C -L A W SH (COWASH) - Community Managed Projects ... 3.3.4 Bill of quantities for incinerator at...

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COMMUNITY-LED ACCELERATED WASH (COWASH)

GENERIC CMP INSTITUTIONAL SANITATION

IMPLEMENTATION MANUAL

Version: FIRST DRAFT

Date: 29/08/2012

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ACRONYMS

ACSI Amhara Credit and Saving Institution

BoFED Bureau of Finance & Economic Development

CDF Community Development Fund

CMP Community Managed Projects

COWASH Community-Led Accelerated WaSH in Ethiopia

DECSI Dedebit Credit and Saving Institution

DSA Daily Subsistence Allowance

FI Financial Intermediary

GOE Government of Ethiopia

GOF Government of Finland

GTP Growth and Transformation Plan

KWT Kebele WaSH Team

MFA Ministry of Foreign Affairs of Finland

MFIs Micro Finance Institutions

MoFED Ministry of Finance & Economic Development

OCSSCo Oromia Credit & Saving Share Company

ODF Open Defecation Free

OMI Omo Microfinance Institute

RSU Regional Support Unit

RWSEP Rural Water Supply and Environmental Programme

RWTT Regional wash Technical Team

SNNPRS Southern Nations and nationalities People’s Regional State

UAP Universal Access Plan

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Acronyms (Continued)

UNICEF United Nation’s Children Fund

VIPL Ventilated Improved Pit latrines

WASHCO Water, Sanitation and Sanitation Committee

WASHCOs Water, Sanitation and Hygiene Committees

WaSH Water, Sanitation and Hygiene

WAT Woreda Appraisal Team

WFO Woreda Finance Office

WIF WaSH Implementation Framework

WOE Woreda Office of Education

WOH Woreda Office of Health

WWO Woreda Water Office

WMP Woreda managed Projects

WWT Woreda WaSH Team

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Table of Contents

1 Introduction ________________________________________________________________ 9

1.1 General Background ____________________________________________________________ 9

1.2 Objective of the manual _________________________________________________________ 9

1.3 Key issues and Addendums to the manual __________________________________________ 9

1.4 CMP APPROACH and its basic features ____________________________________________ 10

2 Componenets of institutional sanitation facilities _________________________________ 11

2.1 School sanitation facilities ______________________________________________________ 11

2.2 Health institution sanitation facilities _____________________________________________ 12

3 Institutional saniation implementation using cmp approach ________________________ 13

3.1 Key issues and CMP project procssing cycle _________________________________________ 13

3.2 Management of the CMP investment fund _________________________________________ 16

3.2.1 Operational responsibility of investment fund management _________________________________ 16

3.2.2 Financial responsibility _______________________________________________________________ 17

3.2.3 Financial Administration and Bank accounts ______________________________________________ 22

3.2.4 Community Managed Projects (CMP) Financial Disbursement System _________________________ 24

3.2.5 Training of WASHCOs in CMP management_______________________________________________ 27

4 Criteria Of eligibility for funding _______________________________________________ 27

4.1 Eligibility of applicants (Which institution may apply) ________________________________ 27

4.2 Eligibility of projects (INSTITUTIONAL SANITATION FACILITIES) _________________________ 28

4.3 Eligibility of costs (defining the amount of grant) ____________________________________ 28

5 Application preparation and follow-up _________________________________________ 29

5.1 Application format and supporting documents ______________________________________ 29

5.1.1 Establishment of Water, Sanitation and Hygiene Committees (WASHCOs) ______________________ 30

5.1.2 Cost estimate _______________________________________________________________________ 30

5.2 Submission and processing of applications _________________________________________ 30

5.2.1 Desk Appraisal ______________________________________________________________________ 30

5.2.2 Field Appraisal ______________________________________________________________________ 33

5.2.3 Approval ___________________________________________________________________________ 35

5.2.4 Funding Agreement __________________________________________________________________ 35

5.2.5 Releasing funds _____________________________________________________________________ 35

5.2.6 Opening WASHCO ledger _____________________________________________________________ 35

6 Management of the Changes during construction ________________________________ 35

6.1 Budget limits _________________________________________________________________ 35

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6.2 Failure to meet the objectives of the Funding agreement _____________________________ 36

6.3 Amendments to the Funding Agreement and budget variations ________________________ 36

7 Reporting & other formats ___________________________________________________ 36

8 Procurement & project implementation management _____________________________ 40

8.1 Project Implementation Management _____________________________________________ 40

8.2 Options for construcion contracting _______________________________________________ 40

8.2.1 Option 1 (Full contracting to private contractors) __________________________________________ 40

8.2.2 Option 2 (Labor contracting to private contractors and material procurement by WASHCOs) ______ 41

8.2.3 Option 3 (Direct labor contracting to individual artisans or artisans cooperatives or micro enterprises,

and material procurement by WASHCOs) ________________________________________________________ 41

8.2.4 Who to decide on the options? ________________________________________________________ 42

8.3 Procurement of Construction Materials ____________________________________________ 42

8.4 Assistance from the respective government structure ________________________________ 43

8.5 Transportation arrangements ____________________________________________________ 43

9 Construction cost of Institutional sanitation facilities ______________________________ 43

10 FUND TRANSFER and closing of WASHCO’s CMP account (ledger) __________________ 46

11 Records and accounts of the operation ________________________________________ 47

12 Audit ___________________________________________________________________ 47

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LIST OF TABLES

Table 1: Financial and operational responsibilities in the management of investment funds..16

Table 2. Sample fund disbursement schedule for approved CMP contribution for a school

latrine and estimated construction budget of birr 200,000 …………………………………………………….26

Table 3. The desk appraisal criteria to be used for institutional latrines..............................31

Table 4. The field appraisal criteria to be used for institutional latrines..............................33

Table 5: Estimated construction cost of a 4 seats girls’, 4 seats boys’ and 2 seats teachers’

latrine for schools ...................................................................................................45

LIST OF ANNEXES

Annex Z. CMP formats for institutional sanitation implementation

Annex Z.1 Institutional Sanitation/Latrine Application form (4 pages)

Annex Z.2 Office appraisal report form (2 pages)

Annex Z.3 Field appraisal report form (10 pages)

Annex Z.4 WASHCOs construction follow up sheet (1 page)

Annex Z.5 Project supervision report form (2 pages)

Annex Z.6 Project completion report format (1 page)

Annex 1. Materials quantity calculation

Annex 1.1 Material breakdown formulas (3 pages)

Annex 1.2 Calculation of materials for 4 seats girls’ school latrine (13 pages)

Annex 1.3 Calculation of materials for 4 seats boys’ school latrine (12 pages)

Annex 1.4 Calculation of materials for 2 seats teachers’ school latrine (10pages)

Annex 1.5 Total material quantities for school latrine (2 pages)

Annex 1.6 Cost of construction materials for schools latrine construction (1 page)

Annex 1.7 Cost of hand tools for school larine construction (1 page)

Annex 2. Labor cost calculation

Annex 2.1 Labor requirements for buildings (2 pages)

Annex 2.2 Labor cost calculation for primary schools latrine

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Annex 2.2.1 Sample unit price calculation for activities of school latrine (11 pages)

Annex 2.2.2 Labor cost estimate for teachers’ latrine at school (3 pages)

Annex 2.2.3 Labor cost estimate for boys’ latrine at school (4 pages)

Annex 2.2.4 Labor cost estimate for girls’ latrine at school (4 pages)

Annex 2.2.5 Summary of labor cost estimate for primary school VIP latrine (1 page)

Annex 3. Bill of quantities for institutional latrines

Annex 3.1 Bill of quantities (BOQ) for school latrines

Annex 3.1.1 Bill of quantities for 2 seats teachers’ latrine at schools (3 pages)

Annex 3.1.2 Bill of quantities for 4 seats boys’ latrine at schools (4 pages)

Annex 3.1.3 Bill of quantities for 4 seats girls’ latrine at schools (4 pages)

Annex 3.2 Amharic version school latrine bill of quantities (work break down)

Annex 3.2.1 Amharic version BOQ for 2 seats teachers’ latrine at schools (3 pages)

Annex 3.2.2 Amharic version BOQ for 4 seats boys’ latrine at schools (4 pages)

Annex 3.2.3 Amharic version BOQ for 4 seats girls’ latrine at schools (4 pages)

Annex 3.2.4 List of construction materials and hand tools in Amharic (2 pages)

Annex 3.3 Bill of quantities for health institution latrines

Annex 3.3.1 Bill of quantities for VIP latrine at health post (3 pages)

Annex 3.3.2 Bill of quantities for VIP latrine for females at health centre (3 pages)

Annex 3.3.3 Bill of quantities for VIP latrine for males at health centre (3 pages)

Annex 3.3.4 Bill of quantities for incinerator at health post or health centre (1 page)

Annex 3.3.4 Bill of quantities for placenta pit at health post or health centre (1 page)

LIST OF FIGURES

Figure 1. The Community Managed Project Cycle for Institutional Sanitation (Health &

Education)..............................................................................................................15

Figure 2. Flow of Funds for Institutional Sanitation facilities construction using CMP approach

and MFI (assuming Regional fund management responsibility is given either to Finance Bureau or

Water Bureau).........................................................................................................................21

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Figure 3. Primary school sanitation facility plans

Figure 3.1 Primary schools latrine arrangement (1 page)

Figure 3.2 Primary school latrine plans (2 pages boys’ latrine, 2 pages girls’ latrine and 2

pages teachers’ latrine)

Figure 4. Health institution sanitation facility plans

Figure 4.1 Health post WaSH facilities arrangement (1 page)

Figure 4.2 Health centre WaSH facilities arrangement (1 page)

Figure 4.3 Health post VIP latrine plan (2 pages)

Figure 4.4 Health centre VIP latrine plan (2 pages)

Figure 4.5 Incinerator & placenta pits plan (1 page)

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1 INTRODUCTION

1.1 GENERAL BACKGROUND

Community Managed Project (CMP) approach has been in use in the country since January

2003G.C. The major experience of the CMP approach in terms of technology is manly for

community and institutional water points except some institutional latrines

constructed/rehablitated in Amhara and Benishengul Gumz regions. Nowadays due to the need

for more integration of water and sanitation and to contribute to an open defecation free (ODF)

environment the need for implementation of institutional sanitation has become very

mandatory. However the CMP investment fund guideline in use at present gives more focus

for water points to be constructed for communities and institutions but gives little room for

implementation of institutional sanitation hence the need for the preparation of an

implementation manual for CMP approach in institutional sanitation has arisen and included at

the federal plan of the COWASH for the year 2005EFY.

1.2 OBJECTIVE OF THE MANUAL

So far, CMP has been working aggressively on rural water supply projects for communities and

institutions use and some institutional latrines in Amhara and Benishengl Gumz regions

mentioned in section 1.1. Now the constructions of institutional latrines existing in the CMP

kebeles are going to be implemented. Hence this implementation manual will give guidance

for the implementing bodies and those government sector offices staff assisting communities in

the planning, application preparation, appraisal, contracting, construction, financial

management and post implementation management procedures of institutional sanitation

namely for schools and health institutions. There are school sanitation and health intuitional

sanitation designs prepared by consultants at a national level under the ownership of the

national WaSH coordination office and distributed to regions for use. Hence the objective of

this manual is not to replace the designs for institutional sanitation but to put

procedures/guidance how these designs can be implemented using the CMP approach.

1.3 KEY ISSUES AND ADDENDUMS TO THE MANUAL

As an implementation manual for institutional sanitation, the two key issues which are given

more focus in this manual are:-

Highlights on sanitation facility packages and designs for schools and health

institutions.

Institutional sanitation implementation procedures using CMP approach.

However, the manual alone will not be used in the planning, implementation (procurement,

contracting, and supervision) and post construction management of the institutional latrines. It

has additional materials such as the Generic CMP Investment Fund Management

Guideline prepared at the federal Level in February 2012. The generic guideline includes

the concept & evolving of the CMP approach, the project processing cycle, the roles of the

different stakeholders in the CMP approach, the financial and procurement management,

monitoring and evaluation, auditing in general and focusing more on the use of the approach

for low technology water supply schemes. This implementation manual gives more focus on

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issues and formats very specific to the use of the CMP approach in institutional satiation

implementation and for forms and procedures which are common to the water supply and

institutional sanitation implementation; the generic CMP guideline is to be referred as an

addendum.

More addendums to this manual include standard tender documents & construction contracting

forms, school and health institution designs prepared by consultants and CMP training

materials are required to be referred and be used in cases when construction management &

CMP related issues which are not stated in this manual are encountered.

1.4 CMP APPROACH AND ITS BASIC FEATURES

The WaSH Implementation Framework (WIF) introduces the Community Managed Projects

(CMP) approach, pioneered and developed in Amhara and Benishangul-Gumuz Regions. In the

WIF the CMP is being mainstreamed into the National WaSH Program (WaSH GTP/UAP) for its

wider application. The major features of the CMP Approach are:

Fund Transfer: The unique and innovative feature of the CMP approach is that funds

for the physical construction of water schemes are transferred directly to the

community through a micro credit institution.

Community Financial Management: The communities, through water and sanitation

committees (WASHCOs), are responsible for the full development process through

planning, financial management, implementation and maintenance. The unique feature

in CMP community management is that the WASHCO manages not only community-

generated funds but also the government subsidy provided for capital expenditures.

Procurement: A further aspect of community management is that the WASHCO is

directly responsible for procuring the goods and services required for water scheme and

institutional sanitation construction.

In the National WaSH Implementation Framework the principles and basic procedures of the

Community Managed Projects (CMP) are built into the WaSH program as one funding modality.

It is presented as an alternative funding mechanism to the existing Woreda Grant which is

hereby known as the Woreda Managed Project (WMP) funding mechanism which includes

regional and national managed projects on behalf of Woredas or towns. The CMP approach is

no longer donor or region-specific. It is an integral, expanding and evolving component of the

One WaSH Program.

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2 COMPONENETS OF INSTITUTIONAL SANITATION FACILITIES

2.1 SCHOOL SANITATION FACILITIES

The very recent guiding manual for school WaSH is a manual entitled “Design and

construction manuals for water supply, sanitation and hygiene facilities in primary

schools in Ethiopia” financed by the Ministry of health, education, and water & energy in

collaboration with UNICEF and prepared by the consulting company Getachew Alem and

Associates.

The manual contains/includes different school water supply designs and sanitation facilities for

primary schools (up to grade 8) and with regard to toilet/latrines in schools, the manual

focuses on a simple, tried and tested design – the Ventilated Improved Pit or VIP latrine. This

is because VIP latrines are relatively simple to design, build and maintain. Their operation and

cleaning uses relatively little water; certainly they do not depend on a regular water supply.

The design can be adapted for different circumstances. And the resulting latrine can be

relatively low cost. For almost all conditions in rural areas, VIP technology can be used. The

technology has also merit in many urban settings where a reliable water supply cannot be

guaranteed.

Concerning the latrine design put in the school WaSH manual different comments are given by

regions such include uneconomical nature and lack of recommendation for alternative use of

construction materials depending on the availability of different construction materials in

different areas such as stone masonry for walling. Unless regions prepare their own designs,

the latrine design put in the school WaSH manual are fully taken in to consideration in this

implementation manual.

The sanitation facilities included in the design and construction manual and also to be handled

in this implementation manual are:-

a) For girl students (Plans & sections of the design shown in Figure 3.1 & 3.2):-

Hollow concrete block (HCB) made four seats latrine.

Urinal (urination facility).

Hand washing facility.

b) For boy students (Plans & sections of the design shown in Figure 3.1 & 3.2):-

Hollow concrete block (HCB) made four seats latrine.

Urinal (urination facility).

Hand washing facility

c) For teachers (Plans & sections of the design shown in Figure 3.1 & 3.2):-

Hollow concrete block (HCB) made two seats latrine.


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2.2 HEALTH INSTITUTION SANITATION FACILITIES

Health Centre and Health Post refers to those institutions in charge of helping the community

on health and sanitation issues to improve the health status. It also provides education and

consultation on hygiene practices and support on the methods of improving the sanitation

condition of the community.

Health Centre and Health Post sanitation is part of the major areas of the health services for

visiting patients and as demonstration centres to communities. The aim of providing sanitation

facilities to the Health Centre and Health Post is to improve existing sanitation conditions at

the Health Centre and Health Post.

According to the health service delivery arrangement indicated in HSDP IV, primary health care

unit comprises of a health centre and five satellite health posts, which altogether provide

services to 25,000 people. Health posts are the frontline health care providers and health

centres are the next higher level health care providers, which serves as a referral centre for

health posts.

The very recent guiding manual for health institutions WaSH is, a manual entitled “Health

Centre and Health Post Water Supply, Sanitation and hygiene facilities design and

implementation manual” financed by the Ministry of health, education, and water & energy in

collaboration with Water Aid Ethiopia and prepared by Meteferia consulting engineers in June

2012.

In the manual the appropriate technology options for the construction of water supply,

sanitation and hygiene facilities that can be used by the Health Institutions namely health

centre and health posts are described.

As stated in the manual from the different sanitation technology systems available, VIP

latrines, which is one of the dry sanitation systems is only the most recommended system for

health centres and health posts.

The sanitation facilities included in health institution WaSH manual and to be handled in this

implementation manual are:-

1) For health centres

a) For females (Plans & sections of the design shown in Figure 4.2 & 4.4):-

Hollow concrete block (HCB) made five seats latrine.


b) For males (Plans & sections of the design shown in Figure 4.2 & 4.4):-



c) Incinerator (Figure 4.5).

d) Placenta pit (Figure 4.5).

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2) For health posts

Concerning the health post latrine number there is a discrepancy between the site plan and the

bill of quantities, in the site plan it shows two blocks with each with two pts (one for male and

one for females) but in the bill of quantity it is given only fro one block with two pits which

needs further refinement. For this manual purpose it is assumed that the design to have two

bocks as put in the site plan.

a) For females (Plans & sections of the design shown in Figure 4.1 & 4.3):-

Hollow concrete block (HCB) made two seats latrine.


b) For males (Plans & sections of the design shown in Figure 4.1 & 4.3):-



c) Incinerator (Figure 4.5).

d) Placenta pit (Figure 4.5).

3 INSTITUTIONAL SANIATION IMPLEMENTATION USING CMP APPROACH

3.1 KEY ISSUES AND CMP PROJECT PROCSSING CYCLE

The key issues when implementing the CMP approach for institutional sanitation are:-

1) Implementation will fully depend on institutions own initiative.

2) Institutions will receive technical and material support from the Woreda authorities

during and after the construction of sanitation facilities.

3) Institutions though their WASHCOs will be fully responsible for the funds allocated to

them during the construction phase.

4) Institutions have to demonstrate both their willingness and capacity by depositing an

initial up-front cash contribution of minimum amount which covers the operation and

maintenance management of one year for the specific technology (usually from

minimum of 1,000Birr). The criteria and required up front amounts to be decided by

each woreda based on their technical and socio-economic situation (In Amhara woredas

are using minimum of 1000Birr). Do we need this as a must to all regions???

5) Investment fund for physical construction is directly transferred to the WASHCOs via an

intermediary financial institution (micro finance, bank etc) and/or woreda finance office.

6) The institutional WASHCO is financially accountable to the institution and to the Kebele

and Woreda Administration.

7) Institutions are required to cover minimum of ____ % of the construction cost of the

sanitation facilities or each region can make its own analysis & put the possible

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percentage not less than _____%) contribution. The contribution should be in cash

and/or in kind e.g. supply construction materials, digging latrine pits, improving access

roads, store for construction materials, etc.

8) The institutions communities (students, teachers, health professional, administration,

committees etc.) are expected to commit themselves to undertake and finance the

operation and maintenance of the WaSH facilities after the construction, but they are

entitled to receive technical support from the Woreda sector offices.

9) Institutional WASHCOs may delegate the procurement of contractors to Woreda, Zonal

or Regional government bodies on behalf of the institution. Anyhow, the institutional

WASHCOs shall have the overall control and authority in tendering, contracting and

payments to be made. (Shall we keep this or delete it)????

The CMP cycle for institutional sanitation is described in the following diagram (Figure 1) that

indicates the phasing of activities as foreseen in the woredas as per the experience gained.

The major training activities should be carried out before the construction starts. The diagram

below presents the option where investment funds are channelled to the community through

the Financial Intermediary (FI). Separate fund flow for the fund channelling to community

through Woreda Finance Office will be inserted to this manual later on once the system has

been designed and tested.1

1 The timing shown in the diagram may vary from region to region, even from woreda to woreda

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Fig. 1. THE COMMUNITY MANAGED PROJECT CYCLE FOR INSTITUTIONAL

SANITATION (Health & Education)

PROMOTION BY WOREDA AUTHORITIES

WASHCOS ESTABLISHED/RE-ACTIVATED BY INSTITUTIONS

SELECTION OF WOREDAS BY RWTT

UP-FRONT CASH CONTRIBUTION COLLECTED AND DEPOSITED IN MFI ???

APPLICATION MADE BY INSTITUTIONS

OFFICE APPRAISAL OF APPLICATIONS

INSTITUTIONS INFORMED OF THE REJECTION OF THE APPLICATION

ADDITIONAL INFORMATION REQUESTED FROM INSTITUTIONS

FIELD APPRAISAL

OF APPLICATIONS

WWT DECISION

JU

NE

AP

RIL

J

AN

UA

RY

O

CT

OB

ER

A

UG

US

T

JU

LY

F

EB

RU

AR

Y

JA

NU

AR

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Jul

AP

Training of WWO, WOH and WEO

staff and KWT members to

become advisers and promoters

of CMP at the institutions level

Advice to institutions in the

application preparation by the

trained woreda & kebele level

experts

FUNDING

AGREEMENT (GRANT

CONTRACT)

BETWEEN WWT AND WASHCOS

CONTRACTING AND PROCUREMENT

RESPONSIBILITY FOR CONTRACTING: COMMUNITY

RESPONSIBILITY FOR PROCUREMENT: COMMUNITY

CONSTRUCTION BY INSTITUTIONS AND ARTISANS

COMPLETION REPORT BY WASHCOS, WWO & WWT MEMBERS

INSTITUTION INFORMED OF THE SUSPENSION OF APPLICATION UNTIL FURTHER NOTICE

WWT mobilizes WWO, WEO &

WOH technical staff for appraisal

WWO, WFO, WEO & WOH

experts trained in ToT for training

WASHCOs in administrative,

financial, contracting,

procurement etc issues

WWO, WFO, WEO & WOH

experts train WASHCOs &

artisans in CMP management

WWO, WEO & WOH members Supervise construction

AUDITS: PUBLIC

AUDIT, EXTERNAL

AUDIT, INTERNAL

AUDIT

(FACILITATED BY

WWO AND WFO)

MONITORING AND EVALUATION

BY COMMUNITY/RCC/RWSEP

INSTITUTION INFORMED OF APPROVAL OF APPLICATION

Training of zonal experts, WWT

members & FI staff in CMP

management.

POST CONSTRUCTION (OPERATION AND

MAINTENANCE BY THE INSTITUTION)

SUERVISION AND

FOLLOW-UP BY WWT AND WASHCOS

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3.2 MANAGEMENT OF THE CMP INVESTMENT FUND

Once WaSH funds for the institutional sanitation are in the Finance Bureau be it from the

donors or regional government budget sources, the actual investment fund management

operates at three levels: Region, Woreda and Community levels. The management of funds is

divided into financial responsibility and operational responsibility and the financial

responsibility goes hand in hand with possession of funds at each moment. The following table

describes these two sides of responsibilities:

Table 1: Financial and operational responsibilities in the management of investment funds

Management level Financial responsibility Operational responsibility

Regional level Finance Bureau/Water

Bureau/Education Bureau/Health

Bureau

RWTT

Woreda level WWT WWT

Community level WASHCO WASHCO

3.2.1 Operational responsibility of investment fund management

3.2.1.1 RWTT & WWT

The operational responsibility of the RWTT and WWT in management of the CMP approach is

well covered in the Generic CMP Investment Fund Management Guideline.

3.2.1.2 Institutional WASHCO

Institutions represented by WASHCOs (Parents & Teachers’ Associations in schools and Health

Committees in health institutions) will be fully responsible for the overall implementation of the

sanitation facilities. They will be responsible for contracting artisans and/or contractors and

suppliers, procuring manufactured construction materials, organising local construction

materials & labour supply, and organizing community cash contribution for construction &

maintenance. Alternatively, WASHCOs can make turn-key/full contract with artisans or private

contractors with technical assistance from woreda level concerned sector offices. Once the

sanitation facility is constructed the WASHCOs have to monitor regularly the conditions of the

facilities and conduct discussion with the institutional community such as school

administrations for schools, advocate locally for improvement in the management of the

facilities, and support the maintenance of the facilities.

The Woreda staff, particularly the Woreda Water, Health and Education Offices members shall

provide guidance and technical support in site selection, planning, budgeting, training,

procurement, supervision and monitoring.

The CMP Regional Support Unit (RSU) will give technical support and assistance through its

team members consisting of CMP team leader/coordinator, CMP/technical specialist, financial

specialist, accounting specialist, capacity building specialist and zonal advisors depending on

the specific region situation.

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3.2.2 Financial responsibility

3.2.2.1 Regional Finance Bureau, Regional Water Bureau and WWT

The financial responsibility at the regional level depends on how the budget for institutional

sanitation/latrine is to be allocated and administrated at the regional level. This also affects

how the fund management agreement to be signed at the regional level with the Micro Finance

Institution (MFI) and also how the use of the investment fund to be reported from the WWT to

the regional level. For this manual the present experience of different regions in the CMP

investment fund management for water points construction allocated from the regional

government budget is presented as follows.

In Amhara & Tigray

In these regions transferring investment fund for water points construction is not

possible by the finance bureau but has to be transferred through Regional Water

Bureau based on the transfer responsibility given by the Finance Bureau. In this case

the Water Bureau entered into agreement with MFI and is accountable to Finance

Bureau of the administration of funds, Finance Bureau transfer funds to the

Regional Water Bureau Z-account and the Water Bureau channels the fund to

MFI head office, the MFI head offices to branch offices, the branch office to the WWT

account existing at the MFI sub branch office. Finally the WWT instructs the MFI sub

branch at woreda to transfer to WASHCO account/ledger and withdrawal by the

WASHCOs.

Concerning the report on the use of funds, the woreda water office representing

the WWT prepares the fund withdrawal and utilization report for each water point and

sends to the regional water bureau. The regional water bureau (mainly the financial

planning/management specialist of the RSU) compiles the fund utilization report and

report to BoFED. BoFED (in Amhara mainly the accounting specialist of the RSU)

complies the report and uses it when preparing periodic financial reports and also refer

when receiving fund transfer request from woredas.

In SNNPRS

The investment budget for water points construction is allocated by the water bureau,

zones and woredas. The water bureau, the zonal administrations and the woreda

administrations channel the budget allocated by them to the finance bureau. The

Finance Bureau made an agreement with the MFI, then the MFI head office to the

branch, the branch office to the WWT account existing at the MFI sub branch office.

Finally the WWT instructs the MFI sub branch at woreda to transfer to WASHCO

account/ledger and withdrawal by the WASHCOs.

Concerning the report on the use of funds,

3.2.2.1.1 Possible budget allocation and financial responsibility for institutional sanitation

If the same procedure is to be used by each region like that of the CMP investment fund

management for water points construction, the following possible options may be expected for

institutional sanitation investment fund allocation and management by regions.

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a) Budget allocation to the education and health bureaux

The budget for school sanitation facilities/latrines construction may be allocated to the

regional education bureau by the region; the bureau will make a fund management

agreement with MFI. Finance Bureau transfer funds to the Regional Education

Bureau Z-account and the Education Bureau channels the fund to MFI head

office, the MFI head offices to branch offices, the branch office to the WWT account

existing at the MFI sub branch office. Finally the WWT instructs the MFI sub branch at

woreda to transfer to WASHCO account/ledger and withdrawal by the WASHCOs. When

we come to reporting on the use of fund the woreda education office will report the

fund utilization report to the education bureau and the education bureau to the finance

bureau.

The budget for health sanitation facilities/latrines construction may be allocated to the

regional health bureau by the region; the bureau will make a fund management

agreement with MFI. Finance Bureau transfer funds to the Regional Finance

Bureau Z-account and the Health Bureau channels the fund to MFI head office,

the MFI head offices to branch offices, the branch office to the WWT account existing at

the MFI sub branch office. Finally the WWT instructs the MFI sub branch at woreda to

transfer to WASHCO account/ledger and withdrawal by the WASHCOs. When we come

to reporting on the use of fund the woreda health office will report the fund utilization

report to the education bureau and the education bureau to the finance bureau.

The above budget allocation alternative may have an advantage that the education and health

bureaux and woreda offices be part of the WaSH development more than before as it demands

them to be responsible for managing and reporting the use of the fund allocated to the

bureaux. If taken as disadvantages in this approach the MFI signs agreement with different

bureaux and the CMP fund utilization report will be sent from the woreda offices to the bureaux

which made an agreement with the MFI. At woreda level each office may need to have its own

CMP supervisor (health office CMP supervisor and education office CMP supervisor) to be

responsible for fund disbursement to WASHCOs, receiving financial reports & documents from

WASHCOs and also for the preparation of fund utilization report to the respective regional

sector bureaux. Even it may also lead some woredas to decide that the woreda sector office

heads to be the mandatory signatories of the WWT for the fund allocated from the regional

bureaux. This system also requires health and education bureaux to be highly committed to

follow the fund disbursement to woredas, compile fund utilization reports coming from woredas

and report to the finance bureau. Therefore when regions are deciding this budget allocation

system for institutional sanitation, the points put above have to be taken in to consideration.

b) Budget allocation in the name of the finance bureau

From the 2004EFY water points construction/investment fund allocation and management

practice point of view, this alternative is expected to be used in Southern Nation Nationalities

and People’s Regional State (SNNPRS).

The budget for school latrine construction may be allocated from the regional education

bureau, zonal and woreda administrations and that of the health institution sanitation

facilities/latrines from the health bureau, zonal and woreda administrations. The finance

bureau with knowledge of the education and health bureaux, will make fund

management agreement with the MFI and from MFI head office the fund flows to MFI

sub branch and finally to WASHCOs.

19

In this case the MFI signs agreement with the finance bureau and fund utilization will be

directly reported from the woredas to the finance bureau.

c) Budget allocation to the water bureau

This is the option that Tigray and Oromia regions have already allocated budget, and agreed

the financial management responsibility and reporting of investment fund for institutional

sanitation for the 2005EFY.

In this option budget for water supply & institutional sanitation is allocated to the water

bureau (by clearly specifying what amount to water supply and what amount to

institutional sanitation at schools and health institutions) and fund transfer

responsibility is also given to the bureau. The Water Bureau will enter into agreement

with MFI and is accountable to Finance Bureau for the administration of funds, Finance

Bureau transfer funds to the Regional Water Bureau Z-account and the Water

Bureau channels the fund to MFI head office, the MFI head offices to branch

offices, the branch office to the WWT account existing at the MFI sub branch office.

Finally the WWT instructs the MFI sub branch at woreda to transfer to WASHCO

account/ledger and withdrawal by the institutional WASHCOs.

Concerning the report on the use of funds, the woreda water office representing

the WWT prepares the fund withdrawal and utilization report for each water point and

sends to the regional water bureau. The regional water bureau (mainly the financial

planning/management specialist of the RSU) compiles the fund utilization report and

report to the finance bureau. The finance complies the report and uses it when

preparing periodic financial reports and also refers when receiving fund transfer request

from woredas.

There are number of reasons for the regions to choose this option. It minimizes the need for

each bureau signing separate fund management agreement with the MFI’s and also reporting

fund utilization from WWT to different bureaux. This is justified that due to the budget

intensive nature of the institutional sanitation facilities construction, regions may plan very

limited number of institutions for the sanitation facilities construction yearly and making

separate agreements for each bureau with the MFI and reporting from different woreda sector

offices to sector bureaux seems unnecessary. In addition the option does not need as such a

separate CMP supervisor from each sector office at woreda level and the existing CMP

supervisor can handle the financial management and reporting related issues in the same way

he/she is handling the investment budget for water points construction. In this option what will

be required from the bureaux and woreda offices is that to assign education and sanitation

focal persons from the bureaux and woreda offices who will work very closely with the regional

water bureau and the CMP supervisor in the different CMP projects processing cycles.

One disadvantage this option may have is that unless the required attention is given by the

health and education bureaux and offices, many of the institutional sanitation implementation

related issues may be left to the water bureau and respective offices only.

Anyhow the possible options for the institutional sanitation investment fund financial

management responsibility are discussed above and shown in table 1 based on how the

institutional latrine investment budget is to be allocated and administered by the regions.

Based on the decision of the region which bureau to sign agreement with the MFI for fund

management, region specific financial responsibility for the institutional sanitation investment

fund can be prepared. However whichever bureau is responsible for financial management at

20

regional level, the fund management at woreda and community levels remains under the WWT

and WASHCO respectively.

In this implementation manual assuming the institutional sanitation fund management

responsibility is to be given either to the Finance Bureau or Water Bureau, the flow of funds is

shown in figure 1 below. If the fund management is decided by the region to be under

education or health bureau, the name of the bureau to make an agreement and channel funds

to the MFI will be changed in the figure.

21

Figure 2. Flow of Funds for Institutional Sanitation facilities construction using CMP approach and

MFI (assuming Regional fund management responsibility is given either to Finance Bureau or Water Bureau)2

2 In case the investment funds are transferred to the community through Woreda Finance Office

another diagram will be added to this guideline, when this system has been tested to be functional.

FI HEAD OFFICE

FI SUB-BRANCH OFFICE

Institutional WASHCO CMP Accounts/ledgers (non-

interest gaining institutional account) requiring letter

of withdrawal authorization from the WWTs

WASHCOs’ Savings Accounts; Accounts are for up-

front cash contribution.(Do we need such account

????

FINANCE BUREAU

WASH ACCOUNT

FI CMP Account

Agreed commission

charged by FI

WWT IN THE

WOREDA

WWT CMP Account Non-interest gaining

Transfers only; no cash withdrawals

Replenished quarterly through

transfers from region FI CMP

account/CMP fund source

WASHCOS

Disbursement

requests

Monthly reports

Payment

requests,

reports

Withdrawal

authorization

letters

ARTISANS,

SUPPLIERS &

CONTRACTORS

CONSULTANTS

Instructions on

transfers to

WWT CMP

Accounts in FI’s

sub-branch

account

Upon request,

usually quarterly

WATER BUREAU WASH

ACCOUNT (ASSUMING THE

INSTITUTIONAL SANITATION

BUDGET IS ALSO TO BE

ALLOCATED BY THE REGION IN

WATER BUREAU)

CMP account

22

In the above diagram the dotted line shows the fund transfer from the region to the FI head

office if Water Bureau is given responsibility for transferring the institutional latrine

investment fund allocated by the regional council.

Initially, Finance Bureau is responsible for the funds, until they are transferred to the MFI

head office and once it reaches to the WWT account the responsibility and accountability

remains with the respective WWTs. Both Finance Bureau/Water Bureau (which of them made

an agreement with the FI) and WWTs will have the power to instruct the FI to either mobilize

or freeze accounts, but the WWTs will not be authorized to withdraw funds from the WWT

CMP account.

The Financial Intermediary (e.g. Micro Finance Institution) is accountable for the funds that

are channelled through the organisation from Region to Woreda level. Their responsibility

includes following and implementing the instructions given by Finance and/or Water Bureaus

at the regional level and the WWTs at the Woreda level.

3.2.2.2 Institutional WASHCO

Throughout this manual WASHCO refers to Parent & Teachers’ Associations for schools and

Health Committees for Health Institutions.

The WASHCO becomes financially responsible and accountable for the funds that are in its

possession from the moment it withdraws money from the account opened for it in FI for the

purpose of financing the sanitation facilities construction. Then, the WASHCO is discharged

from its financial responsibility for the amount they have withdrawn as soon as it is settled

and verified by the CMP supervisor. The correct use of funds means submitting original

receipts that fulfil the criteria set for receipts and eligible costs, and receives the respective

acknowledgement from the CMP Supervisor. However, in accordance with the rules of

establishment of a WASHCO the committee still remains responsible for the operational

aspects related to the WaSH facilities and for any funds it has received from the community.

The Region, Zone & Woreda offices and/or teams have no role and therefore no responsibility

whatsoever in any agreements the WASHCOs may enter into with any third party, e.g.

artisans and suppliers of materials and equipment unless delegated by the WASHCOs with full

consent.

3.2.3 Financial Administration and Bank accounts

3.2.3.1 General

The main requirement of the CMP investment fund financial management is that communities

through the WASHCOs will be fully responsible for the funds allocated to them during the

construction phase which encourages decentralization of financial management. FIs are the

financial intermediaries for channelling funds to CMPs. At present the FIs responsible for

different regions are ACSI in Amhara region, DECSI in Tigray region, OMI in SNNPRS and

OCSSCo. in Oromia region .

3.2.3.2 Bank Accounts

At the regional level there will be one regional CMP account at the Financial Intermediary (such

as MFI) head quarter where the money from the regional Finance/Water Bureau is to be

transferred.

23

At woreda level, there will be one WWT CMP account at the Financial Intermediary sub-branch

in the name of Woreda WaSH Team (WWT).

For communities, there is one account and one ledger for each institutional WASHCO. The

account is a savings account named as per the name of the institution (school or health)

project and authorized to use by the two WASHCO signatories (the chairperson and the

treasurer of the committee). The ledger, authorized by the WWT, is opened in the name of the

project with authorized signatories of WASHCO members. The purpose of the ledger is to

transfer cash from Woreda WaSH Team (WWT) CMP account to the specific institutional

sanitation facilities. The WWT shall release funds to WASHCOs, by writing an authorization

letter to the FI sub branch to pay the amount approved to the WASHCO which directly

withdraws the money from the WWT CMP account and it will be then registered to the ledger in

the name of the project.

The description of WWT CMP account is shown below.

There will be one CMP account for each of the CMP woreda to be opened by the Woreda

WaSH Team (WWT) in the FI sub-branch. This account:-

o Is to be opened by three people in such a way that any two signatories can operate it.

The account will have three signatories as follows:-

o Woreda administrator (his/her delegate), Woreda Water Office Head and one of

the following woreda WaSH sector offices head depending on the decision of the

WWT:- (Do we need to make the health office and education office heads as

mandatory signatories of WWT account for the specific institution latrines

withdrawal authorization like in Benishengul Gumz region)?.

Head of health office, finance office or education office.

o is non –interest gaining.

o allows payments only to WASHCOs but no cash withdrawal by the signatories.

o can be replenished upon justifiable requests from the WWT through transfers from FI

head office CMP account.

The description of the WASHCO saving account for depositing the initial cash contribution and

accumulating future savings collected from different sources for maintenance of the latrine

collected water fees is shown below (Do we need an upfront contribution for future

maintenance of the latrine like that of minimum 1000Birr for water points?):-

If the institution has such an account opened for water points to be constructed or constructed

in the institution, the same account can serve this purpose (Is it a good proposal?).

o Should be opened before the community submits the project application.

- In special cases the opening of this account can be extended to the approval of

the application by WWT.

o The saving account signatories are the institutional WASHCO chair person and the

cashier.

24

o This savings account is an interest gaining account aimed to be linked to the future

credit facility.

o If the institution contributes (can be from its income or collected from communities

benefiting from the institution) cash to the construction, it is to be deposited in this

account, and used & reported as community contribution. When the institution decides

this contribution, the amount of the money & the construction cost item for which the

money is to be used must be clearly stated in the project application.

The ledger is managed as follows:-

o Will be opened when WASHCO members submit WWT authorization letter signed by the

WWT Chairperson to open the ledger in the name of the project.

o The letter of authorization from the Woreda CMP account signatories (Annex U in the

Generic CMP Investment Fund Management Guideline) is required for the WASHCO to

withdraw money from this account.

o The ledger will become inactive when the sanitation facility construction ends until the

due date of the retention payment (after one year).

o If some money given to WASHCOs is not used, the money has to be returned to the

Woreda WaSH Team CMP account.

o The ledger will be closed after the retention payment is effected.

3.2.4 Community Managed Projects (CMP) Financial Disbursement System

3.2.4.1 Fund release from Woreda WaSH Team CMP account to WASHCOs and registering the

released to the ledger in FI sub-branch

WASHCOs shall submit the necessary documents (see below) and request to the CMP

supervisor for the release of CMP investment fund. CMP Supervisor will check the documents

and request, and approves them if they fulfil required criteria described below. When

WASHCOs are requesting fund to be released from the Woreda WaSH Team CMP account to

WASHCOs, the following documents must be attached with the request:

o Properly filled fund release request form (Annex ZD in the Generic CMP

Investment Fund Management Guideline).

o WASHCOs investment funds’ register prepared in two copies. One will remain

with the CMP Supervisor’s ‘project file’ and one will be returned to WASHCOs

(Annex N in the Generic CMP Investment Fund Management Guideline).

o Original receipts of the payments made by WASHCOs.

o Payment certificates and other supporting documents such as minutes of

meetings, Pro forma invoices etc.

All the documents submitted by the WASHCOs with the fund release request will be

checked by the Woreda CMP Supervisor assisted by the respective sector office focal

person (health office focal person for health institution sanitation and education office focal

person for school sanitation facilities, and approved by the woreda water office head.

25

o If the fund management agreement with the FI is signed with the education or

health bureaux, checking of the financial documents from WASHCOs will be made

by the offices focal persons/CMP supervisors and the approval of the documents will

be made by the heads of the offices.

If reports, requests and receipts from the WASHCOs are found to be correct, the CMP

supervisor receives the original receipts and signs on the back/top, and gives to the

WASHCOs an acknowledgement of receipts of accounts (Annex S in the Generic CMP

Investment Fund Management Guideline) and a format filled and signed by him listing the

receipts he has received from the WASHCOs.

o If the fund management agreement with the FI is signed with the education or

health bureaux, the original receipts and reports from WASHCOs will be received by

the education or health office focal persons/CMP supervisors and documents will be

kept in the offices.

After reports, request and receipts are checked and approved, depending on the status of

the specific institution account/ledger and the Woreda CMP account, the following three

possible cases may apply for the WASHCOs to withdraw the money.

The following two issues need to be checked before writing a letter of authorization for the

release of the funds to WASHCO:

A. If there is enough money in the Woreda WaSH Team CMP account:

a) Two of the signatories of the Woreda WaSH Team CMP account will write a letter of

fund release and authorization (Annex U in the Generic CMP Investment Fund

Management Guideline) to the FI sub-branch that the signatories of the WASHCO can

withdraw money from the WWT CMP account

b) Thereafter WASHCOs can pay to suppliers, contractors and/or artisans.

B. If WWT CMP account has not enough money the following key points will be taken into

consideration (anyhow the CMP supervisor has to regularly take care that there is enough

money available in the WWT CMP account):

a) The Woreda WaSH Team will request the Finance Bureau to send money to the WWT

CMP account through FI.

b) As soon as the money reaches, two of the signatories of the Woreda WaSH Team CMP

account will write a letter of fund release and authorization (Annex U in the Generic

CMP Investment Fund Management Guideline) to the FI sub-branch that the signatories

of the WASHCO can withdraw money from the WWT CMP account

c) Thereafter WASHCOs can pay to suppliers, contractors and/or artisans.

3.2.4.2 Conditions of fund release from the Woreda WaSH Team CMP account to the WASHCO

o The money will be released from the WWT CMP account to the WASHCO in three or four

instalments excluding the retention payment. The number of the instalments needed is

proposed by the CMP supervisor for the WWT approval. In some cases the number of

instalments can be even two, if the project is progressing well.

26

o The first instalment will be release to WASHCO in not more than three weeks after the

funding agreement has been signed but not before WASHCOs have been trained.

o There are requirements for releasing each instalment as shown in the following table.

Table 2. Sample fund disbursement schedule for approved CMP contribution for a

school latrine and estimated construction budget of birr 200,000

Instalment Timing (weeks from the date of

Funding

agreement)

Percent from the approved budget

Amount in BIRR

Cumulative value of receipts required before

next instalment

may be released (=80 %) BIRR

Remarks

Instalment 1 (advance)

Max 3 weeks 20 % 40, 0003

For full contactors

based (contract for

the procurement of

materials and

construction to the

contract expect for

those contribution

expected from the

institution) is based

on the contract

agreement.

For only labor

contrcat6ed to

artisans and

contractors this

budget is mainly to

be used by

WASHCOs for

procurement of

latrine pit digging

tools and some

construction

materials.

Instalment 2 30 % 60, 000

32,0004 (80% of 40, 000)

For full contracted

projects it is basing

on the approved

payment certificate.

For only labor

contracted projects,

this the most likely

3 Sample values to be replaced with correct amounts when applying the Agreement model

4 Sample values to be replaced with correct amounts

27

amount of this

instalments is based

on the labor cost to

be paid to the

contractor and the

estimated cost of

the construction

materials to be

procured.

Instalment 3 30 % 60, 000 88,000 (40,000+80% of

60,000)

Ditto

Instalment 4 20% 60, 000 148, 000 (40, 000 + 60, 000 + 80% of 60, 000)

The maximum

amount to be

released based on

the final payment

required for

provisionally

completing the

scheme and

WASHCO CMP

management cost.

The retention money

needs to be

deducted as per the

agreement.

3.2.5 Training of WASHCOs in CMP management

In order to implement the CMP approach in the institutions, it is essential to provide training to

the WASHCOs in the CMP management and will be done together with WASHCOs for approved

water points.

4 CRITERIA OF ELIGIBILITY FOR FUNDING

4.1 ELIGIBILITY OF APPLICANTS (WHICH INSTITUTION MAY APPLY)

The institutions that want to apply for funds from CMP have to fulfil the following criteria:

a) The institution has to be primary school (school up to grade 8), health posts or

health centres (to finance health centres may need decision from the region as the

cost is much as compared to school & health posts).

b) An institution which does not have any latrine before will get priority. Institution

having non-standard latrines will be given the second priority (Does it sound)??.

c) The institution which is willing to establish or strengthen the existing WASHCO

(Parent & Teaches Associations for schools and Health Committee for health

28

institution) to bear the financial and operational responsibility for the sanitation

facilities construction, and future operation and maintenance.

d) The institution which is willing to contribute to the Project in labour, material and/or

in cash.

e) The institution which is able to prove their commitment (presenting it in the

application) how it is going to handle for proper utilization, management and

maintenance of the latrine. Do we need upfront cash contribution for this??

f) Kebele support to the project is proven by a support letter from the Kebele

administration (it will be very beneficial in the future to mobilize communities for

contribution).

g) A minimum institutional contribution (in kind & or in cash) calculated from the

estimated total construction costs should be ______ %.

4.2 ELIGIBILITY OF PROJECTS (INSTITUTIONAL SANITATION FACILITIES)

The sanitation facilities type recommended to be financed in schools and health institutions as

per the respective designs and implementation manuals are described in sections 2.1 & 2.2 of

this manual. Priority will be given for the construction of new latrines and if all the institutions

in the chosen CMP kabeles are provided with latrine, second priority can be given for old

institutional latrines needing major rehabilitation provided that the costs will not exceed the

critical maximum budget ceiling established by the regions for such institution sanitation

facilities. The general sanitation packages recommended for each institution are:-

For schools, latrines for boys, girls and teachers, Urinals for boys and girls and hand

washing facility for boys, girls and teaches.

For health centres, are latrines and hand washing facilities for males, latrines and

hand washing facilities for females, placenta pits and incinerators.

For health posts, latrines and hand washing facilities for males, latrines and hand

washing facilities for females, placenta pits and incinerators.

4.3 ELIGIBILITY OF COSTS (DEFINING THE AMOUNT OF GRANT)

In order to be considered eligible in the context of the CMP approach, costs must

Be used for the sanitation facility packages shown in section 2.1 & 2.2 only.

Be mentioned in the budget estimate annexed to the Funding Agreement as ANNEX III

in the Generic CMP Investment Fund Management Guideline.

Be cost-effective and within the acceptable market prices.

Have been incurred during the duration of the execution of the project and following the

signature of the Funding Agreement

Have actually been incurred, and have been recorded in the WASHCOs’ register book,

are identifiable and verifiable, and could be backed by originals and supporting

documents.

29

The following direct costs are eligible provided that the CMP approach is applied:-

Purchase costs for construction tools and services (transport, rent, etc.), provided they

correspond to market rates;

Purchase costs of construction materials

Expenditures on subcontracting artisan(s) for labour and/or for turn-key contract

Expenditures on contractors and suppliers

Bank charges from money transfers that have been made to facilitate payments that

belong to eligible costs

Daily Subsistence Allowance (DSA) and transport costs for WASHCO members travelling

outside their working village for the purpose of the construction of WaSH facilities,

depending on the regional DSA payment guideline.

The following cannot be included in institutional sanitation investment eligible costs:-

Costs of preparatory activities before the signing of the Funding Agreement

Inputs which are defined as community contribution in kind and in cash.

In addition

The institutional sanitation investment fund cannot be used as a source for credit or

loan.

5 APPLICATION PREPARATION AND FOLLOW-UP

5.1 APPLICATION FORMAT AND SUPPORTING DOCUMENTS

Application must be submitted with the format annexed to this manual (Annex Z.1). The

distribution of the application formats to Kebele WaSH Team is done by the Woreda Water

Office (WWO). Applicants (institutions) will get the formats and assistance for filling the

formats from the Kebele WaSH Team and if necessary also from the WWO, WOH or WOE.

The application format attached to this guideline is in English and should be translated into the

working language of the Regional State concerned.

The application format should be filled carefully and as clearly as possible in order to facilitate

its appraisal. The instructions attached to the application format have been made to applicants’

convenience and should be followed. A list of necessary supporting documents required is

included in the format.

The kebele WaSH team members, Woreda Water, health & education offices personnel and

members of the WWT should commit themselves to being at the applicants’ disposal to help in

the preparation of the applications. The Kebele WASH team members will be trained in order to

enable them to function as promoters and community level advisors during the application

phase.

30

5.1.1 Establishment of Water, Sanitation and Hygiene Committees (WASHCOs)

In health institutions and schools normally institutional committees exist to handle many of the

activities to be performed in the institutions. When we see from the point of the CMP approach

what required is to make the committees aware of the CMP approach and their roles in the

management of the approach (in all the CMP processing cycle). If these committees are found

to be weakened due to various reasons, strengthening them to handle the CMP management is

to be given attention.

5.1.2 Cost estimate

Budget estimate shall be prepared as part of the application. In order to prepare this cost

estimate Woreda water, health and education offices together have to prepare information on

the estimated average construction costs of the specific institutional (schools, health centres

and health posts) sanitation facilities and on how to value the community contribution. This

information shall be made available to the Kebele WaSH team (preferably to the Kebele

Manager Office, Health Extension Workers and Water Extension Worker if any). The three

Woreda WaSH sector offices shall update the average construction costs & provide updated

information to the kebele WaSH team annually.

The applicants should pay special attention to the budget estimate as it is one of the appraisal

criteria and the approval of the project by WWT is to be based on.

The cost estimate preparation for institutional sanitation facilities is dealt in detail in section 9

of this manual.

5.2 SUBMISSION AND PROCESSING OF APPLICATIONS

5.2.1 Desk Appraisal

The applications should be delivered at the water office by hand, to the CMP Supervisor or

another expert delegated by the water office, preferably on working days. The CMP supervisor

contacts the focal person from the health office for applications coming from health

institutions and the education office focal person for applications from schools for making the

desk appraisal with him/her. As per the practice in Amhara region applications can be

prepared in two copies and the sector office (health or education) can have copy of the

application just for information. In the presence of the WASHCO members the following

process will take place:

Application is numbered as follows: Application No. XX /EFY (XXXX).

Application is registered and the respective “Application follow-up form” (Annex B

in the Generic CMP Investment Fund Management Guideline) is opened and it will

be attached on top of the project file.

The CMP Supervisor or his/her delegate together with focal person from health or

education offices will perform office level appraisal and verify the

administrative compliance of the application in the presence of WASHCO

members to guarantee immediate feed-back in case some necessary

documentation is missing. (See Annex Z.2 in this manual for office level appraisal

form).

31

The applicant will be issued a receipt concerning the submission of an

administratively compliant application/non-compliant application (Annex F in the

Generic CMP Investment Fund Management Guideline). In the latter case the

applicant will receive written explanation on reasons leading to non-compliance,

e.g. list of missing documents and the applicant will be given instruction on how

to complete the application. Timing for re-appraisal of the application may be

agreed, if convenient. If the education and health office focal persons cannot

participate in the desk appraisal due to justifiable reasons, but the decision on

the field appraisal date must be made together with the focal persons.

In case of administratively compliant application, the timing of a field appraisal

will be proposed to the WASHCO members by the CMP Supervisor or his/her

delegate and focal persons from health and/or education offices. The field

appraisal should take place as soon as possible, preferably before the next WWT

meeting or within 15 days.

Table 3. The desk appraisal criteria to be used for institutional latrines

It.

No. Appraisal criteria Yes No

1 Is the institution the type eligible for financing by the CMP?

2 If yes, what is the institution type?

Primary school, health post, health centre (underline as

appropriate)?

3 Are the requested sanitation components for construction those

included for CMP financing for the respective institution?

4 Is the requested CMP contribution within the critical maximum

budget ceiling set for CMP grant of the specific institution type? (i.e.

equal or less than the maximum sanitation facility construction budget

ceiling applicable in the Woreda in question).

5. Is the estimated & indicated institution/community contribution for

construction greater or equal to ____%?

6. Does the application contain the following?

- List of elected WASHCO members (PTAs for schools & Health

Committees for health institutions) including their sex, age

and responsibility.

- The seal of the institution submitting the application

- Verification of cash contribution deposited to FI if collected &

deposited before submitting the application. (Do we need

such an upfront cash contribution???.

- Recommendation letter from the Kebele administration

32

It.

No. Appraisal criteria Yes No

7. Is the application administratively compliant and recommendable for

field appraisal based on the above?

8. Please indicate reason for temporary disqualification or rejection if

not appearing as above:

9. If the application did not pass the office appraisal, has the applicant

been informed of reasons for disqualifying the application?

10 Date of informing the applicant on the result of desk appraisal:

Place: __________________________________

Name & Signature of the office level appraiser from water office: _______________________

Name & Signature of the office appraiser from health or education office: ________________

33

5.2.2 Field Appraisal

The purpose of the field appraisal is to verify the different feasibility criteria of the proposed

institutional sanitation facilities construction. The field appraisal will be carried out by Woreda

Appraisal Team (WAT) members (mainly experts from WWO, WOH & WOE). The composition

of the WAT may vary with 2-3 experts, but each team is expected to have at least one

technical expert and one expert with ability to cover sanitation, gender, IEC as well as

management related aspects. In addition to the professional mix, out of the minimum two

appraisal team members one must be from water office and one either from health or

education office depending on the institution where the appraisal is to be made. Field

Appraisal format is presented in Annex Z.3 of this manual and the report will be filed in a

project file at the Woreda Water Office.

In addition to verifying the feasibility of sanitation facilities construction, the WAT may

propose corrective actions, such as budget corrections, site re-selection, etc. Some of those

corrections may be implemented immediately and the application revised on the spot. In the

latter case the appraisal will be done on the revised application.

The appraisal team will submit its report to the WWT for approval by completing (filling) the

approval format (Annex G in the Generic CMP Investment Fund Management Guideline).

The following (shown in table 4) are the highlights of the criteria to be used in the field

appraisal of institutional latrines in order to verify the application (Annex Z.3):

Table 4. The field appraisal criteria to be used for institutional latrines

Appraisal criteria Particular aspects considered in evaluation

1. Importance of

the Project to

the institution

a) What are the institutional sanitation facilities mainly latrines

available at the institution? If there exist please assess the

situation of the latrines/s.

b) Verify the situation of the institution water supply system/source.

c) Verify the number of beneficiaries (students in schools and

patients/day for health institutions) and staff of the institution?

d) Is the latrine construction the priority need of the institution?

2. Social

Feasibility

a) Is the institutional WASHCO well organized?

b) Level of planned participation of beneficiaries (including

students at schools) of the sanitation facilities at different stages of

the project cycle, i.e. planning, implementation, operations and

maintenance.

3. Technical

Feasibility

Check the proposed sanitation facilities (mainly latrine) in terms

location, convenience for development and use after construction.

a) Verify the soil condition of the selected latrine site avoid rocky

outcrops not to make the pit digging difficult & unstable ground

conditions so that the structure will not collapse.

b) For schools, verify that the distance from the latrine block to the class

is between 30 and 50 meters if possible. More than 50 meters may be

too far for a small child in a desperate hurry, and in terms of toilet

management and upkeep.

c) Verify the location of the latrine with respect to the future plans to expand the school.

34


d) For health institutions, verify that the latrine is located a minimum of

6 m away from the health centre or health post blocks for patients not

to travel long distance and yet not to create nuisance or bad odour.

4. Institution/Co

mmunity

Contribution

a) Verify the planned institution/community contribution during

project implementation? (labour/materials/cash)

b) Are the construction materials committed to be supplied by the

institution/community of appropriate quality?

c) Is the total institution/community contribution equal or greater than

the minimum amount required for the sanitation package

construction?

d) Is the institution/community committed to manage the WaSH

facilities after construction? This is to measure the true community

understanding on the future O&M responsibilities.

5. Environmental

Feasibility

a) Does the design include adequate provision for proper drainage and

fencing work or any other protection measures around the latrine?

b) Verify the site for the latrine construction is located on raised ground in

order that rain water can drain away easily.

c) Verify that the distance of the latrines to a well or borehole is minimum

of 30 meters to avoid any risk of contamination

6. Social

inclusion

Feasibility

a) Are women represented in the WASHCO?

b) Is the selected construction site gives privacy & security for girl

students, preferably the girls’ latrine be located at minimum

distance of 15 meters from boys latrine?

c) Verify if the designs & selected latrine site are disable students

and patients friendly?

d) Verify the distance to the latrines from the institutions boundary wall.

Especially for schools if the latrines are placed very close to the

boundary, there may be a risk of students extending their trip to the

latrine to a trip outside the school. In such case, particularly girls may

feel insecure & it is best to get their opinion.

7. Project

Sustainability

a) Verify what roles each stakeholder (for schools students, teachers,

school administration, PTAs, parents) and (for health institutions,

institution staff, health committee, patients) will have in the

management of the sanitation facilities/latrines.

b) Verify how the daily and weekly cleaning of the latrines are

intended to be handled. For example in schools by organizing the

students to clean latrines regularly to a roaster, supervised by

teachers.

c) Verify how the operation costs (payment for cleaner, cleaning

materials etc.) and maintenance costs of the sanitations

facilities/latrines to be covered.

d) Verify on how the collection & management of money required

for operation and maintenance of the sanitation facilities has been

planned if any.

8. Project

Implementation

& costing.

a) Do WASHCOs have experience in handling procurement of

materials, equipment and services by themselves?

b) How is the implementation of the project intended to be

undertaken? By full contacting or by force account?

35


c) What type of training do the WASHCOs need to implement the

project?

d) Is the cost still acceptable and realistic after revising the unit prices

as per the field appraisal?

5.2.3 Approval

After having the result of the field appraisal, the WWT will take a decision to approve,

postpone or reject the proposed Project.

Applicants will be informed of the result of the WWT decision in writing (Annex I in the

Generic CMP Investment Fund Management Guideline).

5.2.4 Funding Agreement

In case the application is approved, the WWT will give the WASHCO instructions regarding

signing of a Funding Agreement between WWT and WASHCO (Annex H in the Generic CMP

Investment Fund Management Guideline). Funding Agreement will be signed between WWT

and WASHCO chair person.

5.2.5 Releasing funds

After signing the Funding Agreement, WWT chairperson writes letters to FI sub-branch office

in order to notify the signatories of the WASHCO and to release the first instalment to

WASHCO. The first instalment shall be made available to WASHCOs within three weeks from

the date of signing the Funding Agreement.

5.2.6 Opening WASHCO ledger

When submitting the WWT chairperson first fund release letter to FI the FI open the ledger for

the concerned WASHCO and registers the funds released to WASHCO.

6 MANAGEMENT OF THE CHANGES DURING CONSTRUCTION

6.1 BUDGET LIMITS

The maximum amount of the grant funding is stipulated in the Funding Agreement. This

amount is based on the project budget, which is only an estimate. Therefore this amount only

becomes final upon completion of the project and presentation of the final expenses (see

articles 15 (1) and 15 (2) of the General Conditions of the Funding Agreement, Annex J in the

Generic CMP Investment Fund Management Guideline).

In some cases the final CMP contribution of an institutional sanitation facility may be higher

than the planned sanitation facility budget. Reasons for exceptional costs may be e.g. the

distance between the sanitation facility and Woreda capital (the location of building materials

shops) or escalation of prices of manufactured construction materials. Therefore, the WWT is

36

entitled to approve well justified exceptions, provided that the criteria for sanitation facilities

approval will be strictly applied.

6.2 FAILURE TO MEET THE OBJECTIVES OF THE FUNDING AGREEMENT

If the committee fails to implement the sanitation facilities construction project as agreed in

the Funding Agreement, the WWT reserves the right to interrupt payments, and/or to

terminate the Funding Agreement (see Article 9 of the General Conditions, Annex J in the

Generic CMP Investment Fund Management Guideline). The CMP contribution may be reduced

and/or the WWT may demand full or partial repayment of the funds already released, if the

community does not fulfil the terms of the Funding Agreement.

6.3 AMENDMENTS TO THE FUNDING AGREEMENT AND BUDGET VARIATIONS

Any modification of the Funding Agreement and budget variations must be set out in a written

amendment to the original Funding Agreement. However, some modifications may simply be

notified to the WWT (see article 7 of the General Conditions, Annex J in the Generic CMP

Investment Fund Management Guideline).The responsibility of the respective offices WaSH

officers are to supervise and follow-up the works ongoing and have to check the possible

future variations to the Funding Agreement in advance in order to avoid unnecessary late

claims from the institution/community on the variations made. The management of variations

is well covered in the Generic CMP Investment Fund Management Guideline but what is

required to be emphasized in this manual for institutional sanitation is that when the request

for variation comes from the WASHCOs the water, health and education office experts together

need to investigate the causes of the variation and recommend to the WWT on the possible

decisions on the requested variation.

7 REPORTING & OTHER FORMATS

Many of the formats especially for reporting, community contribution recording, and cash

transfer & withdrawal put in the Generic CMP investment fund management guideline are also

applicable for institutional sanitation. Hence the formats attached in this implementation

manual are those required only for institutional sanitation planning and implementation on top

of those formats in the generic CMP investment fund management guideline which are

applicable also to institutional sanitation.

37

A. Reporting Formats

Category 1: Reports to be prepared at community level by WASHCOs

Report

Code

Report

Name

Prepared by Frequency Distribution Main contents

1A

(Annex

Z.4)

WASHCOs

construction

follow up

report

WASHCO

members in

charge of

monitoring the

construction

process

progress

Updated daily,

submitted to

WWO upon

requesting

each

consecutive

instalment.

CMP

supervisor

1. Daily record of construction progress, achieved results,

problems encountered and proposed solutions. The report will

have a place for WWO approval/endorsement.

2. To be prepared in working languages (Amharic, Afaan Oromo

& Tigrigna).

3. To be prepared in two copies. The original will be submitted

together with instalment request.

B. None - Reporting Formats

Category 1: Formats to be used by WASHCOs (Community level)

Format

Code

Format Name Prepared By Contents of the Format Distribution Remark

1A

(Annex

Z.1)

Institutional

Sanitation/Latrine

Application form

Institutions with

support from

KWT

Information which help to

receive CMP grant

CMP Supervisor or

WaSH Sector office

Heads

1.Application form can be found in

WWO office & kebele manager office

2. Application form will be filled in

Working languages (Amharic, Afaan

Oromo & Tigrigna)

1B

(Annex

Z.6)

Project Completion

Report Format

WASHCO The project completion

format

CMP supervisor 1. To be prepared in the regions

working languages.

2. One copy to the WWO & one at the

WASHCO in the project fie.

38

Category 2: Formats to be used at Woreda level

Format

Code

Format Name Prepared By Contents of the Format Distribution Remark

2A

(Annex

Z.2)

Office appraisal

report form

CMP

Supervisor or

WaSH Sector

Heads

All Office appraisal criteria The appraisal

result will be

submitted to

WWTs

1. To be prepared in Working

languages (Amharic, Afaan Oromo &

Tigrigna)

2. To be filled when applications are

submitted and kept in project files

2B

(Annex

Z.3)

Field appraisal

report form

Members of

appraisal team

(CMP

supervisor &

sector offices

technical

staff).

All field appraisal criteria The appraisal

result will be

submitted to

WWTs

1. To be prepared in Working

languages (Amharic, Afaan Oromo &

Tigrigna)

2. To be kept in project files

2D

(Annex

Z.5)

Project supervision

report form

CMP

Supervisor

and the

person

assigned for

supervision

from the

health or

education

offices.

- Construction progress,

- Financial management

- Community contribution

- Problems encountered

- Solutions proposed

- To be

prepared in

one copy after

each

supervision

- To be kept in

the project file

1. To be prepared in English

2. If there are issues which need

decision, they will be presented to

the WWT chair person

39

40

8 PROCUREMENT & PROJECT IMPLEMENTATION MANAGEMENT

8.1 PROJECT IMPLEMENTATION MANAGEMENT

The three major points to be given attention in project implementation management are the

options of implementation and contracting, the procurement of construction materials and

support to be provided to communities by the woreda and zonal stakeholders.

Institutional WASHCOs will be responsible for the sanitation facilities construction related

procurement of tools, materials and services and construction management, with the exception

of those construction hand tools which the contractor/artisan is required to have depending on

the construction agreement made.

8.2 OPTIONS FOR CONSTRUCION CONTRACTING

The following three options of contracting are recommended to be used in the implementation

of the sanitation facilities for institutions.

8.2.1 Option 1 (Full contracting to private contractors)

This is the contract type where by the private contractors having grade and licence (the grade

level can be decided by the region or the woredas) can handle the construction of the work by

taking full labor and material supply contract except the committed institution/community

contribution. For this the tendering and contracting process is recommended to follow the

government procurement procedure. The tendering can be fully handled by the institutional

WASHCO with a technical assistance from the WWT or by the WWT with delegation and

involvement of the institutional WASHCO if they want to so due to justifiable reasons. The

tendering, contracting and payment process to be followed in this option are as follows:-

The committed institutional/community labor and materials contribution will be clearly

identified and their quantities excluded in the Tender document to be advertised. Of course

the quantities are excluded from the tender but at least what contribution

institutions/communities can have during construction be stated in the Tender document so

that the contractors to clearly understand and be psychologically ready for working closely

with the institutions/community.

Once the above points are included in the standard government construction Tender

document, advertisement for Tender will be made. For this purpose it would be good if the

tender document including the bill of quantities be well translated in to the regional

working language e.g. the school latrine work breakdowns are well translated in to Amharic

by the Amhara Regional Support Unit of COWASH and included in annex 3.2.1 to annex

3.2.3 of this manual).

Other condition to be stated in the Tender such as bid bond, advance payment, retention,

etc. need to be in line with the government procurement guideline.

The tender be evaluated by the Woreda tender Evaluation committee with the inclusion of

at least the institutional WASHCO chairperson.

The contract will be awarded to the least evaluated bidder and construction contract be

signed between the winner contractor and the WASHCO chairperson.

The woreda WaSH sector offices (health, education or water) assign technical person

(engineer or construction technician) for supervision and provision of technical support to

41

institutions. In the absence of such technical person in WaSH sector offices, engineer or

other construction professional from the offices such as woreda construction offices if any,

the woreda capital municipality engineer (tested in one woreda of Amhara region) can be

assigned to make supervision. The assignment of the supervisor will be decided by the

WWT and be notified in a letter to the contractor and the WASHCO.

The institution/community supplies the committed labor and materials for the construction

& construction progresses, WASHCOs make follow up of the construction and the

supervisor supervises.

When the work reaches at a stage when payment can be requested as per the contract

agreement, the contractor prepares & requests payment, the assigned supervisor checks

the payment, and the WASHCO chairperson approves & makes payment to the contractor.

The payment certificate is to be prepared in three copies, one for the WASHCO, one for the

contractor, and one for the woreda water office (for CMP supervisor). If possible the

payment certificate can be prepared in four copies and one of the copies can be given to

the health or education office depending on the institution type.

All deductions will be made as per the contract agreement.

When receiving the payment, the contractor gives receipt to the WASHCOs for receiving

the net payment amount shown in the payment certificate.

When the WASHCO members come to the woreda water office (CMP supervisor) for settling

used money and request additional money, they must attach the receipt given by the

contractor for receiving the net amount of money shown in the payment certificate.

8.2.2 Option 2 (Labor contracting to private contractors and material procurement

by WASHCOs)

This is the contract type where by private contractors having grade and licence (the grade

level can be decided by the region or the woredas) and also those which are organized as

micro enterprises for construction and have recognition and acceptance by the woreda can

handle the construction of the work by taking labor contract except the committed

institution/community contribution. The tendering can be fully handled by the institutional

WASHCO with a technical assistance from the WWT or by the WWT with delegation and

involvement of the institutional WASHCO if the WASHCOs want to do so due to justifiable

reasons.

The tendering, contracting, supervision and payment process of option 2 follows that of option

1 with the following exceptions in option 2.

o The eligible contactors to be involved in the Tendering recommended to be adjusted

in such a way that emerging legalized micro enterprises and artisans cooperatives

to compete for the work with that of (including) interested licensed private

contractors.

o In addition to the committed labor and local construction materials supply by the

institution/community, institutional WASHCOs are also responsible for making

procurement and supply of industrially produced construction materials.

8.2.3 Option 3 (Direct labor contracting to individual artisans or artisans

cooperatives or micro enterprises, and material procurement by WASHCOs)

This option is recommended mainly for woredas where the possibility of getting component

licensed contractors is expected to be difficult but if artisans, cooperatives or enterprises

trained/having experience in building construction exist. This option is well practiced in the

42

Amhara region by using trained artisans having good performance in construction. Of course in

this option more supervision is required from the woreda sector offices as some of the artisans

or cooperatives members may have good experience in water schemes construction but little

experience in institutional latrines (building) construction.

This option as direct labor contracting there is a need to prepare a labor payment guideline

which the artisans/cooperatives/enterprises can sign with the WASHCOs. The labor payment

guideline is to be prepared by the Woreda WaSH sector offices (namely water, health,

education and finance) based on a labor cost assessment to be made specific to the woreda

preferably even specific to the location of the institution where the sanitation facilities are to be

constructed. Annex 2.1 & annex 2.2 in this manual gives the tools and examples how to

estimate labor cost and prepare a payment guideline for institutional latrines construction. The

tools and examples can also be used to estimate the budget required for the construction of

institutional latrines for planning purpose.

In this option the construction materials and some hand tools for activities to be performed as

institution/community contribution are to be procured by WASHCOs. For this purpose there is a

need to prepare the list of construction materials & tools required for the construction of the

institutional sanitation package. In these manual formulas how to calculate the different

construction materials required for the construction of any building structure components is

shown in Annex 1.1. By using the formulas, the construction materials required for primary

schools sanitation facilities as per the designs and bill of quantities prepared by the consultant

who prepared the school WaSH manual has been calculated and shown in annex 1.2 to

annex 1.6. In addition to be used as a basis for procuring the required construction materials,

the list is also used in estimating the minimum amount of community/institution contribution

for the constriction of sanitation facilities. Regions can make the same calculation and prepare

the list and quantities of construction materials required for health institutions based on the

designs and bill of quantities prepared by the consultant in the health facilities WaSH manual

and attached in annex 3.3 of this manual.

8.2.4 Who to decide on the options?

Logically which option to be followed in the construction of the institutional sanitation facilities

is to be decided by the WASHCO with full knowledge on each option. Those options which

involve the WAHSCOs more are recommended to be favoured because they build the capacity

of the WASHCOs in construction projects management (tending, procurement, financial

management and monitoring) and also bring more ownership to the institution community to

properly use and maintain the facility.

8.3 PROCUREMENT OF CONSTRUCTION MATERIALS

In case of labor contact awarded to artisans/contactors, the construction materials are to be

procured by WASHCOs. Hence the construction materials and tools procurement procedure in

use for low cost technologies (hand dug wells and springs) can be used i.e, direct procurement

up to maximum of 5000Birr one time procurement and Performa for procurements above 5000

Birr. Although this is the case, depending on the current prices of construction materials and

the one time construction materials required to be procured, the threshold for one time direct

procurement can be raised/revised by the regions.

43

In addition the communities shall pay special attention to the quality of materials to be procure

and the quality should not be compromised on any occasion, and communities should always

ask for expert opinion in case they are doubtful.

8.4 ASSISTANCE FROM THE RESPECTIVE GOVERNMENT STRUCTURE

The zone and woreda health, education and water offices play a key role in the institutional

sanitation/latrines construction site selection, appraisal and preparation of tender documents.

They assist the community during the tendering, contracting, awarding and construction

follow-ups. They also assist communities in the preparation of take off sheets, payment

certificates and progress reports.

8.5 TRANSPORTATION ARRANGEMENTS

Transporting the construction materials procured by WASHCOs should be carried out by the

communities, and the cost of such transport is considered an eligible cost that can be covered

by CMP funding. However, the criteria for accepted expenditures must be fulfilled.

Notwithstanding the fact that the CMP activities will aim at increased community participation

and responsibility, and communities should take the overall responsibility, the Woredas should

show willingness to assist in any transportation arrangements that will be difficult to solve

through private sector engagement.

9 CONSTRUCTION COST OF INSTITUTIONAL SANITATION FACILITIES

In order to estimate the budget required for the construction and also to properly manage the

implementation of the project, there is a need to estimate the cost of the construction. Of

course the total cost of construction depends on the options in use for the construction.

Especially for those the work is to be awarded to contractors on Tender basis, the cost of the

construction is to be known based on the prices to be quoted by the tenders and the

corresponding tender evaluation results. Although this is the case, whatever the

implementation modality/options may be the need for estimating the cost of construction is

very important.

In this manual the option where the implementation mainly to be handled by the labor contract

by artisans/artisans cooperatives/micro enterprises is chosen and data required for cost

estimation and the respective cost estimate results of the institutional latrine to be constructed

at primary schools is chosen to be estimated.

The materials required for the construction are either to be supplied by institution/community

or to be procured by WASHCOs from the construction material suppliers. In this case the

2004EFY Amhara region experience in the implementation of the new primary school latrine

designs (in terms of mode of implementation, materials and labor contributed by the

institutions/communities) can be a good input.

The categories of costs required for the construction of the institutional sanitation facilities

are:-

Labor cost

44

Construction materials cost

Hand tools cost and

WASHCO administration cost

Labor cost

In the labor cost calculation, the artisans labor cost and the most likely activities

recommended to be done by institutions/communities are shown based on the 2004EFY

Amhara region experience in institutional latrines implementation using the CMP approach. Of

course in some projects in Amhara region intensive community labor contribution was seen

throughout the construction period of the project.

In the cost estimate those earth work activities including excavation, cart away surplus

excavated materials and back filling of selected materials are recommended to be fully done by

the institution mainly by the communities to benefit from the institutions or the institution

using the cash it may collect can contract artisans or other pit diggers to do the earth work

activities. In this case the artisans/artisans cooperatives/micro enterprise who take labor

contract from communities are required to make supervision and for this purpose they are

entitled to a payment in the form of per diem with estimated number of supervision days.

Labor cost estimate and activities recommended to be done by the institutions/communities

for school latrines construction are shown in annex 2.2.1 to annex 2.2.5.

In the estimation of institutional labor contribution, only those activities included in the bill of

quantities and can be implemented with community labor are included. Other forms of

institution/community labor contribution such as provision of store for construction materials,

construction materials transport and access road construction if any can be estimated in the

application but their relevancy/necessity needs to be verified during field appraisal of the

projects.

Hand tools cost

For those activities which the institution is to do as contributions and needing hand tools, tools

are required to be procured by institutional WASHCOs from the CMP money to be allocated for

this purpose. Of course the communities may have some of their own hand tools but the major

hand tools required for digging and related earth works are expected to be bought by

WASHCOs from the CMP fund. Those tools required and their costs are estimated in annex 1.7

of this manual.

Construction materials cost

The construction materials required for primary schools sanitation facilities are calculated &

summarized in annex 1.2 to annex 1.5 and the respective cost estimate was prepared based

on some woredas unit costs of construction materials for school latrines implemented in

Amhara region in the 2004EFY. In addition the possible construction materials to be

contributed by the institution as community contribution are also shown in the materials cost

estimate. The estimated cost also includes the transportation cost of the materials.

WASHCO administration cost

45

The institutional WASHCOs are responsible for procurement, implementation and financial

management of the sanitation facilities. For this purpose when the WASHCO members travel

from their locality to the woreda or some other places for the institution sanitation facilities

implementation related activities, they are required to be paid per diems. For this purpose the

number of estimated mobility days, the maximum number of WASHCO members expected to

travel outside their locality at a time for CMP activities and the average per diem rate as per

the new government per diem payment guideline are used as the basis for estimating the

WASHCO administration cost.

For estimation of this cost component for schools, let us assume the construction takes 3

months and 3 WASHCO members at a time may travel to the woreda capital for 10 days

making the total number of persons days to 30.

Assuming the average PD of the WASHCO members (some are communities and some are

teachers) as per the new government per diem payment guideline to be 150Birr/day.

The estimated WASHCO CMP management cost = 30person days x 150birr/day = 4,500Birr

Total estimated cost

The total estimated construction cost of the institutional sanitation facilities will be the sum of

the above four cost components. For example, the estimated cost of institutional sanitation

facilities to be constructed in primary schools including the source of funding is shown in table

5 below. From the table it can be seen that the recommended institution/community

contribution is estimated to be ______ % of the total construction cost of the sanitation

facilities. This contribution gives an indication that what minimum community contribution is to

be expected from institutions and using the approach regions can estimate/decide the

minimum community contribution based on their prevailing situation.

Table 5: Estimated construction cost of a 4 seats girls’, 4 seats boys’ and 2 seats

teachers’ latrine for schools

It

No.

Cost

item/compone

nt

Total cost CMP contribution Community

contribution

Amount

in Birr

% out

of grand

total

cost

Amount

in Birr

% out of

grand

total

cost

Amount

in Birr

% out of

grand

total

cost

1 Labor cost 54,229.21 31,318.16 22,911.05

2 Material cost

3 Hand tools cost

4 WASHCO

administration

related costs

4,500 4,500

5 Total cost

46

Of course when labor and material supply contact is awarded to contactors, the cost of the

construction will definitely be higher than the above estimate at least due to the inclusion of

contactors overhead and profit on materials cost.

Based on the detailed cost estimate prepared for school sanitation facilities shown in table 5

which has three blocks of latrines with a total of 10 seats, the cost for health post sanitation

facility which consists of two blocks with total 4 seats, an incinerator and a placenta pit can be

estimated as follows.

Total cost for health post sanitation facility = Total cost of 10 seat school

latrine/10 seats x 4 seats (number of seats for health post latrine) + cost for

incinerator + cost for placenta pit =

Institution(community) contribution for health post sanitation facility = ___

% x Total cost of health post sanitation facility =

CMP contribution for health post sanitation facility = Total cost of health post

sanitation facility – institution contribution for health post sanitation facility =

10 FUND TRANSFER AND CLOSING OF WASHCO’S CMP ACCOUNT (LEDGER)

The Fund Transfer Schedule will be included in the Funding Agreement. Depending on the

foreseen budget estimate, the transfer schedule will consist of 3 - 4 instalments (excluding the

retention payment). The Transfer schedule should be drafted so that it reflects the natural

progress of work. Model for such a schedule is provided in Annex T in the Generic CMP

Investment Fund Management Guideline.

An advance payment (= first instalment) will be made to the beneficiary by depositing the

amount into the WASHCO account opened by the authorized WASHCO member in a working FI

sub-branch.

Authorized WASHCO member may withdraw funds from FI account by submitting a CASH

TRANSFER & WITHDRAWAL AUTHORIZATION LETTER (model in Annex U in the Generic CMP

Investment Fund Management Guideline) signed by the woreda CMP account signatories.

Successive instalments will be made available to the beneficiary following a payment request.

The payment request has to be supported by the following documents:

1) WASHCO accounts (Annex N in the Generic CMP Investment Fund Management

Guideline)

2) Original receipts of the payments made by the WASHCO since the previous payment

request was submitted

3) FI Saving Pass Book of WASHCO. (If it is by ledger, this cannot be presented).

The CMP supervisor, with the support from the woreda health or education offices focal

persons in checking the receipts, will sign the accounts that he/she approves the accounts on

the date the accounts are presented. He/she will also prepare a Withdrawal Authorization

Letter to be signed by the woreda CMP account signatories. In exchange of original vouchers

and receipts, the Supervisor will issue a document (Annex S in the Generic CMP Investment

Fund Management Guideline), whereby he acknowledges one or several of the following:

47

a) he/she has seen the accounts

b) the accounts comply with the receipts shown to him/her

c) he/she has received original receipts of value XXXX (XXX being the total

value of receipts handed over to him/her at the moment of presenting the

payment request for the following instalment)

d) the total amount of original receipts forwarded to CMP supervisor correspond

to minimum 80 % of the value of the instalments received by the Beneficiary

by that date

e) the next instalment will be payable to institution’s account by XXXX date

Depositing the last instalment to WASHCO account is subject to WASHCO written request,

which shows the exact amount of last payments.

Upon the submission of the respective original receipts and/or cash, whenever the withdrawal

has exceeded the real eligible payments, the WASHCO should deposit the balance back into

the account in order to be discharged from the respective financial responsibility and the

account will be frozen/deactivated by FI until the due date of the eventual retention payments

and any balance therein will be transferred to Woreda CMP account.

Upon freezing the WASHCO’s account the amount of eventual retention payment if any to a

Contractor/Artisan will be calculated and a Contract Addendum stipulating the conditions for

retention payment by the WWT will be signed by the Agreement Parties.

11 RECORDS AND ACCOUNTS OF THE OPERATION

The WASHCO must keep accurate and regular records as well as separate and transparent

accounts of the implementation of the WASH facilities construction. The WASHCO must keep

their records in a safe place for five years after the end of the project. The original receipts

and accounts handed by the WASHCO to the custody of Woreda CMP supervisor will be kept in

the Woreda Water Office archive or other suitable and safe location for audit purposes.

It is advisable if the investment fund support to WASHCOs to include procurement of metal

cabinets to safely store their documents and records during & after construction.

12 AUDIT

The audit processes and procedures put in the Generic CMP Investment Fund Management

Guideline are also applicable for institutional sanitation implementation.

48

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