance to

maintain their properties (example: head of household,

right to care for their children, right to own/rent land,

etc.) but were not able to access it.

Table 12. Sample Economic Strengthening Core Indicators by Approach

iii Recommended target groups for cash and food transfers include individuals who are most vulnerable, poor, and laborconstrained (e.g., elderly, disabled, chronically ill) and PLHIV at the symptomatic stages.

iv Target audiences for asset growth and protection include very vulnerable households (those in transition), includingcaregivers of OVC, youth, and PLHIV.

3.4. REPORTING

All implementing partners will have their own ES implementation performance monitoring

plans. Based on the sample M&E indicators provided in these guidelines, all implementers

at all levels shall establish appropriate indicators and prepare routine monitoring reports that

show when, where and how activities were carried out as well as the beneficiaries reached.

The narrative reports should also clearly show whether activities were done according to the


support

level

intervention

approacH

illustrative indicators oF

program success

Promotion

income growtH v

Microfinance

Business loans / Microfinance

- No. of households who received sufficient loans to

increase their business;

- No. of households fully repaid or consistently

repaying their loans;

- No. of households with increased income (baseline

is necessary for comparison).

Skills Training

Note: programmatic best practices from field practitioners

suggest that skills training should be complementary, but

not mandatory to receiving economic strengthening

assistance.

- No. of households reported to have benefitted from

the knowledge and skills acquired during the ES

trainings;

- No. of households reported to have developed

increased confidence to use the new ES skills for

income-generating activities after ES trainings;

- No. of households with increased revenue due to

application of the new ES skills (determine profit

values and compare with the cost of inputs) over the

last month, year, or since program inception;

Market Linkages

Market linkages (baselines are important to determine

the effect of the market linkage program).

- No. of households with increased revenue after

applying new business skills (determine profit

values and compare with the cost of inputs) over the

last month, year, or since program inception);

- No. of households with increased clientele base or

market access after their enrolment in the ES

scheme.

v Business loans, skills, vocational and market linkages are best targeted toward those who are somewhat vulnerable butwith productive capacity: caregivers, youth (though youth may respond better to mentorship and skill building than toloans) and PLHIV who have productive capacity.

standard, challenges encountered during implementation, and how they were addressed.

Furthermore, the reports should show the lessons learned, best practices developed, and

possible recommendations for further improvement.

Thus, all implementing partners at all levels should produce quarterly, bi-annual, and annual

reports and should present them to the pertinent government and other stakeholders as per

standard requirements. Reports shall be prepared based on the format prepared for this

purpose. Joint review, mid-term evaluation, and terminal evaluation reports shall also be

prepared and shared as they occur.


Roles and Responsibilities of Stakeholders 47

Roles and

Responsibilities of

Stakeholders

Section 4

4. ROLES AND RESPONSIBILITIES OF STAKEHOLDERS

4.1. RELEVANT GOVERNMENT ORGANIZATIONS AT FEDERAL

LEVEL

The relevant ministries, federal agencies/offices, regional states bureaus, as well as city

administrations and other government stakeholders are expected to play their roles and carry

out their responsibilities in an integrated manner. Thus, the individual and joint

responsibilities of each stakeholder are outlined below.

Federal HIV/AIDS Prevention and Control Office (FHAPCO)

1) Coordinates and leads all activities related to HIV/AIDS prevention and control.

2) Cooperates with all relevant stakeholders to engage people who are affected and

infected by HIV/AIDS in ES activities.

3) Advocates for HIV-sensitive ES service provision in the implementation of the

HIV/AIDS Strategic Plan 2015–2020 in an investment case approach.

4) Promotes the awareness and understanding of the rights of most-at-risk populations

(MARPs) who are vulnerable due to HIV/AIDS, including the need for nutritional

screenings, education and referrals.

5) Facilitates mainstreaming of ES in home-based care programs targeting PLHIV

households.

Ministry of Women’s and Children’s Affairs (MoWCA)

1) Coordinates and leads the effort in identifying vulnarable women and children who

should be eligible for ES support.

2) Provides support to the implementing partners in persuading women who are

economically vulnerable but able to work to be engaged in ES activities.

3) Coordinates, facilitates and provides support to implementing partners in order to

provide psychosocial and skills training to women.

4) Monitors and provides supportive supervision to the implementing partners to

follow up on the status of those women and children who are provided with ES

support.

5) Ensures that economically vulnerable women and children are identified, enrolled,

and supported according to these guidelines in collaboration with relevant

government agencies.

Ministry of Labour and Social Affairs (MoLSA)

1) Coordinates and facilitates that economically vulnerable households are identified,

enrolled, and supported according to these guidelines in collaboration with relevant

government agencies.

2) Collaborates with UJCFSA to monitor and evaluate changes occurring among

economically vulnerable households who are enrolled in public works and ES

support opportunities.

3) Shares data and results of studies to the implementing partners regarding people

living in destitution, elderly people, people with disabilities, and people who are

living on the street.


4) Coordinates and facilitates the effort to identify vulnerable individuals by name

and address, and shares them with the implementing partners to give these

individuals psychosocial and skills training.

5) Coordinates and facilitates the effort to identify destitute individuals and

households who are unable to work and who are eligible to get unconditional cash

support, and shares the names and addresses of these individuals with the

implementing partners for ES support.

6) Coordinates, facilitates and provides technical support to conduct studies in

collaboration with relevant stakeholders on labor markets and engages with the

private sector to create employment opportunities.

7) Monitors the implementation of these guidelines by all implementers.

8) Leads the establishment of CCCs, supervises their performance and provides

support.

9) Establishes and manages the national and local level database information systems

on ES interventions.

Ministry of Agriculture and Natural Resources (MoANR)

1) Provides data on suitable urban and rural agricultural activities to implementing

partners.

2) Provides training for those households willing to be engaged in urban and rural

agriculture.

3) Provides technical support for those households that are engaged in urban and rural

agriculture.

4) Supports and empowers the households to participate in agricultural production

for income generation and food security.

5) Facilitates the formation of groups of households and provides them with necessary

support to become entrepreneurs in the agricultural sector.

6) Ensures the sustainability, promotion, and development of home gardening as an

income source as well as to fulfil the nutritional needs of households.

Ministry of Finance and Economic Cooperation (MoFEC)

1) Signs project agreements with donors and implementers.

2) Provides technical support in resource mobilization.

3) Conducts joint M&E with donors and implementers.

4) Monitors ES interventions to ensure that are implemented in accordance with

related project agreements.

Ministry of youth and Sport (MoyS)

1) Provides support in community mobilization to change the attitudes of youth

toward work/jobs.

2) Provides support to identify beneficiaries who should be eligible for ES support.

3) Provides support in persuading youth who are economically vulnerable but able

to work to engage in ES activities.

4) Provides support in following up on the status of youth who receive ES support.


Ministry of Education (MoE)

1) Ensures that children and youth living in destitute conditions are exempt from

school-related fees and protected expulsion from school for financial reasons.

2) Provides support to beneficiaries who are selected to enroll in Technical and

Vocational Education and Training (TVET) or vocational training.

3) Ensures that economically vulnerable children/youth who are out of school have

access to and benefit from available non-formal education opportunities.

4) Ensures that economically vulnerable youth transitioning to secondary education

receive scholarships from local scholarship scheme.

5) As indicated in the Education Sector Development Program IV (ESDP IV), support:

• NGOs, donors, and civic organizations to increase financial and material

provisions to vulnerable children,

• targeted households to be enrolled in cooperative training schemes,

• targeted households to access TVET trainings,

• sharing labor market information,

• behavior change and awareness-raising programs on drug and substance

abuse prevention activities,

• awareness-raising programs to change the attitudes of targeted households

toward work/jobs.

Urban Job Creation and Food Security Agency (UJCFSA)

1) Supports the inclusion of the ES interventions implemented by various

stakeholders in the country’s legal and livelihood support framework.

2) Provides support to the implementing partners in preparing ES training manuals.

3) Provides support to the implementing partners in providing psychological and

skills training to households that are ready to engage in micro enterprise.

4) Provides support to the implementing partners in community mobilization to

change prevailing attitudes toward work/jobs.

5) Shares data and results of studies reflecting the status of those who are socially

vulnerable, poor, and unemployed but are able and unable to work.

6) Provides support to implementing partners in identifying households to be targeted

for ES interventions.

7) Provides support to implementing partners in creating employment opportunities

to households that are willing to be engaged in self- employment.

8) Provides support and facilitates processes to secure work premises for establishing

businesses.

9) Provides support to create market linkages.

10) Provides support to the implementing partners in designing special packages to

assist those households that are living in destitution.

11) Signs MoUs with implementing partners engaged in supporting economically

vulnerable households as well as participates in the joint preparation of annual work

plans and follows up on the implementation of activities predefined in the work plans.

12) Monitors the implementation of these guidelines by all relevant stakeholders.


4.2. GOVERNMENT AND NON- GOVERNMENTAL

ORGANIZATIONS AT REGIONAL AND LOWER LEVELS

Regional Bureaus

1) Provide guidance and leadership for the overall implementation of ES activities

in the region.

2) Enforce adherence to ES guidelines by implementers.

3) Create opportunities and facilitate conditions for resource mobilization through

the CCCs.

4) Provide capacity building programs to implementing partners.

5) Create partnership forums among different actors engaged in implementing ES

initiatives to enable cross fertilization of promising practices and experiences.

6) Participate in joint supportive supervision visits to ensure quality ES service

provision.

7) Analyze reports coming from implementers and provide feedback.

8) Compile and share promising practices and lessons learned.

Woreda level Bureaus

1) Build partnerships with all actors.

2) Coordinate and follow implementation of ES interventions.

3) Facilitate to enabling environment for implementers.

4) Coordinate the mobilization of communities and resources to enhance community

ownership of interventions.

5) Follow up on implementer adherence to ES guidelines to deliver quality services.

6) Participate in joint, supportive supervision with implementing partner field office

staff.

7) Document and share promising practices with other implementers.

Kebele level

1) Facilitate conducive working environment for implementers.

2) Lead the identification of beneficiaries for ES interventions according to the

guidelines.

3) Mobilize resources from the community to use for implementing ES interventions.

4) Participate in the day-to-day implementation of the program according to the

guidelines to maintain the quality of the interventions.

5) Facilitate the integration of interventions with the CCC activities.

6) Participate in a detailed implementation planning process and subsequent

monitoring of and reporting on the ES interventions.


Technical and Vocational Education Training Agency

1) Strengthens private training institutions and encourage enterprises to participate

in the TVET system.

2) Empowers targeted households through skills development.

3) Ensures equal access of targeted households to TVET.

4) Strengthens the culture of self-employment and supports job creation in the

economy.

5) Ensures, in collaboration with other stakeholders, appropriate coordination with

the TVET system in enrolling targeted households.

6) Conducts labor market monitoring at the national level and ensures that monitoring

results are used for TVET planning to address the needs of targeted households.

7) Facilitates a conducive and stimulating environment to encourage private TVET

institutions to enroll targeted households at federal and regional levels.

8) Provides appropriate support to engage employers in the TVET system, especially

to provide on-the-job training in the form of apprenticeship and internship service

to targeted households.

9) Monitors the provision of TVET to targeted households.

10) Conducts all other activities necessary to foster the provision of TVET as

demand-oriented, relevant, and accessible to targeted households.

Microfinance Institutions

1) Provide training on group and individual savings.

2) Open accounts and accept transactions from individuals or groups.

3) Provide microloans to households that are trained and ready to be engaged in ES

activities.

4) Provide technical support to beneficiaries who have taken out loans on how to

manage their finances.

5) Follow up on the repayment of loans.

People Living with HIV Associations

1) Participate in planning and decision-making regarding ES services provided to

PLHIV.

2) Participate in identifying PLHIV for intervention targeting.

3) Provide the support required to organizations implementing ES interventions.

4) Monitor and ensure that those PLHIV obtaining ES support are using the support

in accordance with project objectives.

5) Monitor and ensure that the livelihoods of those PLHIV who obtain ES support

are improved.

People with Disabilities (PWD) Associations

1) Participate in planning and decision-making regarding ES services.

2) Participate in identifying PWD to be included as targeted households.

3) Provide the support required by organizations implementing ES interventions.


4) Monitor and ensure that PWD obtaining ES support are using the support in accord

with project objectives.

5) Monitor and ensure that the livelihood of those PWD obtaining ES support are

improved.

Faith-based Organizations

1) Play a role in creating awareness about ES services and their benefits.

2) Play a role in mobilizing domestic resources to provide support to targeted

households.

3) Provide the support required by organizations providing ES interventions.

Community-based Organizations and Community Care Coalitions

1) Maintain awareness of prevailing social problems and keep records of people who

are affected by such problems.

2) Identify people who need support based on their specific vulnerabilities.

3) Provide the list of people who need support to national and international NGOs

that provide ES support.

4) Identify those persons who can be supported through direct support and access to

financial services such as those provided through SGs and MFIs.

5) Manage complaints related to the selection of beneficiaries.

6) Update information regularly.

7) Mobilize resources for their activities.

Other Key Implementing Partners (International and National NGOs)

1) Mobilize financial and non-financial resources for ES interventions, including from

the private sector.

2) Sign agreements with government partners to implement ES interventions.

3) In collaboration with relevant government agencies, jointly develop work plans

for ES interventions at regional and sub-regional (zonal) levels.

4) Monitor and evaluate ES interventions in collaboration with government and

implementing organizations.

5) Support relevant government institutions in the development of tools and training

manuals for ES interventions.

6) Conduct vulnerability assessments to determine participants’ vulnerability status

and to identify available assets of economically vulnerable households.

7) Monitor ES activities conducted at all levels by implementing partners in their

areas of jurisdiction and ensure that they submit quarterly ES reports to relevant

government organizations at all levels.

8) Develop the capacity of implementing partners and community volunteers,

especially CCCs and CBOs, to deliver effective ES interventions at the grassroots

level.

9) Evaluate the impact of ES interventions prior to program phase-out in collaboration

with the relevant government organizations.


Donors

1) Allocate sufficient resources for ES interventions considering the integrated nature

of ES programming.

2) Provide technical support.

3) Monitor and evaluate ES programs jointly with relevant government organizations

and implementers.

Private Sector

1) Participates in promoting and supporting ES interventions by linking them with

the private sector.

2) Supports ES initiatives by creating employment opportunities for beneficiaries,

especially for youth.

3) Participates in public–private partnership initiatives aimed at supporting

economically vulnerable households.

4) Supports government and NGOs in microenterprise development, through

mentorship, business training, and technical skill formation aimed at empowering

vulnerable households.

5) Participates in planning, monitoring, and evaluating ES activities to strengthen the

commitment of the private sector in supporting ES initiatives.


Cross-Cutting

Issues

Section 5

Cross Cutting Issues 55

5. CROSS CUTTING ISSUES

Economic strengthening programming is not an end in itself, but rather a means to help

households improve their livelihoods. To make ES efforts both focused and sustainable,

implementers must institutionalize target-setting mechanisms, gender equity in services,

information-sharing among different stakeholders, capacity development, effective and

efficient resource utilization, and vigilance against stigma and discrimination. These areas

are key in project development and implementation. This section details considerations for

implementers to mainstream ES programming.

5.1. TARGETING ECONOMIC VULNERABILITY

To target the households that are economically vulnerable, implementers should:

• Ensure households identified for ES support are economically vulnerable regardless

of their HIV status.

• Collaborate with PLHIV associations, CCCs and CBOs to target households.

• Give priority to PLHIV, OVC, MARPs, women and people with disability when

targeting households.

5.2. GENDER MAINSTREAMING

To ensure gender mainstreaming is addressed through ES interventions, implementers should:

• Ensure that women’s needs are addressed during ES implementation.

• Ensure gender equity in ES intervention design and implementation activities.

• Harmonize ES implementation with gender mainstreaming guidelines.

• Locate ES services near to women’s residences to minimize transport time and

expense.

5.3. KNOWLEDGE SHARING AND INFORMATION MANAGEMENT

To foster effective learning, knowledge sharing, and information management, implementers

should:

• all information about the types of ES interventions carried out for future reference

and to share experiences and lessons learned with other stakeholders.

• information with one another and with other stakeholders regarding the geographic

locations and types of ES interventions, and the profiles of their beneficiaries.

5.4. CAPACITY DEVELOPMENT

To encourage capacity development, implementers should:

• Build the technical knowledge and practice of their ES experts.

• Provide ES technical trainings to local partners at the community level.

• Increase their conceptual understanding about economic vulnerability and activities

to match the needs of vulnerable households in the community.


• Explore new or innovative ES interventions that reflect prevailing social and market

conditions and levels of economic vulnerability.

• Build the capacity of their experts to provide effective business development and

other ES services to participants.

• Build the capacity of their experts to conduct research to gain evidence-based

lessons on ES interventions that work best based on situational needs.

• Ensure that capacity development programs for communities take into account the

needs of the disadvantaged, especially women and people with disabilities.

5.5. RESOURCE ALLOCATION AND UTILIZATION

To foster effective and efficient allocation and utilization of resources, implementers should:

• Create adequate linkages with government and nongovernment stakeholders,

including the private sector, to mobilize monetary and non-monetary resources, in

a sustainable manner.

• Clearly identify their geographic coverage, the type of ES interventions to be

implemented, and the profile of beneficiaries they support to avoid duplication of

effort and to use scarce resources efficiently.

5.6. AVOIDING STIGMA AND DISCRIMINATION

While identifying and supporting households that are affected and infected by HIV/AIDS,

implementers should:

• Take utmost care to avoid stigma and discrimination that may occur directly or

indirectly.

• Treat all targeted households equally and with respect.

• Train program staff to practice sensitivity and respect and to not tolerate stigma and

discrimination.

5.7. ENVIRONMENTAL PROTECTION

Sustainable management, protection, conservation, maintenance and restoration of

ecosystems are fundamental for sustainable economic development and the wellbeing of any

society. In implementing the ES interventions, implementers should ensure that:

• resources used for business inputs as raw materials should be used sustainably;

• by-products of the economic strengthening beneficiaries are environmentally

friendly; and

• beneficiaries contribute to environmental protection.

Cross Cutting Issues 57

Mainstreaming, Partnership, and Networking 59

Guidelines for

Mainstreaming,

Partnership and

Networking

Section 6

6. MAINSTREAMING, PARTNERSHIP, AND NETWORKING

To realize effective and sustainable interventions, ES interventions must be mainstreamed

into existing policies, strategies, and implementation procedures. Economic strengthening is

a means to provide care, support, and protection to people vulnerable to or living with

HIV/AIDS. Therefore, ES interventions cannot be implemented in isolation from other

programs—especially government policies and strategies—that address the needs of

vulnerable people.

6.1. MAINSTREAMING ES INTERVENTIONS

To ensure the sustainability of ES support provided to vulnerable populations, it must be

mainstreamed with other relevant government policies and strategies such as Rural Productive

Safety Net Program (RPSNP), Urban Productive Safety Net Program (UPSNP), Social

Protection Policy, Food and Nutrition Strategy, Health Policy, HIV/AIDS Policy, Education

Policy, Small and Medium Enterprise Development Policy, Child Protection Policy, Gender

Policy, and so on. As government revises and expands its programs and policies, ES should

be explicitly incorporated into them and any accompanying legislation to harmonize the

support with the policies.

All development partners and ES implementers should take in to account and ensure that

their projects comply with the government policies and strategies.

6.2. PARTNERSHIP AND NETWORKING

Partnership is paramount to implement ES interventions and to address the problem or needs

of targeted households. All stakeholders engaged in ES interventions should adhere to the

following recommendations:

• Implementers should establish active partnerships with international and national

NGOs, CCCs, and CBOs that work on ES interventions.

• Implementers should collaborate with relevant government offices at all levels (refer

to Section 4 in these guidelines) while designing, implementing, and evaluating ES

interventions to ensure ownership and sustainability, particularly as projects phase

out.

• Implementers should engage the private sector to provide:

- access to markets and sellers of inputs (important link in value chain)

- employment opportunities

- training and internship/apprenticeship

- access to needed inputs and other resources

6.3. COORDINATION

Coordination of ES interventions improves the wellbeing of vulnerable populations through

provision of ES support to households, as a foundation instead of individual case. This will

involve effective planning to provide appropriate support to the targeted households, monitor

the implementation process, manage household livelihood transitions that result from ES

interventions, and make adjustments to the interventions, as appropriate.


Coordinated ES programming requires linkage with all relevant sectors to ensure that the

appropriate mix of ES interventions is provided to the targeted households. A well-

coordinated ES intervention can effectively address the needs of targeted households. Most

importantly, coordination is critical to provide services in an integrated manner and to avoid

or reduce duplication of effort, fill any gaps between ES interventions, increase the coverage

of ES interventions, and to enhance the efficiency and effectiveness of these interventions

To provide quality ES interventions to targeted households, coordination should occur at all

levels, not just at project/program implementation level. All stakeholders involved should

monitor to ensure that the targeted households have obtained the necessary support in

accordance with these guidelines.

Coordination of ES interventions requires consistent information-sharing mechanisms, strong

levels of cooperation, collective vision, and long-term commitment.

Mainstreaming, Partnership, and Networking 61

GLOSSARY OF TERMS

Beneficiaries: People receiving services. Targeted beneficiaries should be vulnerable

persons, including lactating mothers/PMTCT (prevention of mother-to-child transmission)

clients who have children started on supplementary food (children above 6 months of age),

OVC (particularly older OVC who are heads of households and currently trying income-

generating activities), and OVC living with HIV, OVC attending school.

Economic security: A household or community is economically secure when conditions

allow it to meet its essential economic needs in a sustainable way, without resorting to

strategies that are damaging to livelihoods, security and dignity.

Economic strengthening: The portfolio of strategies and interventions that supply, protect,

and/or grow physical, natural, financial, human, and social assets of households. Some

economic strengthening interventions include cash transfers (conditional and unconditional),

vouchers, cash-for-work, food-for-work, and microfinance, among many others.

Economic vulnerability: The conditions determined by physical, social, economic,

environmental, and political factors or processes, which increase risk and susceptibility of

people to the impact of hazards.

Household: Members of the same family unit sharing a common income/expenditure pot.

This includes a unit that has one member heading itself or a unit with more than one member

(N.B. this definition may vary from context to context.)

Indicator: Quantitative or qualitative factor or variable that provides a simple and reliable

means to measure achievement or to reflect the changes connected to an operation.

Joint Supportive Supervision: Is a monitoring visit conducted by staffs of implementing

partners and government sector offices together aiming at building capacity of grass root

implementers.

Livelihood: The capabilities, assets, and strategies that people use to make a living. That

is, to achieve food and economic security through a variety of productive economic activities

Market assessment: Market research and/or information gathering on markets and their

context of project towns/regions to identify enterprises that are feasible for PLHIV.

Provision: Providing food and assets in the form of short term and targeted financial and/or

physical assets to destitute PLHIV, PMTCT clients, and OVC. The interventions for

households at this level of vulnerability include provision of therapeutic and supplementary

food, food vouchers, and provision of matching funds to enable food insecure PLHIV to start

or expand economic activity.

Protection: Building the capacity of food insecure PLHIV, PMTCT clients, and OVC to

enable them to reduce risks or cope with shocks. It involves assisting these households to

smooth income and consumption and manage cash flows. Basic activities include financial

education training and access to savings, loans, and insurance vi services through informal

groups to ensure accumulation of assets and access to risk mitigation facilities.

Promotion: Expansion of household income and assets of food insecure PLHIV, PMTCT

clients, and OVC through linkage to long-term livelihoods opportunities to enable them meet


vi Insurance services refer to small insurance services individuals get through their membership in informal saving andlending groups

the increasing expenses of basic needs and education. Activities include income-generating

activities (IGAs), enterprise development, value chain development, linkage with business

development services (BDS) and formal microfinance service providers, technical training

in selected enterprises, and business skills training.

Street people: street people include children, men, women and youth living on the streets

and may need ES support as per this guideline.

Unconditional cash transfers: Cash transfers from governments or NGOs given without

conditions attached to individuals or households identified as highly vulnerable, with the

objective of alleviating poverty, providing social protection, or reducing economic

vulnerability.

Value chain: A value chain is a supply chain made up of a series of actors from input

suppliers to producers and processors to exporters and buyers engaged in the full range of

activities required to bring a product from its conception to its end use. Value chain activities

can be contained in a single geographical location or spread over wider areas. Activities

leverage intervention points identified by value chain analyses and technical trainings in

enterprises to be selected by the value chain analyses.

Glossary of Terms 63

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2 Ethiopian Central Statistics Agency. 2013.

Population Projection for Ethiopia 2007 to 2037.

3 National Planning Commission. 2016. Second Growth and Transformation Plan (GTP 2).

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4 The United Nations Development Program. 2015.Human Development Report

2015.http://hdr.undp.org/sites/all/themes/hdr_theme/country-notes/ETH.pdf.

5 Ethiopian Health and Nutrition Research Institute, Federal Ministry of Health.

HIV Related Estimates and Projections for Ethiopia – 2012.

6 The United Nations Development Program. Human Development Report

2015.http://hdr.undp.org/sites/all/themes/hdr_theme/country-notes/ETH.pdf.

7 Goshu, D. 2013. “The Dynamics of Poverty and Vulnerability in Rural Ethiopia.”

Ethiopian Journal of Economics Vol. 22, No. 2.

8 Ministry of Labour and Social Affairs, FDRE.2015.

National Social Protection Policy of Ethiopia (Final Draft).

9 Ibid.

10 PEPFAR (The US President’s Emergency Plan for AIDS Relief).2012 (July).

Guidance for Orphans and Vulnerable Children Programming.

11 Livelihoods and Food Security Technical Assistance Project. Economic Strengthening

for Vulnerable Children Resource Guide.2013.

http://theliftproject.org/economic-strengthening-for-vulnerable-children-resource-guide/.


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International Journal of Science and Research 4(2):306-311.

2. CPC Livelihoods and Economic Strengthening Task Force. 2013. Children and

Economic Strengthening Programs: Maximizing Benefits and Minimizing Harm.

3. Department of Trade and Industry, Republic of South Africa. 2008.

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6. Ethiopian Economics Association. 2011. Proceedings of the 8th International

Conferences on The Ethiopian Economy. Addis Ababa, Ethiopia.

7. Fay, Marianne, Lorena Cohan, and Karla McEvoy. n.d. Public Social Safety Nets and

the Urban Poor. The Urban Poor in Latin America.

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Ethiopia.

9. FMOYSC. 2004. National Youth Policy. Addis Ababa, Ethiopia.

10. FHAPCO. 2014. HIV/AIDS Strategic Plan: 2015-2020 In an Investment Case

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11. FMOUDHC. 2015. Livelihood support operational manual. Addis Ababa, Ethiopia

12. FMOWCYA and FHAPCO. 2010. Standard Service Delivery Guidelines for Orphans

and Vulnerable Children’s Care and Support Programs. Addis Ababa, Ethiopia.

13. FMOWCYA. 2014. National Youth Livelihood Program Development Guideline. Addis

Ababa, Ethiopia.

14. Government Project Preparation Team. 2013. Productive Social Safety Net Program

(PSSN): Operational manual. The United Republic of Tanzania.

15. International HIV/AIDS Alliance. 2006. LIVELIHOODS AND ECONOMIC

STRENGTHENING. UK.

16. James-Wilson, David, Veronica Torres, Thierry van Bastelaer, Brenda Yamba, Lisa

Parrott, Margie Brand and Ben Fowler. 2008. Economic Strengthening for Vulnerable

Children: Principles of Program Design and Technical Recommendations for Effective

Field Interventions.

17. Ministry of Health and Social Welfare, The United Republic of Tanzania. 2009.

National Guidelines for Improving Quality of Care, Support, and Protection for Most

Vulnerable Children in Tanzania.

18. Ministry of Health and Social Welfare, The United Republic of Tanzania. 2014.

National Guidelines for Economic Strengthening of Most Vulnerable Children

Households.

19. Moret, Whitney. 2014. Economic Strengthening for Female Sex Workers: A Review of

the Literature. ASPIRES, FHI 360

References 65

20. REPSSI. 2009. Mainstreaming Psychosocial Care and Support into Economic

Strengthening Programs. Johannesburg, South Africa

21. Regional Hunger and Vulnerability Program. n.d. Practitioners’ Guide to Household

Economy Approach.

22. Save the Children Fund and FEG Consulting. 2008. The Household Economy

Approach: A guide for program planners and policy-makers. UK.

23. Stene, Angela, TaaraChandani, AneesaArur, Rebecca Patsika and Andrew Carmona.

2009. Economic Strengthening Programs for HIV/AIDS Affected Communities:

Evidence of Impact and Good Practice Guidelines. Bethesda, MD: Private Sector

Partnerships-One project, Abt Associates Inc. USA.

24. Xiong, Khou. 2012. Review of the Evidence: Linkages between Livelihood, Food

Security, Economic Strengthening, and HIV-Related Outcomes. MEASURE

Evaluation.

25. የኢፌዴሪ ከተማ ልማት፣ ቤቶችና ኮንስትራክሽን ሚኒስቴር (2007) ፡፡ የከተሞች ምግብ ዋስትና ስትራቴጂ፡፡

አዲስአበባ፤ ኢትዮጵያ፡፡

26. የኮከብ ብርሃን / ፓክት ኘሮጀክት በከፍተኛ ሁኔታ ተጋላጭ ለሆኑ ሕፃናት (2004): የጥቃቅን ሥራ ፈጠራ

ምርጫ፣ እቅድና የሥራ አመራር የሥልጠና ማኑዋል የአሠልጣኞች / የአመቻቾች መመሪያ (ረቂቅ)

27. የኢትዮጵያ ፌዴራላዊ ዴሞክራሲያዊ ሪፐብሊክ የሴቶች ሕጻናትና ወጣቶች ጉዳይ ሚኒስቴር (2003) ፡፡

ብሔራዊ የሥርዓተ - ጾታ ማካተቻ ጋይድ ላይን፡፡ አዲሰአበባ፤ ኢትዮጵያ፡፡

28. የአማራ ብሄራዊ ክልላዊ መንግስት (2004) ፡፡ “የማህበረሰብ ድጋፍና ክብካቤ ጥምረትን” ለማቋቋም የተዘጋጀ

ደንብ 92/2004፡፡ ባሕርዳር፤ ኢትዮጵያ፡፡

29. የአማራ ብሄራዊ ክልላዊ መንግስት (2004) ፡፡ “የማህበረሰብ ድጋፍና ክብካቤ ጥምረት” የአሰራር ማንዋል፡፡

ባሕርዳር፤ ኢትዮጵያ፡


Annex 67

ANNEX 1

Household Economic Vulnerability Assessment Tool: User Guide

1. BACKGROUND

With support from USAID/PEPFAR, FHI 360’s Household Economic Strengthening

Activities (HESA) project has developed and validated a Household Economic Vulnerability

Assessment (HHEVA) Tool (see Annex 1) with the overarching objective of improving the

targeting of scarce resources to households with highly vulnerable children (HVC) in their

care, or to people living with HIV (PLHIV) who are enrolled in antiretroviral therapy (ART).

The tool was developed based on a detailed review and understanding of locally available

vulnerability assessment tools and international experiences. The HHEVA tool will serve

economic strengthening (ES) implementing partners (IPs) and other organizations or

Government of Ethiopia (GOE) agencies involved in ES programming to categorize

households based on their level of economic vulnerability and to align ES interventions

accordingly (see the National Economic Strengthening Guidelines; NESG).

2. INTRODUCTION: HIV/AIDS AND HOUSEHOLD ECONOMIC

VULNERABILITY

HIV/AIDS can have profound impacts on household economic status. In Africa, households

affected by HIV have been found to be drastically poorer than unaffected households, with

research demonstrating that the average household income of the HIV-affected households

was 40% or 35% lower than that of the unaffected households in South Africa, and 27%

lower in Nigeria respectively.

HIV/AIDS contributes to poverty by reducing household labour capacity, through illness,

death, and related expenses, and eroding household assets over time. Access to resources

may be negatively affected by the effects of stigma on social relations. Extended families

face the financial burden of caring for ill members as well as orphans left behind after the

death of a caregiver. Furthermore, caring for ill family members can hurt future asset

accumulation by detracting from productive activities. Children may be withdrawn from

school to attend to caregiving responsibilities, damaging their economic prospects in the

long-term. To cover expenses, households may sell productive assets such as livestock or

land, which impairs future productivity and leads to further economic deterioration. The death

of household members can lead to a loss of productivity, as households lack sufficient labour

to maintain a livelihood.

Effective economic and social care and support can help households reduce their vulnerability

to HIV-related shocks and avoid economic deterioration. Economic strengthening

interventions are designed to provide this support at various levels of economic vulnerability.

Framework for Targeting ES Initiatives

As part of the NESG, the HHEVA tool user guide is based on the LIFT Livelihood and Food

Security Conceptual Framework. The Livelihoods and Food Security Technical Assistance

II (LIFT) framework describes the characteristics of households at different levels of

economic vulnerability, the strategies they use to manage risk and cope with shocks,

associated livelihood objectives for enhancing their vulnerability status, and potential

livelihood interventions to assist with this process. The LIFT framework gives clear guidance

about the type of livelihood interventions that should be implemented to address the needs

of targeted HHs at each level of vulnerability.

3. THE HOUSEHOLD ECONOMIC VULNERABILITY ASSESSMENT

TOOL

The quantitative HHEVA tool developed by HESA takes measurements at the household level

and helps ES IPs categorize households based on their level of economic vulnerability in

order to align ES interventions accordingly. This tool has been developed and validated as a

guideline for IPs to use in developing household assessment forms. It is designed to include

the main components of economic vulnerability analysis, but also to be flexible to be

adaptable to the needs of the organization and the community, but to include the main

components of economic vulnerability analysis.

Assessing household vulnerability is the first step in determining which economic

strengthening interventions are appropriate for which households. This HHEVA will help

IPs to target ES interventions to those who need them most.After completing the assessment,

households will be classified as extremely vulnerable (destitute), highly vulnerable (struggling

to make ends meet), moderately or less vulnerable (ready to grow). Each level of vulnerability

corresponds to a range of economic strengthening interventions with which households can

then be supported or referred.

Tool Development

The HHEVA tool incorporates questions that were adapted from existing tools used for similar

purposes in Uganda, Kenya, and Ethiopia. The tool was then field-tested and validated in

two phases. The first phase of validation was to compare the outputs generated by the HHEVA

against existing tools that had already been field-tested or validated locally to determine the

cut-off points at which households should be categorized into one of three levels of

vulnerability: destitute, struggling to make ends meet, or ready to grow.

The HHEVA, Child Support Index (CSI), and Progress out of Poverty Index (PPI) were used

in the same households and analysed to determine whether they classified households in the

same vulnerability categories at different cut-off points for each tool. The CSI had already

been field-tested by the Yekokeb Berhan project, so its cut-off points were predetermined.

These were compared against PPI scores at different cut-off points. The cut-off points for the

PPI categories were selected based on where they had the greatest level of agreement, and

lowest level of disagreement, with the CSI. The same process was used to compare categories

generated by the HHEVA to those generated by the CSI at different cut-off points, and then

to do the same comparing the HHEVA to the PPI. This analysis found the highest level of

agreement where HESA cut-offs were calculated at one standard deviation below and above

the mean score. During the first phase, the HHEVA tool was also examined to ensure adequate

variability between the responses to several questions. These questions were revised

accordingly for the second phase of data collection.

The second phase of validation involved assessing the variability of the updated questions

and comparing the results of the updated tool against the previous version. The cut-off points

were determined based on this analysis.


Scoring

Each question in the HHEVA will be given a score of 1 to 3 based on the selected response

option. The HHEVA consists of 25 questions, generating a total score between 25 and 75

points. The score ranges for each level of vulnerability are as follows:

4. DOMAINS OF THE HHEVA

DOMAIN 1: FOOD AND NUTRITION SECURITY

A household is considered food secure when “it has access to the food needed for a healthy

life for all its members (adequate in terms of quality, quantity, safety and culturally

acceptable), and when it is not at undue risk of losing such access.” The four basic dimensions

of food security are: physical availability of food, economic and physical access to food,

food utilization, and stability of availability, access, and utilization over time.

Household food security requires adequate home production of food and/or adequate

economic and physical access to food. Economic access comes from an adequate purchasing

power, while physical access refers to the proximity of markets or other distribution channels

through which food may be acquired.

The degree of adequacy of dietary energy intake for the health, growth and activity of all

individual household members is one measure of household food security. The concept also

has implications of assurance of future intake—removing the fear that there will not be

enough to eat. Both “current” and “future” aspects are implicit in the definition.

Gathering Information to Rate Household Food and Nutrition Security

To rate a household’s food and nutrition security, the data collector will ask the head of the

household/caregiver about how many meals are consumed per day by household members,

their main source of food (supply) in the past four weeks, and whether any member of the

household goes without food for a whole day/to bed hungry.

vulneraBility level score range

Provision / Destitute 25 – 45

Protection / Struggling 46 – 57

Promotion / Ready to Grow 58 – 75

# Question response optionscore

(circle one)

1

How many meals does

this household have

per day?

a) One

b) Two

c) Three or more

1

2

3

2

Over the past four

weeks, what has been

the MAIN source of

food for the

household?

a) Donation (emergency relief,

relatives, friends, neighbours)

b) Given in return for labour work

c) Home garden grown or bought

from the market

1

2

3

DOMAIN 2: DOMESTIC WATER SUPPLY

Access to a safe and healthy water source is important for health and wellbeing. For people

affected by HIV, water access has particularly important health consequences. Consumption

of unimproved water and poor latrine sanitation may cause household members to contract

parasites and increases the chances of PLHIV to contract opportunistic infections. ,

However, HIV status may complicate access to water by diminishing labour capacity to

collect water or the means to afford a healthy source of water. Having a nearby water source

reduces the labour burden of water collection for HIV-affected households, leaving more

time for productive activities and caregiving.

Finally, HIV-affected households may need more water than other households for the

purposes of bathing, washing soiled clothing and linen, and taking medications. PLHIV may

require additional water to take ARVs and mitigate potential side effects.

Water sources are considered improved when they are protected from contamination. WHO

and UNICEF have defined a “drinking water ladder” ranking different water sources from

least to most desirable. At the top of the ladder is the ideal source of water, which is water

piped directly into a dwelling. Other improved sources of water include public taps or

standpipes, tube wells or boreholes, protected dug wells, protected springs, and rainwater

collection. Unimproved water sources are potentially hazardous. These include unprotected

dug wells, unprotected springs, carts with small tank/drum, tanker truck, surface water (river,

dam, lake, pond, stream, canal, irrigation channels), and bottled water.


(circle one)

3

Over the past four

weeks, did any

member of the

household ever go

without food for a

whole day because

there wasn’t enough?

a) Yes, more than 5 times in the last

4 weeks.

b) Yes, 1-4 times in the last 4

weeks.

c) Never.

1

2

3


(circle one)

4

What is the primary

source of the water

your household uses

for drinking and

cooking inside the

home?

a) River, stream, lake, pond, or

unprotected well/spring.

b) Public taps, rainwater, protected

spring/well, gravity flow scheme.

c) Private connection (piped water

supply from a public water

supplier).

1

2

3


Gathering Information to Rate Household Domestic Water Supply

The data collector will collect information from the household head on the primary source

of water for the household members, what they do to make the water safer to drink, and how

often the household worries that there will not be enough water.

DOMAIN 3: HEALTH AND HEALTH CARE

Throughout the developing world, challenges in access to health services are common. Health

systems are plagued by inadequate quality, barriers to access, and misinformation about

illness and appropriate treatment. Adequate access to health care is of primary importance to

households affected by HIV, both in terms of physical wellbeing and economic status. HIV

pushes poor families further into poverty, which in turn can negatively affect access to and

quality of prevention, treatment, and care services. There is evidence that children of parents

with HIV/AIDS and children who have been orphaned by HIV/AIDS are less likely to access

and use available medical care for prevention and treatment of illnesses, including treatment

for pediatric HIV/AIDS.

Barriers to access to health services include lack of transportation or long travel times to

district hospitals, high transportation costs, gender norms, and HIV-related discrimination.

Furthermore, families affected by HIV/AIDS may need to spend a large portion of their

budget on accessing health care and paying for treatment.


(circle one)

5

What do you usually

do to make the water

safer to drink?

a) Nothing (don’t treat at all).

b) Traditional methods (strain

through a cloth, let it stand and

settle, etc.) or modern methods

(boil, add bleach/chlorine, use

water filters like ceramic, sand or

composite, etc.).

c) Already have access to piped

potable water.

1

2

3

6

How often do you

worry there will not be

enough water from your

household’s main water

source to satisfy your

household’s drinking

and cooking needs?

a) Very frequently – once every

week to every day.

b) Sometimes – every few weeks to

once every month.

c) Rarely – less than once per

month.

1

2

3


(circle one)

7

How does your

household access

information about

health and health

services?

a) No/limited access to health

information.

b) Community health worker.

c) Radio and/or TV.

1

2

3

Gathering Information to Rate Household Health and Health Care

Queries about access to health and health care services for the households include how the

household accesses information about health and health services, how long it will take to reach

the nearest health facility, and whether the household can afford the cost of medical fees.

DOMAIN 4: SANITATION AND HYGIENE

Access to healthy sanitation facilities is of particular importance to PLHIV, who are

susceptible to opportunistic infections that could be transmitted via inadequate sanitation.

However, HIV can be a barrier to accessing adequate water and sanitation due to its effects

on household economic status and social status due to stigma. Economic constraints limit

access to individual household toilets, fuel for boiling water, and water for households

affected by HIV/AIDS.

A sanitation facility is considered improved if it is privately used by one household and

separates human waste from human contact. Sanitation facilities can be identified as

unimproved where a household has no latrine or toilet facility or a bucket system; an open

latrine, a shared private facility, or a shared public facility. Households with improved

sanitation use a pour-flush latrine or ventilated improved pit latrine, or toilet. Hygiene

practices are considered poor where household members lack access to hand washing, and

bathing facilities and detergents in the house, or wash their hands with water but have no

soap and other detergents. Good hygiene practices include access to hand washing and bathing

facilities with the availability of soap and other detergents in the house.


(circle one)

8

How long will it take

you (or member of

your household) to

reach to the nearest

health facility that can

diagnose and treat

complicated or serious

illnesses or injuries

(can perform surgery)?

a) More than 2 hours.

b) Up to 2 hours.

c) Less than 1 hour.

1

2

3

9

Can your household

afford the costs of

medical fees for any

level of diagnosis and

treatment?

a) No.

b) Partly, yes.

c) Yes.

1

2

3


(circle one)

10

What type of toilet

facility does your

household usually use?

a) Pit latrine (shared), field/forest,

container (household bucket), or

other.

b) Pit latrine (private).

c) Flush toilet (private or shared).

1

2

3

Gathering Information to Rate Household Sanitation and Hygiene

The data collector will identify the type of toilet facility the household uses and the availability

of soap for cleaning hands through interviewing the household head and observing the

household.

DOMAIN 5: HOUSING, CLOTHING, AND ENERGY

Quality housing is important to protect against the effects of HIV as well as the risk of

contracting HIV or related opportunistic infections. Adequate housing is protective against

HIV risk, because homeless people face increased risk of sexual and physical abuse, domestic

violence, and limited ability to negotiate safe sex due to the need for a safe place to stay.

Poor housing and exposure to the elements can also contribute to the spread of opportunistic

infections for PLHIV. In communities where HIV/AIDS prevalence is high, children are

highly at risk of being left without suitable shelter or care, leaving them vulnerable to abuse

and developmental stunting.

Access to different types of cooking fuel can indicate both socioeconomic status, and the

health of the household environment, which can be negatively affected by fuels that produce

indoor smoke. Finally, access to more than one set of clothing is important for both hygiene

and social status, including effects on children’s participation in schooling.


(circle one)

11

Does your household

provide soap (any kind

of soap) for cleaning

hands (like before/after

meal or after using

toilets)?

a) No.

b) Sometimes, yes.

c) Yes, always.

1

2

3


(circle one)

12

What is the type of

your house (i.e.,

construction materials

it is made from)?

a) Temporary (mud, grass and

wattle, etc.).

b) Semi-permanent (mud, iron

sheet, etc.).

c) Permanent (brick, cement, etc.).

1

2

3

13

Does your household

own the house/shack

you are living in?

Or do you rent it?

Or do you live here

without paying?

a) Live in somebody’s home.

b) Live in rented private or

government/kebele housing.

c) Live in own home.

1

2

3

Annex 73

Gathering Information to Rate Household Housing, Clothing, and Energy

The data collector will identify the type of toilet facility the household uses and the availability

of soap for cleaning hands through interviewing the household head and observing the

household.

DOMAIN 6: EDUCATION

Although primary education in Ethiopia is free, related costs, such as school supplies and

uniforms, may become too much of a burden for households affected by HIV/AIDS to handle.

Households responding to the economic burden of HIV/AIDS often withdraw their children

from school to use their labour for subsistence activities or to direct money otherwise used

for school expenses to cover basic needs and health services and treatment. Children in HIV-

affected households who continue to attend school may face additional time pressures because

of responsibilities associated with caring for PLHIV or younger siblings, or efforts to replace

lost adult labour and income.


(circle one)

14

How many dwelling

rooms does you house

have?

a) Single dwelling room.

b) 2 dwelling rooms.

c) 3 or more dwelling room.

1

2

3

15

What type of fuel do

you use most of the

time to prepare food

for the household?

a) Mainly firewood (purchased or

collected), animal dung, crop

residue or other.

b) Charcoal, kerosene, butane gas.

c) Electricity.

1

2

3

16

Do your household

members have more

than one set of clothes?

a) Only one set of clothes.

b) Two sets of clothes.

c) Three or more sets of clothes.

1

2

3


(circle one)

17

What is the highest

level of education you

(or the household

head) have attained?

a) Illiterate.

b) Read/write, primary or secondary.

c) Tertiary (college or above).

1

2

3

18

Are children in the

household currently

enrolled in school?

(children between the

ages of 6-17)

a) No.

b) Yes, but there are also children

that are not enrolled.

c) Yes, all are enrolled.

1

2

3

Gathering Information to Rate Household Education

Data collectors ask questions about the highest level of education attained by the household

head/caregiver, whether or not all school-aged children are currently enrolled in school, and

whether or not the household can afford children’s school fees and supplies. The field worker

can also observe the child’s supplies like exercise books, pencils, and school uniforms.

DOMAIN 7: INCOME / ASSETS

HIV/AIDS can have strong negative impacts on the income, asset wealth, and long-term

economic security of affected households. Studies indicate that HIV/AIDS-affected

households tended to have monthly incomes one-third less than non-affected households.

Moreover, in several countries, income in orphan households has been found to be 20-30%

lower than in non-orphan households, average income falls, and savings are depleted. Further

for households affected by HIV/AIDS, the burden of medical and related expenses induces

changes in family spending patterns. This may force affected households to reduce spending

on food, housing and education.


(circle one)

19

Can your household

afford your children’s

school fees and school

supplies?

a) No

b) Partly, yes (i.e., the

household is able to cover

small costs such as

stationery materials, but

not able to afford costs like

school uniform or monthly

school fees).

c) Yes.

1

2

3


(circle one)

20

What is the MAIN

SOURCE of household

income? (Emphasis is

main source only)

a) None (dependent on

family/relatives’ support,).

b) Casual labour, small scale

agriculture, crafts, or petty business

such as trading in market or an

informal post or door-to-door sales.

c) Own formal/licensed business or

formal employment/wage, or have

productive assets.

1

2

3

21

Which of the following

items take up most of

the household income?

a) Mainly food.

b) Basic needs (food plus clothing and

housing).

c) Basic needs (food, clothing,

housing) as well as other items like

schooling, transportation, medical

bills, and recreational costs.

1

2

3

76

Gathering Information to Rate Household

Data collectors ask questions about the highest level of education attained by the household

head/caregiver, whether or not all school-aged children are currently enrolled in school, and

whether or not the household can afford children’s school fees and supplies. The field worker

can also observe the child’s supplies like exercise books, pencils, and school uniforms.

DOMAIN 8: EXPOSURE AND RESILIENCE TO SHOCKS – SOCIAL

PROTECTION

HIV/AIDS increases household vulnerability to shocks by straining its economic capacity as

well as the social relations needed to respond to shocks. Social protection schemes, though

usually not set up to address HIV, can be an important part of reducing household

vulnerability to the effects of HIV. An example of an HIV-sensitive social protection

interventions is the provision of cash, food, or other transfers for those affected by HIV and

those who are most vulnerable. In addition, microcredit and savings programmes can help

decrease the economic vulnerability of PLHIV and households affected by the virus.


(circle one)

22

Are you or any

member of your

household involved in

any savings and

lending group or club?

a) No, can’t afford regular savings

OR didn’t have such an

opportunity/information.

b) No, didn’t want to participate.

c) Yes.

1

2

3

23

Does your household

have access to or

information about

financial services?

a) No, I don’t have any information.

b) I have information but can’t access.

c) Yes, I have access.

1

2

3

24

Does your household

currently benefit from

emergency government

cash transfer or in kind

support programme?

a) Yes, the household used the cash or

in-kind support for intended

purposes (i.e., for emergency relief

intended to meet their basic needs

for food and non-food items, or

services).

b) Yes, after meeting basic needs, the

household used the cash or in kind

support to buy assets essential for

the recovery of their livelihoods or

running/expanding businesses.

c) No, the household has not been

eligible for government cash

transfer or in kind support or hasn’t

requested government to benefit

from it.

1

2

3

Gathering Information to Rate Household Exposure and Resilience to Shocks (Social

Protection)

The data collector will gather information on whether any member of the household is involved

in any savings and lending groups, whether the household has access to or information on

financial services, and whether the household is currently benefiting from government cash

transfers (cash or in kind) through interviews with the household head/caregiver.

DOMAIN 9: GENDER AND SOCIAL EQUALITY

Gender inequality has a number of negative effects on vulnerability in the context of HIV; it

increases vulnerability of women and girls to HIV transmission and it hinders HIV prevention,

treatment, and care. Gender inequality also hurts the socioeconomic status of women and

girls, limiting their ability to cope with the illness and its effects.

Gathering Information to Rate Household

The data collector will gather information on whether there is a difference between female

and male members of households regarding access to education, social services and economic

decision making.

5. ADMINISTERING, SCORING, AND USING THE HHEVA TOOL

Data Collectors / Field Workers Training

Data collectors/field workers implementing the HHEVA tool must be trained to a high

standard. Some of the training content may require critical thinking around the questions in

the HHEVA tool and how to use them effectively, while other content may deal with practical

observations at field level. As the quality of the results of the HHEVA tool is in the hands of

the data collectors/field workers, it is important to organize the training in detail and run

through the interviewing process multiple times throughout the training. Practice makes

perfect! During the training in addition to the geographic and socio-demographic and the

nine domains, make sure to touch on these areas of knowledge:


(circle one)

25

Is there a difference

between female and

male members of your

households regarding

access to education,

social services and

economic decision

making?

a) Yes, males have better access to

services and dominate economic

decision making.

b) It appears male household members

have better access to services and

economic decision making but the

difference is not significant.

c) There is no partiality between males

and females regarding access to

services and economic decision

making.

1

2

3

Annex 77

1. describing the purpose of the assessment

2. stating who sponsors the assessment and what organizations are involved

3. training sufficient information on the assessment methods and the data collection

tools, including how they were constructed

4. explaining the sampling logic and process and why this is important (how

participants were selected) and how respondents should be recruited

5. explaining interviewer bias and how not to inadvertently skew results

6. principles, standards, and practices essential for ethical research, best practices

for addressing sensitive topics with research participants

7. walking through and rehearsing interviews/questions in the tool

8. explaining supervision and quality control (performance standards/completed

questionnaire requirements)

9. explaining data collection scheduling (and how data collectors must

accommodate target households’ and respondents’ schedules)

10. for supervisors’ training, explaining questionnaire editing and data management

and others

Conduct the Assessment Visit

Before the actual field work, the data collector/field worker should understand the goal and

content of each factor and domain on the HHEVA tool by memory, so he/she is prepared to

ask the right questions, make good observations, and elicit the information necessary to rate

the household economic vulnerability.

The HHEVA tool rating is part of a home visit conducted by field workers. The field worker

has a brief and informal discussion with the household head/caregiver, or other adults as

needed to gather the required information on household economic vulnerability. Field workers

should gather information from discussions and observations that relates to all nine structured

HHEVA domains, but the field worker should conduct the interviews in a natural and

spontaneous fashion, so that observations about the household’s life can be made in a friendly

and supportive way.

Household economic vulnerability assessments are usually completed during home visits,

and they begin with friendly greetings in accordance with the local culture.

Introduce yourself to the household head or caregiver. The discussion about the household

should be informal. Allow the interviewee to respond spontaneously so that you show your

interest in the household.

Remind the household head / caregiver about the programme serving this household

and the reason for asking questions about the household’s status.

Get the informant’s consent to provide this information before proceeding with the

discussion. The informant should be the person best able to represent the household and to

describe the household’s socio-economic well-being.

Gather Information

First explain how households were selected for the survey and why. Also explain whether

the data collection required Institutional Review Board (IRB) review or other form of local

permission.


Recommended steps for completing the HHEVA at each household include the following:

1. Engage the household head or other informant(s) in a brief, informal discussion

that addresses the nine domains of the HHEVA tool without the structure of a

formal survey or questionnaire.

2. Start the conversation with general, open-ended questions about the household, to

encourage the person to talk.

3. You may observe that an otherwise physically sound dwelling lacks food, cooking

utensils, latrine, or bedding for the household. When possible, observe the latrine,

type of house and cooking area, and cooking pots for signs of recent food

preparation activities. These types of observations will provide a clearer and more

detailed picture of the household than would either discussion or observation alone.

Do everything you can to verify information revealed in conversations without

being judgmental or overly intrusive.

4. Ensure respondents feel comfortable and know that their participation is voluntary

and that they can refuse to answer questions at any time. The respondent should

not feel challenged or criticized but rather feel your support and interest in those

in the household.

Complete the HHEVA Tool

Immediately after the informal discussion and observations—ideally, just before or just after

walking away from the household—rate the household on all nine domains of the HHEVA

tool. You must assign a score for each factor and for every household, on the three-point

HHEVA scale that ranges from 1 to 3. Rate each factor relative to the average situation in

your community or village. This is NOT optional for any question. Every question must be

completed to calculate the score. Failure to answer even one question will make it impossible

to give the household a score based on the validated scoring criteria.

Analysis and Interpretation of the HHEVA Tool

Analysis

The analysis of the data collected using HHEVA tool can start in the field on the spot. This

is important because it allows findings to be shared between team members every day. In

this way gaps in the information can be identified and followed up, new leads can be shared

and appropriate avenues of further enquiry developed and pursued. It is also important that

team members share their experiences with the field methodology; this helps to identify which

particular approaches work best in any given setting and helps to ensure that all team members

follow similar and effective procedures in the field.

The following stages may be followed to the analysis of the data:

Preliminary analysis: This includes rapid calculations and cross-checks carried out during

and immediately after each interview and observation. The calculations will be carried out

by the enumerators themselves and then cross-checked by the team leader, who provides

daily feedback to team members.

Interim analysis: This will be carried out by the whole team together, roughly half-way

through the field work. Interim analysis may involve compiling and quickly running through

the results obtained so far. The main purpose of the interim analysis is to identify key

questions and issues for follow-up in the field.

Annex 79

Final analysis: This is carried out by the whole team together once all the interviews have

been completed. It involves compiling the findings from the various interviews, summarizing

the results and completing a series of cross-checks.

The interim and final analysis can be carried out in one of two ways. Either the results from

the various interviews can be listed and summarized on flipcharts, or the analysis can be done

using Excel spreadsheet. This has the advantages that it requires less time and it generates a

permanent record of the analysis that can be referred to it in the future.

Interpretation of HHEVA Results

The 25 questions in HHEVA tool produces a score that ranges from a minimum of 25 (most

vulnerable) to a maximum of 75 (least vulnerable). The score ranges for each level of

vulnerability are as follows with the interpretation (see the National ES Guidelines for detail

information):

Destitute/Provision

The first livelihood phase is known as destitution/distress, which reflects that the household

is highly vulnerable in terms of its economic capacity. In this phase, the household’s coping

mechanisms or livelihoods strategies might encompass activities such as seeking charity,

migrating under distress, going without food, and engaging in transactional or commercial

sex. Those households living in such a situation are categorized as destitute and distressed.

They can be supported effectively through asset transfers, including the direct supply of food,

cash (through conditional and unconditional transfers), health care and social services, and

other essential requirements. The support provided to these households is known as

“provision” and aims to enable them to establish some assets and stabilize their consumption.

Struggling/Protection

The second livelihood phase is known as struggling, including households that graduated

into it through provision support and those households that have accumulated some assets.

To cope with stress, these households engage in selling their productive assets, seek wage

labor, migrate to another place for work, borrowing informally at high interest rates, and

other coping mechanisms to cope with livelihood hardships. Households in this phase are

supported through an income-based safety net created by improving access to credit and

savings, provision of financial and material literacy, micro-insurance, and strengthened social

safety nets, among others. These supports enable the households to protect key assets, build

their capacities to smooth consumption and to increase their skill in managing their cash flow.

Ready to Grow/Promotion

Promotion-level support involves activities to stabilize or increase household income and

build productive assets by improving the ability of household members to identify and seize

employment and self-employment opportunities.

vulneraBility level score range

Destitute 25 – 45

Struggling 46 – 57

Ready to Grow 58 – 75


Disclaimer

The preparation of these guidelines was made possible by the generous support of the American

people through the United States Agency for International Development (USAID), Cooperative

Agreement Number AID-066-LA-134-00002. The contents are the responsibility of MoLSA, MoWCA,

UJCFSA, & FHAPCO and do not necessarily reflects the views of USAID or the United States

Government.

national economic strengthening guidelines for vulnerable

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