NationalEconomic
StrengtheningGuidelines
forVulnerablePopulations
September, 2017Addis Ababa, Ethiopia
Federal Democratic Republic of EthiopiaMinistry of Women’s and Children’s Affairs
Ministry of Labour and Social Affairs
Urban Job Creation and Food Security Agency
Federal HIV/AIDS
Prevention and Control Office
NationalEconomic
StrengtheningGuidelines
forVulnerablePopulations
September, 2017Addis Ababa, Ethiopia
Federal Democratic Republic of EthiopiaMinistry of Women’s and Children’s Affairs
Ministry of Labour and Social Affairs
Urban Job Creation and Food Security Agency
Federal HIV/AIDS
Prevention and Control Office
PRIMARY CONTRIBUTORS
1. Wro Almaz Hagos FHAPCO
2. Ato Kifle Mitiku FHAPCO
3. Ato Tsegaye Tilahun USAID
4. Ato Merid Mengesha MoLSA
5. Ato Getachew Taddese UJCFSA
6. Ato Getachew Kebede MoWCA
7. Ato Ensermu Legese FHAPCO
8. Ato Dereje Muluneh WFP
9. Ato Solomon Wole FHI360
10. Ato Yonas Mekonen FHI360
11. Dr. Afework Negash USAID
12. Ato Befikadu Ejeta FHI360
13. Ato Gobena Sobeka Pact
14. Ato Melese Yigerem Child Fund
15. Ato Abebe Bezabih PSI
OTHER CONTRIBUTORS
1. Ato Ahmed Jemal MoLSA
2. W/ro Atsedewoine Wuhabi FHAPCO
3. W/t Hiwot Shibiru FHAPCO
4. W/ro Tinos Kebede NNPWE
6. Ato Assefa Hailu CARE
7. W/ro Tsegalem Tibebe UJCFSA
Table of ContentAcknowledgement ..................................................................................................
Acronyms ...............................................................................................................
1. Introduction ............................................................................................................
1.1. Background ............................................................................................................
1.2. Development Process .............................................................................................
1.3. Context Analysis ....................................................................................................
1.3.1. Development and Policy Context ...........................................................................
1.3.2. Specific policies, strategies, and procedures for the most vulnerable households..
1.3.3. Poverty and Vulnerability Context .........................................................................
1.3.4. Responses of Different Actors to Poverty and Vulnerability .................................
1.3.5. Opportunities and Challenges ................................................................................
1.4. Conceptual Framework and Strategies for Economic Strengthening ....................
1.4.1. Provision .................................................................................................................
1.4.2. Protection ...............................................................................................................
1.4.3. Promotion ...............................................................................................................
1.5. Goal and Objectives of the Guidelines ...................................................................
1.6. Rationale for the Guidelines ...................................................................................
1.7. Who Should Use the Guidelines? ...........................................................................
1.8. How Should One Use the Guidelines? ...................................................................
1.9. Guiding Principles ..................................................................................................
2. Economic Strengthening Interventions ..................................................................
2.1. Provision Level Support .........................................................................................
2.1.1. Intervention: Unconditional (Soft Conditional) Cash or Asset Transfer ................
2.1.2. Intervention: Conditional Cash or Asset Transfer ..................................................
2.2. Protection-Level Support .......................................................................................
2.2.1. Intervention: Loss Management Livelihood Phase ................................................
2.2.2. Risk Reduction Livelihood Phase ..........................................................................
2.3. Promotion Level Support .......................................................................................
2.3.1. Income Stabilization Livelihood Phase ..................................................................
2.3.2. Income Growth Livelihood Phase ..........................................................................
2.3.3. Intervention: Establishment of Manufacturing or Service Enterprises ..................
2.4. Graduation Stage ....................................................................................................
2.4.1. Graduating Households ..........................................................................................
2.4.2. The Process of Graduation .....................................................................................
2.4.3. Minimum Activities ................................................................................................
2.5. Transforming Stage ................................................................................................
2.6. Entry and Exit Strategies of economic strengthening implementing partners .......
2.6.1. Entry Strategies ......................................................................................................
2.6.2. Exit Strategies ........................................................................................................
3. Monitoring, Evaluation and Reporting ...................................................................
3.1. Program Quality .....................................................................................................
3.2. Approaches to Monitoring and Evaluation ............................................................
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3.3. Economic Strengthening Monitoring and Evaluation Indicators ...........................
3.4. Reporting ................................................................................................................
4. Roles and Responsibilities of Stakeholders ...........................................................
4.1. Relevant Government Organizations at Federal Level ..........................................
4.2. Government and Non- governmental Organizations at Regional and Lower
Levels .....................................................................................................................
5. Cross Cutting Issues ...............................................................................................
5.1. Targeting Economic Vulnerability .........................................................................
5.2. Gender Mainstreaming ...........................................................................................
5.3. Knowledge Sharing and Information Management ...............................................
5.4. Capacity Development ...........................................................................................
5.5. ResourceAllocation and Utilization .......................................................................
5.6. Avoiding Stigma and Discrimination .....................................................................
5.7. ENVIRONMENTAL PROTECTION ....................................................................
6. Mainstreaming, Partnership, and Networking ........................................................
6.1. Mainstreaming ES Interventions ............................................................................
6.2. Partnership and Networking ...................................................................................
6.3. Coordination ...........................................................................................................
Glossary of Terms ..................................................................................................
References ..............................................................................................................
Contributors ............................................................................................................
Annex .....................................................................................................................
Disclaimer ..............................................................................................................
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Acknowledgement
We, the Federal HIV/AIDS Prevention and Control Office (FHAPCO), Ministry of Women and
Children Affairs (MoWCA), Ministry of Labor and Social Affairs (MoLSA) and the Urban Job
Creation and Food Security Agency (UJCFSA) would like to express our sincere appreciation for the
United States Agency for International Development (USAID) and the President’s Emergency Plan
for AIDS Relief (PEPFAR) for funding and providing technical assistance for the development of
the National Economic Strengthening Guidelines for Vulnerable Populations through its implementer,
FHI360’s Household Economic Strengthening Activity (HESA) project. FHI360’s HESA project had
taken the leadership of the logistical part of the consultancy service done and technically worked in
close collaboration with the members of the Economic Strengthening Technical Working Group
(TWG).
We would also like to thank the Care and Support Advisory Group members and Economic
Strengthening TWG members for their guidance, insightful feedbacks, and commitment during the
preparation of these guidelines.
Last, but not least, FHAPCO, MoWCA, MoLSA and UJCFSA acknowledge the participants of the
consultation and validation workshops for their continuous support and technical contribution during
the development of the guidelines.
Finally, we the undersigned representing the Government of the Federal Democratic Republic of
Ethiopia fully recognize each ministry’s, office’s and agency’s mandate and pledge our commitment
to support the implementation and achievement of the objectives of the Economic Strengthening
guidelines.
Acknowledgement
........................................................................................................
Ato Shallo Daba
Director General, Federal HIV/AIDS Prevention
and Control Office
........................................................................................................
W/ro Tadelech Dalicho
State Minister of Social and Labor Affairs
........................................................................................................
W/ro Alemitu Omot
State Minister of Women’s and Children’s Affairs
........................................................................................................
Ato Zenebe Kumo
Director General of Urban Job Creation and
Food Security Agency
Acknowledgementii
Acronyms and Abbreviations
ART Anti-Retroviral Therapy
BDS Business Development Service
BEE Business Enabling Environment
CBO Community-based Organization
CCC Community Care Coalition
CRC Convention on the Rights of the Child
CRS Catholic Relief Service
CSA Central Statistics Agency
CSI Child Support Index
ES Economic Strengthening
ESDP Education Sector Development Program
FBO Faith-Based Organization
FDRE Federal Democratic Republic of Ethiopia
FeMSEDA Federal Micro and Small Enterprise Development Agency
FHI 360 Family Health International
FHAPCO Federal HIV/AIDS Prevention and Control Office
GTP Growth and Transformation Plan
HDI Human Development Index
HESA Household Economic Strengthening Activity
HHEVA Household Economic Vulnerability Assessment
HES Household Economic Strengthening
HICOTS HESA International Consultancy and Training Service
HIV/AIDS Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome
HVC Highly Vulnerable Children
IGA Income-generating Activity
IP Implementing Partner
LIFT Livelihoods and Food Security Technical Assistance
MARP Most At-Risk Population
MDG Millennium Development Goal
M&E Monitoring and Evaluation
ME Microenterprise
MERL Monitoring, Evaluation, Research and Learning
MFI Microfinance Institution
MoANR Ministry of Agriculture and Natural Resources
MoE Ministry of Education
MoFEC Ministry of Finance and Economic Cooperation
MoH Ministry of Health
MoLSA Ministry of Labour and Social Affairs
Acronyms and Abbreviations iii
MOU Memorandum of Understanding
MoWCA Ministry of Women’s and Children’s Affairs
MoYS Ministry of Youth and Sport
MoUDH Ministry of Urban Development and Housing
MSME Micro, Small, and Medium Enterprise
MSE Micro and Small Enterprise
NEP+ Network of Networks HIV Positive in Ethiopia
NESG National Economic Strengthening Guidelines
NGO Nongovernment Organization
NSPP National Social Protection Policy
NSPS National Social Protection Strategy
PSSN Productive Social Safety Net Program
OVC Orphan and Vulnerable Children
PEPFAR President’s Emergency Plan for AIDS Relief
PLHIV People Living with HIV
PMTCT Prevention of Mother-to-Child Transmission
PPI Progress out of Poverty Index
PWD People with Disabilities
RPSNP Rural Productive Safety Net Program
SCA Savings and Credit Association
SG Savings Group
TVET Technical and Vocational Education and Training
TWG Technical Working Group
UJCFSA Urban Job Creation and Food Security Agency
UJCPSN Urban Job Creation and Productive Safety Net
UK United Kingdom
UN United Nations
UNDP United Nations Development Program
UNICEF United Nations Children’s Fund
UPSNP Urban Productive Safety Net Program
USA United States of America
USAID United States Agency for International Development
USD U.S. dollar
USNP Urban Safety Net Program
WFP World Food Programme
Acronyms and Abbreviationsiv
Introduction
Introduction 1
Section 1
1. INTRODUCTION
1.1. BACKGROUND
With a population of over 90 million growing annually at 2.6 percent, 1Ethiopia is the second-
most populous country in Africa. According to the Central Statistics Agency (CSA), the urban
population share from the total population will increase from 17 percent in 2008 to 20 percent
in 2016. The CSA estimates that the urban population is growing by 4.67 percent annually. Urban
population is expected to triple by 2034; 30 percent of the total population is expected to reside
in urban areas by 2028. It is also expected that about 11 percent of urban dwellers will be poor.2
The average annual per capita income was USD 691 in 2014 and the percentage of the
population living below the poverty line fell from nearly 38.7 percent in 2005 to 23.4 percent
in 2015.3 According to the UNDP’s Human Development Index (HDI), Ethiopia ranked 174
out of 188 countries in 2013.4 Although the overall HDI ranking for Ethiopia is low, there
have been improvements in areas such as life expectancy, school enrolment, employment,
maternal and child health, and disease burden, including significant progress in fighting the
HIV epidemic. To build on the achievements of the past two decades, a concerted effort is
needed to further improve as well as transform the health and socio-economic status of
Ethiopian communities.
The HIV epidemic has had a great impact on Ethiopia and other countries in Africa by
reducing life expectancy, increasing the mortality rate of working-age people, crippling health
care systems, and creating unstable economies. The Government of Ethiopia, donors, and
both local and international nongovernmental organizations (NGOs) have made tremendous
progress in combating the HIV/AIDS epidemic in Ethiopia, including reducing the HIV
prevalence rate from 2.4 percent in 2010 to (1.19) percent in 2017. Currently, 757,919 persons
(Male 297,002 and female 460,917) are estimated to be living with HIV, including (74,636
children). Due to the introduction of anti-retroviral therapy (ART), the annual deaths caused
by AIDS have declined from nearly 100,000 in 2004 to approximately 10,928 in 2017. The
total number of orphans, both due to HIV and non-HIV factors, also fell by more than 30
percent (from 5,459,139 in 2008 to 3,756,001 in 2015).5
On the other hand, building people’s awareness, knowledge and skills to understand what
HIV services are available, what their rights are to access them, how to access them, are basic
rights that Ethiopians should get and should be supported through economic strengthening
activities in order to win poverty and lead their livelihood. The government of Ethiopia is
committed to equity of resources and respects the right of communities to participate in
bringing about change in their own lives and support them to identify the skills and capacity
they need to both develop their rights-based HIV programmes and exercise their voice in
decision-making and policy spaces.
Given the complexity of the HIV epidemic, a number of strategies, tools, and guidelines have
been developed over the years to effectively lead, standardize, and scale up response
strategies, including economic strengthening (ES). ES interventions are used to help
vulnerable populations attain sufficient economic security to avoid behaviors that put them
at risk of HIV infection, or if they are living with the disease, to access and adhere to treatment
and care. However, a desk review performed by Federal HIV/AIDS Prevention and Control
Office (FHAPCO) and FHI 360 revealed that national guidelines and supporting tools for ES
interventions are lacking.
The impacts of ES on improving the livelihood of vulnerable households and communities
have been widely articulated in various studies. Although not in a standardized manner,
various organizations have designed and implemented a wide array of ES interventions in
National Economic Strengthening Guidelines for Vulnerable Populations; February, 20172
Ethiopia. The absence of a standard framework has resulted in a diversity of approaches,
making it difficult to replicate and scale up ES programming efficiently and effectively.
Therefore, these guidelines aim to guide policy makers and implementers in designing as
well as promoting standardized ES approaches. In addition, the guidelines will contribute to
the ambitious agenda outlined by PEPFAR to achieve the Joint United Nations Programme
on HIV/AIDS (UNAIDS) 90-90-90 goals: by 2020, 90% of people living with HIV (PLHIV)
will be diagnosed, 90% of those diagnosed will be on antiretroviral therapy (ART), and 90%
of those on ART will be virally suppressed.
This document has six sections. This section introduces key definitions and the ES conceptual
framework. Section two describes ES intervention phases, stages, and entry and exit
strategies. Section three discusses monitoring and evaluation for ES interventions. Sections
four to six deal with key stakeholders’ roles and responsibilities; cross-cutting issues; and
mainstreaming, partnership, and networking respectively. Annexed to this document is: The
Household Economic Vulnerability Assessment (HHEVA) tool.
1.2. DEVELOPMENT PROCESS
Before developing these guidelines, FHAPCO and FHI 360’s HESA project assessed existing
ES guidelines in Ethiopia and consulted responsible government sector leaders, including
FHAPCO (Director General & Deputy Director General), the Ministry of Women and
Children Affairs (state Minister), the Ministry of Labor and Social Affairs (Director of the
Social Welfare Development Promotion Directorate) and FeMSEDA, now Urban Job
Creation and Food Security Agency, (Deputy Director) to discuss on the need of developing
an agreed, comprehensive, and uniform national economic strengthening guidelines.
First, we conducted an assessment of existing guidelines. We then conducted a half-day
meeting with the above sector officials to present the assessment report. The officials agreed
on the need for a comprehensive national economic strengthening guidelines, delegated
FHAPCO to continue coordinating the development process, and assigned professionals from
each organization to work on the guidelines. An Economic Strengthening Guideline Technical
Working Group (TWG) was established, including members from the above-mentioned
sectors, the National Care and Support Advisory Group, TVET institutions, Network of
Networks HIV Positive in Ethiopia (NEP+), and implementing partners who had experience
in ES. The TWG conducted series of meetings to support the development process, then
solicited proposals from outside firms to draft the guidelines. HESA International Consultancy
and Training Service (HICOTS) PLC was selected. With the intensive support from the TWG,
HICOTS developed the draft of the guidelines, which was presented at a validation workshop
in March 2017 with representatives from pertinent federal and regional government offices
and development partners. Their inputs were incorporated into the document, resulting in a
final draft of the Economic Strengthening Guidelines for Vulnerable Populations.
1.3. CONTEXT ANALYSIS
1.3.1. Development and Policy Context
The Government of Ethiopia has designed and implemented several multi-sectoral poverty
reduction policies and strategies, such as the Growth and Transformation Plan (GTP-1:
2010/11–2014/15), which set a goal for Ethiopia to become a middle-income country by
2025. Today, Ethiopia is one of the fastest growing economies in sub-Saharan Africa and has
successfully achieved six of the eight Millennium Development Goals (MDGs).6
Introduction 3
Based on the lessons learned from the implementation of GTP-1, the country has launched
GTP-2 (2015/2016–2020/2021), which gives priority to agriculture and industry as drivers
of sustained economic growth and export earnings. In addition, human resource development
has been accorded top priority in GTP-2. Development-partner-driven programs, including
ES interventions, are expected by the Government of FDRE to broadly align with GTP-2
priorities in various forms, such as promotion of social protection, urban safety net and job
creation policies, and strategies aimed at reducing poverty and addressing the needs of the
most vulnerable groups.
1.3.2. Specific policies, strategies, and procedures for the most vulnerable
households
According to the Article 41 of the Constitution of the Federal Democratic Republic of
Ethiopia (“Economic, social and cultural rights”), every Ethiopian national has the right to
engage in economic activities and pursue the occupation of her/his choice and to have equal
access to publicly-funded social services. The Constitution also obligates the government to:
• allocate resources to provide rehabilitation and assistance to children who are left
without parents or guardians, and
• expand job opportunities for the unemployed and the poor, including through
programs and public works projects.
Based on the Constitution’s provisions, the Government of Ethiopia has issued and
implemented various policies, regulations and action plans to address the needs of vulnerable
groups, including the following:
• Ethiopian Women and Children Development Plan (2010)
• Alternative Child Care Guidelines (2009)
• National Policy Framework for Early Childhood Care and Education (2010)
• Standards Service Delivery Guideline for Orphan and Vulnerable Children’s (OVC)
Care and Support Programs (2011)
• Proclamation No. 568/2008 providing for the right to employment of people with
disabilities, the National Plan of Action of Persons with Disabilities (2012–2021)
• Multi-Sectoral HIV/AIDS Policy (1997)
• National Youth Policy (2004)
• National Youth Livelihood Program Development Guideline (2014)
• Community Level Care and Support Services Delivery Guideline for PLHIV and
Affected Families (2013)
• Community Level Care and Support Services for People Living with HIV and
Affected Families (Implementation Manual) (2015)
• National Social Protection Policy (2015)
• Urban Safety Net Program (USNP)
1.3.3. Poverty and Vulnerability Context
Several studies have concluded that the policies and strategies mentioned above have
contributed to the reduction of poverty in Ethiopia.7 Another key policy document that
i The MoLSA document uses “protective” as the name for this category, however internationally the preferred label is “provision,” which
has the advantage of avoiding confusion between this and the next category labeled “protection.” Throughout the remainder of these
guidelines, we employ “provision” in place of “protective.”
addresses vulnerability issues is the National Social Protection Policy (NSPP) of the Ministry
of Labour and Social Affairs (MoLSA). In this policy document, vulnerable households have
been broadly categorized per the types of interventions appropriate to meet their economic
needs. These categories can be used to prioritize households for social protection coverage
based on their need. These categories are summarized as follows:
1) Protectivei: Households in need of protective interventions are destitute and
require relief from economic deprivation. They are typically food insecure and
require basic social services such as removing fees and other barriers to school
and health services.
2) Protection: Interventions in this category are appropriate for households
classified as strugglers who require systemic support (health insurance,
unemployment insurance, employment promotion, savings, etc.) to protect against
risks and shocks, and to prevent them from reverting back to destitution.
3) Promotion/Transformation: Interventions in this category are for households
broadly defined as growing and focused on enhancing income, skills development,
and provision of credit.
Per NSPP, these categories are not mutually exclusive and households that are categorized
in one group may also face challenges mentioned for one of the other two groups.8
Households may be vulnerable for various reasons, including physical, psychological, health,
social, and economic conditions. In addition, households may be highly vulnerable to poverty
if they are characterized by one or more of the following: large family size, low educational
attainment, lacking in capital assets that can be converted easily into cash, and lacking social
networks.
1.3.4. Responses of Different Actors to Poverty and Vulnerability
The Government of Ethiopia, NGOs, clan leaders, Faith Based Organizations, private sector
firms and communities have implemented mechanisms to reduce poverty and vulnerability
in Ethiopia.
1.3.4.1.Government of Ethiopia
The Government of Ethiopia has taken the lead role in promoting actions to reduce poverty
by addressing multiple dimensions of poverty such as disease burden, illiteracy, food
insecurity, unemployment and others. To address the multiple facets of poverty, MoLSA
issued the NSPP and corresponding strategy in 2015. The Ministry of Urban Development
and Housing (MoUDH) has also established in 2016 the Urban Job Creation and Food
Security Agency (UJCFSA).
1.3.4.2.Bilateral and Multilateral Agencies and NGO Partners
Bilateral and multilateral agencies such as USAID, World Food Programme (WFP), and other
UN agencies have invested significant amounts of technical and financial resources to address
the needs of poor and vulnerable populations in the country. These agencies, and the local
NGOs and CBOs that implement the programs they fund, have played an important role in
poverty reduction. However, it is problematic to compare the effectiveness of these
interventions due to differences in ES implementation standards as well as duplication in
targeting of beneficiaries.
Introduction 5
1.3.4.3.Community Care Coalition
Community platforms such as the Community Care Coalition (CCC) is another social support
mechanism that recently emerged at the community level; the government is now scaling up
the CCC structure in communities of all regional states. The CCCs consist of volunteers and
representatives from civil society organizations, faith-based organizations, government, and
NGOs operating at the community or kebele level (the lowest administrative unit). The main
objective of a CCC is to create a coordinated system that enables a community to engage in
actions to address and respond to the root causes of social problems. They also provide technical
guidance, for instance on nutrition assessment and counselling, and support organizations in
implementing projects at the grassroots level. For example, CCCs mobilize resources from the
local community, including the private sector, through direct and in-kind support. Due to their
strong links to the community and intimate knowledge of households they support, CCCs play
an important role in identifying the most vulnerable households and providing necessary
technical and financial support, utilizing the resources mobilized through referral networks.
1.3.4.4.Communities
Community-based social support systems play a significant role in addressing the needs of
households, particularly those classified as destitute and strugglers. This support system
includes women and youth associations, faith-based organizations, and prominent community
leaders, as well as informal establishments such as Iquib (established by a small group of
people to provide substantial rotating funding in a form of loans) and Idirs (established among
neighbors to raise funds to respond to family/household emergencies). Such support systems,
widely utilized in both urban and rural settings, often provide the first line of response to
shocks experienced by individuals and communities.9
1.3.5. Opportunities and Challenges
The efforts made by the Government of FDRE, communities and development partners at
the grassroots level have brought commendable results, including higher school enrolment
rates, reduced infant and child mortality, and greater engagement in small- and micro
enterprises, among others. However, there still are large numbers of poor and vulnerable
households unreached by either the government or community support systems such as the
CCC, due to the lack of robust coordination mechanisms and economic challenges to
implement at scale.
To close this gap, bilateral and multilateral agencies, and local and international NGOs should
be encouraged to partner with the Government of FDRE, CCCs, faith-based organizations,
and other community-level structures to further address the needs of poor and vulnerable
populations. Such collaborations will confront many challenges, but will also provide many
opportunities, as briefly summarized below.
1.3.5.1.Opportunity - Conducive environment
Livelihoods of poor and vulnerable households depend not only on their own capacities and
the support they receive, but also on conducive economic policies and programs. In this
regard, the Government of FDRE has designed various enabling policies, strategies,
programs, and projects to promote growth and development:
• The National Social Protection Strategy (NSPS) of Ethiopia articulates how support
should be provided to people who are vulnerable to shocks and natural disasters,
particularly in rural areas, as well as urban residents who face food price inflation,
unemployment, and other economic shocks.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 20176
• The promotion of micro and small enterprises has created an environment that
enables individuals to become entrepreneurs by enhancing access to loans,
agricultural inputs, technical support, and markets. These efforts will be further
enhanced by the NSPP and UJCPSN programs.
• The Agricultural Development-Led Industrialization Strategy has enhanced the
development and productivity of the agriculture sector to improve national
economic development, income growth, and employment.
1.3.5.2.Opportunity - Urbanization and infrastructure development
• During the last decade, Ethiopia has experienced significant urbanization and
substantial expansion in infrastructure such as water and electricity systems, roads,
and communications, particularly mobile phone penetration. These improvements
have great potential to improve livelihoods and expand access to markets and
information.
1.3.5.3.Opportunity - The involvement of more actors in ES programs
The growing numbers of community-based support programs like CCCs are paving the way
to address the needs of poor and vulnerable populations in Ethiopia.
1.3.5.4.Challenges
• Urban poverty is highly complex and unique from rural poverty. Addressing the
dynamics of urban poverty, including the mutually-reinforcing effects of social
inequality and deprivation, is a challenge to be faced in the short to medium term.
• Many poor and vulnerable populations are living in large cities where there is a
shortage of ES support.
• Reaching remote populations in difficult-to-reach geographic locations is a
challenge for ES programs.
• ES programs can be expensive to implement, so they often face budgetary challenges.
• Weak or limited infrastructure is a challenge for scaling up ES programs.
• Harmful traditional practices can limit the effectiveness of ES programming, such
as those related to gender inequality and child protection.
1.4. CONCEPTUAL FRAMEWORK AND STRATEGIES FOR
ECONOMIC STRENGTHENING
Economic strengthening is defined as a portfolio of strategies and interventions that supply,
protect, and/or grow physical, natural, financial, human, and social assets. The Livelihoods
and Food Security Technical Assistance (LIFT) project of FHI 360 has defined ES at the
individual or household level as follows:
Household economic strengthening (HES) is the process by which individuals and
households improve their living conditions by participating in any number of
activities that increase assets (physical, financial, human or social) and/or their
capacity to obtain them. Non-Governmental Organizations (NGOs) and Community
Based Organizations (CBOs) often facilitate HES activities to reduce poverty and
improve the overall welfare of individuals, households and communities.10
Introduction 7
A literature review identified different types of ES frameworks and pathways. However,
among them, the conceptual framework developed by LIFT (Figure 1) has been selected for
its clarity. The framework depicts three types of ES support — provision, protection, and
promotion―along with the corresponding coping mechanisms/livelihood strategies,
livelihood objectives, and potential livelihood interventions. The framework also shows how
targeted households can be categorized into five levels of decreasing vulnerability associated
with five livelihoods phases ― destitution/distress, loss management, risk reduction, income
stabilization, and income growth. As a household moves up the livelihoods pathway, its
vulnerability decreases, its livelihood yields more income and grows more robust, and its
food security improves. The relationship of this conceptual framework with Ethiopian social
protection and other types of ES support, policies, and strategies is briefly discussed next.
1.4.1. Provision
The first livelihood phase is known as destitution/distress, which reflects that the household
is highly vulnerable in terms of its economic capacity. In this phase, the household’s coping
mechanisms or livelihoods strategies might encompass activities such as seeking charity,
migrating under distress, going without food, and engaging in transactional or commercial
sex. Those households living in such a situation are categorized as destitute and distressed.
They can be supported effectively through asset transfers, including the direct supply of food,
cash (through conditional and unconditional transfers), health care and social services, and
other essential requirements. The support provided to these households is known as
“provision” and aims to enable them to establish some assets and stabilize their consumption.
The recommended support to be provided to households in the Provision stage is compatible
with the Ethiopian Social Protection Policy and the National Social Protection Strategy of
Ethiopia. Both documents clearly stipulate that the Government of Ethiopia will support those
people who are vulnerable to shocks such as drought and floods, particularly in rural areas,
as well as urban residents who face food price inflation, unemployment, and other economic
shocks.
The government, through the leadership of MoUDH, will provide support for the targeted
population under the UJCPSN program. As stipulated in the social protection policy and its
corresponding strategy, the government will, among other actions, implement interventions,
including unconditional cash transfers, conditional cash transfers (non-work conditions),
public works, and scalable instruments to respond to shocks.
1.4.2. Protection
Protection-level support includes interventions that help households to maintain and/or build
their capacity to reduce risk and cope with shocks and stresses by smoothing household
consumption or income, managing household cash flows and building protective assets.
Households provided Protection-level support¬ fall into two categories. The first category
consists of households in the loss management livelihood phase. To cope with stress, these
households engage in selling their productive assets, borrowing informally at high interest
rates, and other coping mechanisms that further reduce their spending and food consumption.
Households in this phase are supported through an income-based safety net created by
improving access to credit and savings, microinsurance, and strengthened social safety nets,
among others. These supports enable the households to protect key assets.
The second category in the Protection level involves those households that have accumulated
some assets and are taking measures to reduce risks to shocks. When faced with a shock or
National Economic Strengthening Guidelines for Vulnerable Populations; February, 20178
stress, such households sell their reversible assets, seek wage labor, migrate to another place
for work, and borrow to cope with livelihood hardships. The pertinent interventions for these
households are strengthening social networks, provision of financial literacy, and providing
access to credit and saving schemes. Support for these households aims to build their
capacities to smooth consumption and to increase their skill in managing their cash flow.
The Social Protection Policy and its corresponding strategy state that the government will
provide support under Focus Area 2: Livelihood and employment promotion. The
interventions to be implemented by the government under this focus area include (a) technical
support to on- and off-farm livelihoods activities of poor households in rural and urban areas,
(b) employment services and standards for rural and urban people, and (c) financial services
for poor households.
1.4.3. Promotion
Promotion-level support involves activities to stabilize or increase household income and
build productive assets by improving the ability of household members to identify and seize
employment and self-employment opportunities. At this level, there are two livelihood phases.
The first―income stabilization―is where households engage in low risk, low return income-
generating activities (IGAs), gradually diversifying their sources of income and building
productive assets. To boost the household income and promote asset growth, interventions
may include providing access to credit and saving, supplying business development services,
facilitating the identification of and participation in business and social networks, and backing
microenterprise development.
The second livelihood phase―income growth―pertains to households that can engage in
high-risk and high-return businesses to rapidly and significantly expand their income and
consumption. The pertinent interventions for households at this stage are workforce
development, access to savings and credit, encouraging start-up of micro, small, and medium
enterprise, and provision of business development services.
By following ES conceptual framework (see next Page), programs can design and implement
ES interventions to help the beneficiary households graduate from ES support.
As indicated in previous sections, the government has developed a policy and strategy to address
vulnerable populations. The livelihood support framework cited in the National Social
Protection Strategy of Ethiopia defines target populations under different livelihood phases in
relation to relevant intervention mechanisms. The types and levels of support relate to the three
basic livelihood phases indicated in international literatures. This makes the use of the livelihood
and food security framework informing the development of these guidelines. Table 1
summarizes the intervention areas under the National Social Protection Strategy of Ethiopia.
Introduction 9
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Table 1. Focus Intervention Areas under the National Social Protection Strategy of Ethiopia
Source: National Social Protection Strategy of Ethiopia (Final Draft)
* = Focus areas under the National Social Protection Strategy of Ethiopia
Focus area 1 = Social Safety net
Focus area 2 = Livelihood and Employment Schemes
Focus area 3 = Social Insurance
Focus area 4 = Addressing inequalities of access to basic services
Focus area 5 = Addressing violence abuse and providing legal protection and legal suppor
Introduction 11
potential
target groups
Broad indications oF
intervention types
Focus
areas*
Children under difficult circumstances (e.g., orphans,
street children).
Conditional social transfers (including school
feeding) to enable them to attend school.1, 4
Vulnerable pregnant and lactating women.Unconditional transfers only for a limited period of
time; employment and livelihood.1, 2
People/children with physical and mental disabilities. Unconditional transfers; special needs schooling. 1, 4
Elderly living alone with no care and support.
Unconditional transfers; psychosocial support
provided through either formal (e.g., social workers)
or community-based mechanisms (e.g., CCC, Idir).1, 4
Labour-constrained citizens, female-headed
households in particular.
Employment opportunities through public works;
progress to employment and diversified livelihoods. 1, 2
Victims of social problems such as beggars,
commercial sex workers, drug and medicine
addicted.
Conditional transfers (e.g., skills training);
rehabilitation through psychosocial support.1, 4
Citizens affected by HIV and AIDS and other chronic
diseases that constrain their ability to work.
Conditional transfers for a period of time;
employment and livelihood opportunities.1, 2
Segments of the society vulnerable to violence and
abuse.
Counselling, legal support, employment, and
livelihood opportunities and conditional transfers for
a limited time. 5, 2, 1
Segments of the society vulnerable to natural and
manmade risks.
Humanitarian assistance; employment through
public works; sustainable employment and
livelihoods.1, 2
Unemployed men, women, and youth. Employment and livelihoods. 2
Citizens engaged in the informal sector who lack
social insurance coverage.Social and community-based health insurance. 3
Victims of human trafficking and repatriated
emigrants.
Short term transfers; psychosocial support;
employment and livelihood.1,5,2
1.5. GOAL AND OBJECTIVES OF THE GUIDELINES
The overall goal of the National Economic Strengthening Guidelines for Vulnerable
Populations is to standardize the implementation of ES interventions to ensure cost-effective
and sustainable efforts to help individuals and households improve their livelihoods so they
can avoid behaviors that increase their risk of contracting HIV, support orphans and
vulnerable children in their care, and—if HIV-positive—live healthfully with HIV/AIDS.
The objectives of these guidelines are:
1) To provide ES implementing partners with implementation standards,
2) To frame and harmonize the roles played by different stakeholders in improving
the quality of ES services, and
3) To guide service delivery in ways that help households protect and expand their
asset base through sustainable microenterprises.
1.6. RATIONALE FOR THE GUIDELINES
The Government of FDRE has issued policies, strategies, and procedures to create an enabling
environment for organizations to provide ES support to poor and vulnerable communities.
In addition, the government provides direct support to vulnerable Ethiopians. The
Government of FDRE is making important advances in ES programming by putting in place
policies and programs to support women, children, youth, people with disabilities, elderly
people, etc., and by engaging other partners.
Under government leadership, a number of national and international NGOs, including
USAID/PEPFAR-funded programs, have been providing ES support to individuals and
households who are infected and affected by HIV to enable them to meet their basic needs
and improve their livelihoods. In the absence of national guidelines to define standards and
common approaches, almost all development partners have been using their own ES
guidelines or procedures when providing ES support. Consequently, different ES approaches
have prevailed in Ethiopia, making it challenging for the government to monitor ES
interventions and compare their costs and benefits to inform large-scale, government-
supported interventions.
To be useful, these guidelines are designed to be broad enough to address the needs of poor
and vulnerable populations, particularly those who are affected and infected by HIV and AIDS,
and to serve as a vital instrument to guide implementers to achieve ES objectives more
effectively. The guidelines are also aligned with the National Social Protection Policy (NSPP)
developed and administered by MoLSA and the Urban Productive Safety Net Program
(UPSNP) under MoUDH. The guidelines are useful because a) they help the government
coordinate and lead services in a standard and replicable manner; (b) provide a quick reference
for development partners to design, implement, monitor, and evaluate their ES interventions
in ways that permit comparisons and promote collaborative learning, as well as to identify and
scale up cost-effective and sustainable practices; (c) help to create and strengthen collaboration
within the network of ES intervention implementers and government organizations and avoid
duplication of efforts; and (d) ensure mutual accountability, transparency and equity in quality
service provision among all stakeholders, including beneficiaries.
1.7. WHO SHOULD USE THE GUIDELINES?
The guidelines serve government, NGOs and development partners who design, implement,
monitor, and coordinate ES interventions for households infected and affected by HIV and
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201712
AIDS and are living in resource-limited settings. The guidelines are broad enough to be
utilized by implementers serving a range of households that are socio-economically
vulnerable.
From this perspective, the following stakeholders working on ES activities are expected to
be potential users of these guidelines:
• Government sectors such as: MoH/FHAPCO, MoLSA, MoWCA, MoYS, UJCFSA,
MoANR, MoFEC, Micro Finance Institutions, Cooperatives, Municipality/City
Administrations at all levels and others.
• Multilateral and bi-lateral organizations.
• Local NGOs, FBOs, CCCs, CBOs, beneficiaries and international NGOs engaged
in ES implementation in Ethiopia.
1.8. HOW SHOULD ONE USE THE GUIDELINES?
Economic Strengthening intervention partners can use these guidelines to assess and guide
their target households as well as in planning, executing, carrying out monitoring and
evaluation, and creating effective networks and partnerships in ES interventions. Users should
adapt and adhere to the guidelines based on the types of beneficiaries they serve. Other
stakeholders may use these guidelines to guide them in evaluating and scaling up ES
initiatives.
1.9. GUIDING PRINCIPLES
In managing ES interventions, stakeholders/partners will be guided by the following
principles:
Table 2. Guiding Principles
Introduction 13
principle description
QualityAll ES interventions should always meet the highest attainable quality standards
to maximize the wellbeing of beneficiaries.
Equity
Access to ES support should be equitable without any discrimination based on
gender, disability, religion, ethnicity, HIV status, age, etc. Every eligible beneficiary
group and/or individual should be included in the ES support programs.
Priority for vulnerable groups of
the population
Notwithstanding the principle of “Equity,” priority should be given for vulnerable
groups of the population.
Human rights ES support providers must uphold the rights of all persons.
CollaborationWhile implementing ES interventions, all stakeholders must work in a coordinated
manner, focusing on the realization of the same goal.
IntegrationAll types of ES support interventions should be integrated with the prevailing
government policies, strategies, and programs at all times.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201714
principle description
Focus on beneficiaries’ needs
Be household-centered. The ES intervention support provided to people who are
infected and affected by HIV/AIDS must be comprehensive and broad enough to
address the needs and expectations of the beneficiaries.
Inclusiveness
ES interventions should adhere to the principle of gender and disability
inclusiveness and other disadvantaged groups in the selection of and overall
support to beneficiaries. Also, implementers should include all stakeholders who
have the potential resources and are interested to contribute to ES initiatives, as
well as ensure inclusiveness of the services to be provided to beneficiaries at all
stages of the intervention processes.
Respect Beneficiaries and their households should be respected.
ConfidentialityAll information provided by the beneficiary or related to members of her or his
household should be kept confidential unless disclosure is demanded by a court.
Participation
ES beneficiaries should participate in identifying their needs, preparing action plans,
and monitoring and evaluation. This participation will enhance the quality of the
intervention and help to ensure that supports are being provided according to the
needs and wants of beneficiaries.
Coordination
Since ES interventions are often carried out by many organizations, implementers
and funders should identify the support gaps and fill the gaps by coordinating their
efforts.
Evidence based
ES interventions should be selected based on existing evidence of effectiveness.
Implementers should conduct assessments and operations research to inform their
interventions.
TransparencyCommunities and households should be aware of the criteria used to select ES
participants and who has been selected according to these criteria.
Results-oriented Implementers should define and track the expected livelihood outcomes for their
interventions and ensure that programs are designed to reach these outcomes.
Minimize risk and vulnerability
Provision of ES services to economically vulnerable populations should seek to
prevent further vulnerability. Programs should adhere to consistent application of
the standards within the agreed up on provisions. To minimize risk, ES intervention
implementers should seek community input, including targeted beneficiaries, and
engage stakeholders at all levels.
Community participation and
engagement
ES intervention program implementers should engage all stakeholders ensuring
community participation by actively seeking their inputs at all levels in order to
increase the role of the community and also minimize risk of ES intervention
programs.
Accountability ES service providers should be accountable to the relevant government
organizations as well as to the community.
Sustainability
Interventions should be designed and implemented to ensure that there is a
sustainable system of management and source of resources for the foreseeable
future.
Economic Strengthening Interventions 15
Economic
Strengthening
Interventions
Section 2
2. ECONOMIC STRENGTHENING INTERVENTIONS
Economic strengthening interventions are designed to reduce the economic vulnerability of
households and empower them to meet the essential needs of their members, especially the
women, children and youth in their care. 11ES interventions help participants to identify and
reduce risks, stabilize incomes and build assets, and take advantage of available economic
opportunities. Expected outcomes from these activities include improvements in the economic
position and general wellbeing of all household members, as well as gain in children’s
education and health.
The goal of ES is to promote household self-reliance and to reduce dependency on
government and donor support. These guidelines promote a livelihoods pathway approach
(as described in the preceding section) to achieve greater household self-reliance. They also
detail the need for and provision of services such as cash transfers and food aid to meet basic
consumption needs. The guidelines do not include detailed implementation activities, which
may be addressed in a separate implementation manual.
The sub-sections below describe the different types of ES interventions and their respective
beneficiaries.
2.1. PROVISION LEVEL SUPPORT
Interventions at Destitution/Distress Livelihood Phase: Asset transfers and social services
This is the first stage under the social protection interventions intended to support households
living in acute poverty or at the destitution/distress level. A household is said to be at the
level of acute poverty if, and only if, it is living in destitution and unable to meet the most
basic necessities such as food. At this stage, households should be provided with social
assistance such as unconditional and conditional cash transfers, cash for work payments, food
and nutritional support, material support, and other asset transfers and social services. These
supports will help the households to obtain relief from their critical economic problems, thus
helping them to meet their basic needs, reduce their food insecurity, and lower their economic
vulnerability.
In general, a household should be classified as destitute if one or more of the following criteria
apply:
• Has extreme food insecurity and trouble paying for basic necessities (such as food).
• Has no discernible or predictable source of income but potentially a lot of debt that
may not be repaid.
• Has no tangible or liquid asset.
• Lacks a breadwinner or is labor-constrained―i.e., there are no able-bodied adults
who can earn income.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201716
Care should be taken to understand whether this situation is chronic (whether
the household has been in this situation for years), transient (the household
cycles in and out of this situation, possibly in step with the agricultural
calendar), or acute (the household has only been in this situation for a few
weeks/months, possibly due to a severe shock).
2.1.1. Intervention: Unconditional (Soft Conditional) Cash or Asset Transfer
An unconditional cash or asset transfer is cash or in-kind support provided to targeted
households without pre-conditions. It includes the following:
• direct cash support
• in kind support
Although cash or asset transfer may generally be unconditional, sometimes beneficiaries may
be asked to carry out some activities; these are considered soft conditions. Soft conditions
are not binding to receive the allocated supports; however, the household will likely derive
benefit from meeting these conditions and will be encouraged to do so. Using behavior change
communication techniques can help implementers appeal to the targeted household’s values
and beliefs to encourage households to fulfil the requested conditions. For instance, targeted
households may be informed and advised to send their children to school, protect children
from hazardous work, avoid stressful conditions for pregnant or lactating (up to 12 months)
mothers and primary caregivers of malnourished children under the age of 5. In this respect,
these household members will be expected to participate in the core elements of the health
extension program in return for being provided direct cash or asset support.
2.1.1.1.Criteria for targeting beneficiaries
The main criterion for receiving unconditional cash transfer benefit is the inability to engage
in any type of employment or income-generating activity because of severe disability, poor
health, old age, etc. The following households are eligible for unconditional cash or asset
transfer support:
• elderly caregivers;
• people living with HIV (PLHIV) of all ages who are poor and at the symptomatic
stages;
• child-headed households;
• bedridden people;
• elderly people;
• persons with severe disability;
• destitute women, widows and women-headed households;
• poor households with large family size;
• pregnant and lactating poor women;
• orphans and vulnerable children, including poverty-driven school drop outs;
• others, identified based on the HHEVA tool.
2.1.1.2.Steps to be taken
Implementing partners should take the following steps to provide support for the above-
mentioned target populations:
a) Sign an MOU with the pertinent government organization(s) on the type and extent
of support to be provided.
b) Communicate to the CCC at the woreda where the implementing organization
wants to provide support and explain the type of intervention planned.
Economic Strengthening Interventions 17
c) Where there is no CCC, communicate to the pertinent government organization(s)
at the woreda where the implementing organization wants to provide support and
explain the type of intervention planned.
d) Conduct a study in consultation with the CCC or the pertinent government
organization(s) on the type and extent of support to be provided for each
household.
e) Prepare an implementation plan with the CCC or the relevant government
organization(s).
f) Develop a transition strategy with the CCC or the pertinent government
organization(s) as households move from destitute to other levels, when they
graduate, or when the project ends.
g) Assign a professional with expertise in economics, development, business, or
accounting and finance to coordinate, lead, and facilitate the ES support,
h) Provide timely training on ES for staff implementing interventions.
2.1.1.3.Minimum activities
The following are the minimum activities should be carried out by implementing partners
and their coalitions:
a) Identify the eligible households―particularly those with members living with or
affected by HIV/AIDS―in collaboration with the CCC or the responsible
government organization(s), using the Household Economic Vulnerability
Assessment (HHEVA) tool annexed to these guidelines.
b) Prepare and apply a questionnaire to profile supported households.
c) Develop and maintain a case file for each household supported.
d) Encourage the participating households to send their children to school.
e) Allocate funds for an unconditional cash transfer program.
f) Ensure that no child in the household is engaged in hazardous activities.
g) Provide an unconditional cash transfer to eligible households.
h) Record every support provided on the registration card prepared for this purpose.
i) Build the capacity of the targeted households to manage the cash they are provided.
j) Monitor the livelihood situations of the households jointly with the CCC and other
pertinent government organization(s).
k) Assess the eligibility of households for the next support level based on pre-set
criteria determined in collaboration with the CCC or pertinent government
organization(s) using the HHEVA tool.
l) Transfer the households to the next support level.
Among the households enrolled in the support program, some may leave, either
by choice or due to death. It will be important to identify eligible households to
replace those who have left the program.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201718
2.1.2. Intervention: Conditional Cash or Asset Transfer
Conditional cash or asset transfer support shall be provided to a household that for a brief
period cannot engage in any economic activity or only can participate in an economic activity
for a limited time each day. Members of such households must meet some conditions to
receive cash or asset transfer support. For example, although women in such households
almost always must shoulder a heavy burden of unpaid household work such as fetching
water, cooking, and cleaning, they nevertheless should do some work outside the household
in exchange for ES support. Therefore, instead of providing them with direct cash or asset
transfer, it is advisable to engage them in public work for a few hours in the day, but for less
time than a male participant would spend to receive the same-sized cash or asset transfer
(single fathers, such as widowers, and who are primary caregivers, also should have their
hours reduced when their circumstances and responsibilities are similar to those generally
faced by women). For those caregivers with children of primary school age, educational
support materials shall be provided based on the Child Status Index assessment findings, a
tool to gather and assess the needs and well-being of a child. The caregivers shall be
compelled to send the child to school to receive this support.
2.1.2.1.Target beneficiaries
The main eligibility criterion for conditional cash transfer is the temporary in ability to be
engaged in any normal economic activities, but can be engaged for a limited time in the day
or once they got the transfers. Accordingly, the following households are eligible for
conditional cash or asset transfer support:
• poor women but cannot be engaged in any activity for various reasons (pregnant, lactating—
first 12 months);
• PLHIV of all ages but in poor health;
• persons with disability;
• OVC/HVC caregivers;
• older OVC;
• vulnerable adolescent girls;
• drug addicts under rehabilitation;
• sexually exploited/abused women who need to work now.
2.1.2.2.Steps to be taken
Follow steps a) through h) mentioned under 2.1.1.2.
2.1.2.3.Minimum Activities
These are the minimum activities expected to be executed for identifying targeted beneficiary
households:
a) Implement all minimum activities mentioned under 2.1.1.3.
b) Provide the conditional cash transfer to eligible households.
c) Encourage the households to participate in UJCPSN programs, whenever the
household member is able to work.
Economic Strengthening Interventions 19
d) Assess and record whether the household fulfils the required conditions to receive
the support.
e) Provide training about the benefits of saving and encourage participants to save
some amount of money from the income they get from the UJCPSN programs.
f) Ensure that the household’s nutritional level is improved in addition to other aspects
mentioned above by establishing referral network.
2.1.2.4.Key indicators for provision-level support
Table 3. Indicators for Provision-Level Support
2.2. PROTECTION-LEVEL SUPPORT
As illustrated earlier in the livelihood and food security framework (Figure 1), vulnerable
groups eligible for protection-level support fall into two livelihood phases: loss management
and risk reduction. The interventions corresponding to these two livelihood phases are
explained below.
2.2.1. Intervention: Loss Management Livelihood Phase
In the loss management livelihood phase, households are categorized as “struggling.” These
households shall be provided with support that enables them to retain their productive assets
such as land and housing, stop borrowing for consumption at high interest rates, maintain
their livelihoods, and stabilize their income.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201720
Among the households enrolled in the support program, some may leave, either
due to death or their own choice. It will be important to identify eligible
households to replace those who have left the program.
Key indicators
• % of cash transfer from the allocated amount by IPs to beneficiaries
who are eligible;
• % of eligible beneficiaries who receive transfers;
• Actual cash transfer (track to ensure adequate and maintained over
time);
• Percent of beneficiaries that start saving after receiving the transfer;
• Percent of beneficiaries that started/re-started business after
graduating from the transfer.
In this livelihood phase, households:
• are unable to pay for basic necessities (such as food, health expenses) and other
necessities (such as school fees);
• have no (or very few) liquid assets—such as cash savings, livestock, food/crop
stores, and personal belongings—that could be sold or traded for money;
• have no predictable sources of income;
• are highly food-insecure;
• have the capability to engage in microenterprise or business activities.
2.2.1.1.Engage households in rural/urban safety nets
The following illustrates key activities to be carried out to support those in loss management
livelihood phase.
• HHEVA will be completed for households.
• Implementers should ensure that the targeted household has the capacity and
willingness to engage, through the provision of training and technical support, in
safety net activities and earn income from them.
The rural/urban safety net or public works scheme is shown in Table 4 below.
Table 4. Safety Net and Public Work Schemes
Economic Strengthening Interventions 21
1. Roads:
• Cobblestone, gravel, and red ash
roads;
• Rehabilitation of roads;
• Pedestrian walkways.
2. Sanitation:
• Community soak-away pits;
• Community latrines;
• Sludge ponds.
3. Solid waste management:
• Collection bins, transfer stations,
collection points;
• Solid waste
collection/environmental cleaning.
4. Urban drainage:
• Drainage systems;
• Simple flood control measures.
5. Social services:
• Health posts;
• Class rooms;
• Day care centers;
• Community halls.
6. Markets and production centers:
• Rehabilitation and/or development
of small community-based
markets;
• Work sheds for small and micro
enterprises.
7. Urban parks and greenery
8. Rural
• Terracing;
• Natural resource protection;
• Water well digging.
2.2.1.2.Steps to be taken
Follow steps a) through h) mentioned under 2.1.1.2.
2.2.1.3.Minimum Activities
The implementers should perform at least the following activities to support such
beneficiaries:
a) Implement all minimum activities except d, e, and g mentioned under 2.1.1.3.
b) Develop or adapt a savings group (SG) manual and other tools needed to establish
and facilitate SGs.ii
c) Train and assign professionals to provide technical assistance to the SG and
monitor their saving efforts.
d) Effect payment or ensure payments are made regularly to the household member
engaged in the safety net support.
e) Train participating households in cash management and saving either in a group
or individually and encourage them to start saving either in SGs or in individual
accounts in financial institutions (SCA, MFI, or a bank).
2.2.2. Risk Reduction Livelihood Phase
In the risk reduction livelihood phase, households try to reduce their risk of losing their
productive assets by selling their properties, migrating for employment, borrowing money,
and decreasing their food consumption and spending. The support provided to these
households aims to stabilize their consumption and to enable them to manage their assets,
encouraging them to engage in IGAs, and advising them to avoid borrowing money,
especially beyond their repayment capabilities.
Categorized under this livelihood phase, households:
• can usually pay for basic necessities (such as food) but may not be able to regularly
afford other necessities (such as school fees), especially if service-giving institutions
require relatively large lump-sum payments;
• have one or more fairly predictable sources of income;
• have some liquid assets, which may fluctuate throughout the year;
• may demonstrate seasonal fluctuations in income/expenses, especially in
relationship to the agricultural seasons (i.e., they can meet their expenses for part
of the year but have real difficulties doing so during another part of the year);
• are classified as moderately food-insecure.
Among the households enrolled in the support program, some may leave, either
due to death or of their own choice. It will be important to identify new eligible
households to replace those who have left the support scheme.
i i These member-owned and managed groups are often referred to as Village Savings and Loan Associations (VSLAs), although there are
variations in methodologies and naming. Globally, they are known as savings groups (SGs), which is the nomenclature employed in
these guidelines.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201722
2.2.2.1.Intervention: Financial Literacy, Market Understanding, and Participation in SGs
Savings is an important means for households to mobilize capital to use to address their short-
and long-term economic needs. When invested in productivity-enhancing assets like land
and tools, or in asset-expanding purchase of merchandise for resale, savings can facilitate
the growth of a household’s income. In countries where access to the formal financial system
is limited and savings rates are low, SGs are mechanisms to create viable financial access for
poor households. Through their participation in SGs, households can save or borrow money
to solve short term economic problems and to pursue longer term strategies to develop
income-generating micro- and small enterprises.
Savings groups are viable means for creating the culture of saving on the one hand and loan
management and repayment on the other hand through a voluntarily self-selected individual
membership. SGs are unique in the sense that they are autonomous and self-managed informal
institutions. To enhance the viability and sustainability of SG activities, it is important to
provide financial literacy and marketing management training to members operating
microenterprises (MEs).
2.2.2.2.Target beneficiaries
Households at the risk reduction livelihoods level, some of which may have graduated from
the preceding ES intervention support levels, should fulfil the following criteria for inclusion
in the support scheme:
• have at least some knowledge and experience of the benefits of saving;
• be a member of a SG;
• be willing to continue saving on regular basis.
2.2.2.3.Steps to be taken
Follow steps a) through h) mentioned under 2.1.1.2.
2.2.2.4.Minimum activities
ES implementers should perform at least the following activities to support the target
beneficiaries and stabilize their livelihoods:
a) Implement all minimum activities mentioned under 2.1.1.3 except d, e, and g.
b) Review, develop, and/or adapt existing SG manuals and other necessary tools to
help to establish SGs. Such tools have already been standardized and are available.
c) When an SG is established, the implementing partner along with the CCC and/or
other pertinent government organization(s) should: provide training on the SG
methodology by an experienced professional.
d) Train and assign professionals to provide technical assistance to the SGs and
monitor their savings and credit activities.
e) Train participating households in cash management and saving either in groups or
individually.
f) Train the targeted households in micro- and small enterprise (MSE) activities from
which they can earn income.
Economic Strengthening Interventions 23
g) Provide participating households with need-based vocational and skills training
programs.
h) Encourage households to establish SGs and start to save at least the minimum
amount as agreed with fellow group members.
2.2.2.5. Key Indicators for protection-level support
Table 5. Indicators for Protection Support
2.3. PROMOTION LEVEL SUPPORT
Vulnerable households eligible for this support level fall into two livelihood stages: (1)
income stabilization and (2) income growth.
2.3.1. Income Stabilization Livelihood Phase
Households at the income stabilization livelihood stage have surpassed the first two stages
of provision and protection and are beginning to progress to the promotion level. At this level,
also known as growing, households:
• can pay for both basic necessities (such as food) and other basic expenses (such as
education and basic healthcare) on regular basis; may struggle to make large lump-
sum payments but are usually able to manage them,
• possess some liquid assets that do not fluctuate significantly throughout the year,
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201724
Among the households enrolled in the support program, some may leave, either
due to death or of their own choice. It will be important to recruit new eligible
households to replace those who have left the support program.
Key indicators
• Number of individuals engaged in public works or any other types
of work (disaggregated by gender, and type of work and
employment);
• Number of individuals trained (disaggregated by gender and type of
training);
• Number of SGs established;
• Number of beneficiary households that start saving;
• Number of beneficiaries started or re-started business;
• Amount of money saved.
• may suffer seasonal fluctuations in income/expenses, but without dramatic swings,
• are mildly food-insecure.
2.3.1.1.Intervention: facilitate informal microenterprises
Households will be assisted to start informal MEs using their own resources. For instance,
they will be encouraged to adopt better productive behaviors to improve yields and manage
product stock and income. It would be important, however, to indicate that behavior change
is the primary focus while capital accumulation is secondary. At the same time, they shall be
supported to engage in various types of production activities through business development
service providers so they can produce marketable products.
The eligible targets for M&E facilitation interventions are households transferred from the
protection stage, as well as those who have graduated from it using their own resources, but
also meet other eligibility criteria (e.g., are PLHIV or caring for HIV-positive children). In
general, the participating households should fulfil these additional criteria:
• have experience in petty trading or small business activities,
• have experience in saving and credit from participation in SGs with repayment track
records,
• be willing and able to engage in micro enterprise development activities,
• be willing and able to engage in vocational and skills development training,
• be willing and able to engage in gainful employment.
2.3.1.2.Steps to be taken
Follow steps a) through h) mentioned under 2.1.1.2.
2.3.1.3.Minimum Activities
• Implement all minimum activities mentioned under 2.1.1.3 (except d, e, and g).
• Conduct a study to identify feasible ME opportunities that target households may
pursue.
• Build the capacity of the targeted households to effectively manage their MEs.
• Review, develop, and/or adapt existing SG manuals and other necessary tools to
help establish SGs.
• Facilitate market linkages in consultation and collaboration with the concerned
government and/or private sector organizations.
• Train participating households in cash management, and how to save either in
groups or individually.
• Provide technical assistance to participating households.
• Train the targeted households in ME activities (select, plan and manage their own
businesses) from which they can earn income (using the standard training manual
developed for this purpose).
• Provide participating households with need-based vocational and skills training
programs.
• Link interested and capable individuals with microfinance institutes.
Economic Strengthening Interventions 25
2.3.2. Income Growth Livelihood Phase
Households at the income growth livelihood phase are at a higher level of the promotion or
growing stage but have not yet fully transformed. These households:
• can pay for both basic necessities (such as food) and other basic expenses (such as
education and basic healthcare) on a regular basis,
• have achieved economic security and possess a stable assets base,
• their income/expenses fluctuate seasonally,
• are food-secure.
2.3.2.1.Intervention: facilitate formal micro, small, or medium enterprises
At this stage, households are assisted to establish micro-, small, or medium enterprises either
individually or in groups, using resources they have and drawing on knowledge obtained
through the technical assistance previously received from ES programs. Households in this
group have already graduated from the previous levels. The enterprises established can be
either rural or urban economic activities that produce simple products, sell merchandise, or
provide services. The households also can be trained in marketable skills and be employed
by other businesses.
2.3.2.2.Target beneficiaries
The target households of this intervention are the ones transferred from the growing stage or
they already reached the growing stage by themselves but are eligible to be included under
this support scheme.
The targeted beneficiaries should fulfil the following criteria in addition to the above-
mentioned requirement.
• The household should have experience in operating a farm or other agricultural
business, either in a group or individually.
• The household should have experience in SG activities.
• The household should have a strong credit history (i.e., has a history of repaying
its loans).
2.3.2.3.Steps to be taken
Follow steps a) through h) mentioned under 2.1.1.2
2.3.2.4.Minimum activities
a) Implement all minimum activities mentioned under 2.1.1.3 (except d, e, and g).
b) Conduct a feasibility study to identify feasible business opportunities for targeted
households
c) Assess the capacity and interest of households prior to engaging them in
rural/urban agriculture production and/or marketing activities.
d) Conduct a supply and value chain assessment for the products that targeted
households will produce in consultation with the concerned government body.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201726
e) Build the capacity of the targeted households to effectively manage rural/urban
agriculture production and/or marketing business.
f) Facilitate the process of securing land for rural/urban agriculture production in
consultation with the pertinent government organization.
g) Ensure the provision of expertise to improve existing or the new rural/urban
agriculture production and/or marketing business.
h) Ensure that the households are trained in the business area in which they would
like to be engaged.
i) Create linkages with pertinent government and non-government vocational and
skills training institutions.
j) Facilitate access to micro-finance institution (MFI) loans.
k) Train and assign professionals that will provide technical assistance to the SGs
and conduct close follow up of their savings and credit activities.
l) Facilitate experience sharing.
m) Technical support to the economic strengthening participants, especially the group
enterprises shall be guided by a well prepared business development service
(BDS) action plan.
2.3.3. Intervention: Establishment of Manufacturing or Service Enterprises
The facilitation support services anticipated for this level of intervention are to establish a
micro-, small, or medium business enterprise.
2.3.3.1.Target beneficiaries
These interventions target households transitioned from the preceding income stabilization
livelihood phase either by the implementers or by themselves, having fulfilled the eligibility
criteria set for this level, including:
• The household should have experience and be willing to be engaged in managing
manufacturing, merchandising, or a business that provides services.
• The household should have experience in group savings and credit activities,
including a good loan repayment record.
2.3.3.2.Steps to be taken
Follow steps a) through h) mentioned under 2.1.1.2.
Economic Strengthening Interventions 27
Among the households enrolled in the support program, some may leave, either
due to death or of their own choice. It will be important to identify new eligible
households to replace those who have left the support scheme.
2.3.3.3.Minimum activities
a) Implement all minimum activities mentioned under 2.1.1.3 (except d, e, g).
b) Conduct a feasibility study for the different types of manufacturing,
merchandising, or service-providing businesses and identify the types of business
in which targeted households shall be engaged.
c) Build the capacity of the targeted households to effectively manage manufacturing,
merchandising, service-providing, and/or marketing businesses.
d) Facilitate market linkages and the creation of networks in consultation with the
pertinent government organizations.
e) Facilitate securing land/space/room for manufacturing, merchandising, or service
provision in consultation with the pertinent government organization.
f) Facilitate creation of a viable supply and value chain for the products.
g) Facilitate access to loans from an MFI in consultation with the pertinent
government organization.
h) Ensure the provision of expertise to improve an existing or new manufacturing/
merchandising, service-providing, and/or marketing business.
i) Technical support shall be guided by a well prepared business development service
(BDS) action plan.
2.3.3.4.Key Indicators for Promotion-Level Support
Table 6. Indicators for Promotion Support
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201728
Key indicators
• Number of individuals engaged in enterprises (disaggregated by
gender, and type of work and employment);
• Number of MEs established;
• Number of beneficiaries who receive credit from formal financial
institutions;
• Percent increase in Enterprise profitability;
• Percent increase in the capital of enterprises;
• Percent change in enterprise level (as some may develop into small
enterprises after some time);
• Percent change in food security status of beneficiaries;
• Percent change in income level of beneficiaries.
Table 7. Summary of ES Interventions and Targeted Households
types oF es
interventiontargeted HouseHolds
• Unconditional cash transfer;
• Food aid.
Households that are living in destitute livelihood phase:
• Elderly caregivers;
• Poor women or widows;
• Poor HIV positive Children;
• Poor vulnerable adolescent girls;
• OVC;
• Poor PLHIV of all ages at the symptomatic stages;
• Child-headed households;
• Persons with disability but unable to work.
• Conditional cash transfer.
• Poor women or widows but have no opportunity to be
engaged in any activity for various reasons;
• PLHIV of all ages but partially in healthy condition;
• OVC care givers;
• OVC headed households;
• Vulnerable adolescent girls;
• Persons with disability but need opportunity to work.
• Urban/rural safety net/public
works.
• OVC;
• Vulnerable adolescent girls;
• OVC caregivers;
• Youth/adolescents who are unable to be engaged in
business activities;
• Poor women or widows who are unable to be engaged
in business activities;
• PLHIV of all ages in healthy condition but who are
unable to be engaged in business activities;
• Persons with disability unable to be engaged in
business activities.
• Financial literacy;
• Business skills;
• Technical skills;
• Market/feasibility study:
- Enterprise development
rural/urban agricultural activities;
- Micro, small, and medium
manufacturing or merchandising
and service enterprises.
• Micro finance services;
• Cooperative services;
• Revolving loan;
• Savings groups;
• Vocational and skills training;
• Apprenticeship and internship;
• Close follow up and business
development support.
• All poor men and women at all ages who are able and
willing to be engaged in business activities;
• PLHIV of all ages in healthy condition, who are able
and willing to be engaged in business activities;
• Persons with disability who are able and willing to be
engaged in business activities;
• Sexually exploited/abused women;
• Female sex workers and women engaged in
transactional sex who are vulnerable to HIV/AIDS.
2.4. GRADUATION STAGE
ES implementing organizations must follow the definition, basic stages and indicators
mentioned for each phase in this document. The end goal of ES is to move participants/
beneficiaries out of vulnerability and into sustainable livelihoods. This process is known as
graduation. Beneficiary households can exit from ES support in two ways; (1) by self-
application - a household can leave the program on its own or, (2) by evaluation results—a
household can graduate from the ES support system based on evaluation results conducted
using the vulnerability assessment tool provided with these guidelines (HHEVA) and/or clear
criteria.
2.4.1. Graduating Households
Graduation should be based on case-by-case evidence-based assessment results of a
household’s circumstances using relevant, realistic, and transparent criteria. Identification of
graduating households are in no way linked to policy targets for graduation. Because the end
goal of graduation is common across all ES programs–to exit households from vulnerability
into sustainable livelihoods–each ES implementing organization must follow the set criteria
for graduation listed below. Before a household graduates from the ES support system, the
implementer, in collaboration with the pertinent government organization, should use the
graduation assessment tool and set criteria to confirm that the household has reached the
following criteria.
Table 8. Indicators for graduation stage
Additionally, beneficiaries should be notified when they are expected to graduate prior to
graduation to safeguard them from premature graduation.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201730
Key indicators
The household:
• Has received sufficient loans and engaged in manufacturing,
merchandising, or service- providing business;
• can consistently repay loans;
• Confidently uses the ES skills it has acquired through the
program with minimal external support;
• Has access to markets and increased clientele with increased
revenue;
• Has improved access to healthcare; and
• Has increased self-confidence and a plan for the future.
2.4.2. The Process of Graduation
Vulnerable households selected for economic strengthening interventions will graduate
between 27 and 36 months and should not stay more than twelve months in each three stages
of ES stages outlined in this guideline. Thus, unless there are special occasions of health,
social and security issues, a target household should be ready for graduation within twenty
seven months from the time of entry into the program.
Home Visit
It is important to assess ES participant’s progress at each stage of the livelihood pathway and
during at the end of a program through home-visit evaluations made by at least two staff.
When working in pairs, one interviewer can ask questions and discuss informally while the
other assesses objective questions by observing ES beneficiaries’ homes, assets, children, etc.
Committee
After each household has been visited and evaluated according to the vulnerability assessment
tool and the determined criteria, a graduation committee of staff, CCCs and management can
be gathered to help determine the status of members whose special circumstances are not
reflected in a systematic evaluation. This allows for a more nuanced evaluation process and
corrects for human error in data collection and observation. The graduation committee
meetings can also help ES implementing organizations identify weakness in the program and
the assessment tool itself, and to consider ways of improving both during scale-up and future
programs.
Graduation Ceremony
After each ES beneficiary has been evaluated and his or her eligibility for graduation
determined, it is important to hold a graduation ceremony for participants and their families.
The ceremony allows the participants to talk about their progress with their families and
celebrate their success. Participants may receive certificates of program completion or other
gifts.
What if an ES participant doesn’t achieve the graduation benchmarks?
Despite efforts made by the implementers, some households may not be able to graduate
from ES support for various reasons. Alternatively, the implementer may be forced to close
its program for other reasons. When either happens, the implementer in collaboration with
community platforms like CCC should present the list of households that could not graduate
from the ES support to the pertinent government organization for subsequent support. Further,
the implementer should define the interventions that will be available to “non-graduates.”
Will the program offer an extension period for those who do not graduate? If so, how will
this be managed? These decisions may be time-sensitive as resources will need to be allocated
for members who need additional support. Moving reliably out of vulnerability is a process,
rather than a threshold or “finish line,” and some ES program participants may need additional
support.
Economic Strengthening Interventions 31
2.4.3. Minimum Activities
When it is determined that a household is ready to graduate from ES support, implementers
should perform the following activities, among others:
• Ensure the income source of the household is predictable and sustainable.
• Ensure that the household meet the criteria from economic vulnerability assessment
tool.
• Graduating ES participants are linked to MFIs and organizations that provide
support after the project.
• Prepare graduation ceremony and issue graduation certificate.
2.5. TRANSFORMING STAGE
It is apparent that at this level that an economically empowered household does not need
economic support from a program. Nevertheless, the household may still need technical
support after graduation to consolidate its gains and avoid sliding back to a lower economic
level. To make the ES support sustainable, the pertinent government organizations along with
other development partners should follow up to ensure sustained progress.
2.6. ENTRY AND EXIT STRATEGIES OF ECONOMIC
STRENGTHENING IMPLEMENTING PARTNERS
When a new intervention is introduced in a specific community, there will be entry strategies
that implementers should pursue. Similarly, when the intervention is completed; there will
be exit strategies that implementers should follow prior to closing the program. The pertinent
government and community-based organizations also have specific responsibilities in relation
to entry and exit of implementing partners for ES support programs.
2.6.1. Entry Strategies
Every implementer should adhere to the following entry strategies when seeking to implement
an ES support program in a community:
• Allocate sufficient budget to run the intervention.
• Employ ES implementation managers and/or officers with relevant experience in
economics, business management, business administration, and finance, and provide
appropriate training for their staff.
• Contact the pertinent government organization(s) to express interest in
implementing ES support interventions.
• Submit to the pertinent government organization(s) legal documents, including the
project proposal. In doing so:
- The government will ensure that the interests of the implementer comply
with government policies, strategies and programs and, as necessary.
- The government will assign the implementer to specific area where the ES
support intervention shall be implemented.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201732
- The implementer, jointly with the government and community-based
organizations, will discuss and agree on the selection of target beneficiaries,
implementation modalities of the program and the like.
- They will jointly review detailed implementation and monitoring and
evaluation plans with the pertinent government office.
- They will reach an agreement and sign a MOU.
- The pertinent government organization(s) shall provide the necessary
support as required and facilitate the implementation of the ES support
intervention.
- The implementer will conduct a baseline vulnerability assessment using
the annexed tool before selecting the beneficiaries.
2.6.2. Exit Strategies
When an implementer ceases its support due to program phase-out or other reasons, it should
not suddenly leave the intervention area and beneficiaries. Rather, it should implement the
following activities prior to program closure:
• Inform its beneficiaries and the pertinent government and community-based
organization in writing and organize a close-out workshop at least six months before
the cessation of the program, explaining clearly when its support will cease and
why.
• Link ES beneficiaries with MFIs and other pertinent government organizations to
help sustain program outcomes.
• Facilitate employment opportunities for those beneficiaries who are not able to run
a business.
• Perform all exit strategies as stipulated in the project document.
• Hand over all required project-related documents and materials to the pertinent
government agencies and other stakeholders.
• Fulfil all the required conditions that are stipulated in the project document and
MOU.
• Reach agreement with the pertinent government and community-based organization
on the closing of the program and obtain confirmation letters from these
organizations.
• Arrange meetings with pertinent government and community-based organizations
for official closing of the program.
• Conduct and submit external audit reports.
• Conduct final evaluation/assessment and share lessons learned to stakeholders.
Economic Strengthening Interventions 33
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201734
Monitoring and Evaluation 35
Monitoring
and
Evaluation
Section 3
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201736
3. MONITORING, EVALUATION AND REPORTING
This section covers program monitoring/supervision, evaluation, and reporting with respect
to program quality. Monitoring and evaluation (M&E) is a means to track work progress and
impact of a program as well as to evaluate whether the program/organization is working
effectively and efficiently.
A well-designed and implemented M&E system frames the parameters of ES activities, guides
adjustments along the way, and enables measurement of changes. In addition, it will identify
key lessons learned during the project implementation and/or when a project ends to ensure
that resources are optimally used and ES interventions are having sustainable impact on the
lives of targeted households.
While an M&E system is established, selecting appropriate indicators is an essential step to
ensure whether ES activities are meeting their objectives. Implementing partners and other
stakeholders shall use MERL a uniform M&E approaches and data tracking mechanisms so
that there will be consistent and reliable data at the national level that can be used to inform
development partners, government, and even beneficiaries on the effectiveness of ES
interventions. Additionally, all ES partners should be able to report on key, nationally agreed-
upon indicators so that their efforts and outcomes are visible and measurable.
Implementers will be expected to be familiar with the M&E system, key ES indicators, and
program quality measurements summarized in these guidelines.
3.1. PROGRAM QUALITY
ES interventions should continually be monitored and assessed to understand progress and
trends by focusing on type, quality, and quantity of ES services provided to the targeted
households. This will ensure that ineffective efforts are amended and effective efforts scaled
up in a timely fashion.
The following Quality Assurance Matrix is presented to help ES partners undertake quality
assurance activities on ES interventions. Based on the program quality parameters below,
and depending on the nature of the program targets, the implementers can also develop their
own customized program quality measurement indicators.
QUALITy ASSURANCE MATRIx
DESIRED OUTCOME: Households have sufficient income to improve their livelihood.
Table 9. Quality Dimensions Matrix: Economic Strengthening
Quality
dimensionsQuality cHaracteristics oF es interventions
Safety
• Develop financial service delivery mechanism to reduce financial
vulnerabilities (savings-led financial services) of beneficiary households.
• Child labor exploitation is prohibited in accordance with the CRC.
• Employers are aware of requirements for a safe working environment.
• ES activities that are deemed illegal or dangerous are avoided.
Monitoring and Evaluation 37
Quality
dimensionsQuality cHaracteristics oF es interventions
Access
• Convenience to target group is considered when delivering services.
• All training materials are in accordance with and respectful of the local context.
• Selection criteria are transparent and prioritize the most vulnerable.
• Households should have access to financial resources, material, and social
support.
Effectiveness
• Income generated is used to care for the households.
• ES schemes have low capital or resource requirements, and are accessible to
those most in need.
• Household assets (economic and social) are built to withstand shocks.
• A financial service delivery mechanism is developed to reduce debt (savings-
led financial services).
• Households acquainted with basic SGs skills and knowledge.
•Household income sources are sustained and diversified.
Technical
Performance
• Technical support is regularly provided.
• All activities and services are managed by the households.
• ES are environmentally sustainable.
• Households know/are trained on how to manage financial resources.
• ES interventions have established mechanisms to minimize risk (e.g.,
providing child-friendly IGAs, follow-up to avoid possible risks, strengthening
appropriate data management, confidentiality).
• ES are based on market assessments (supply/demand driven).
• Progress of beneficiaries is supervised, monitored, evaluated and documented.
Efficiency
• ES delivery strategy has a low operation cost.
• Interventions leverage public and private sector resources.
• Service delivery strategies are consistent with community norms and values.
• ES opportunities are diverse.
Continuity
• ES interventions are appropriately linked with other service providers.
• ES delivery strategy is managed by the community.
• ES interventions are consistent with local laws and regulations.
• ES interventions are built on indigenous community knowledge and tradition.
• ES interventions are based on local resources and outlets.
• Trained beneficiary households are linked to potential employers.
• Beneficiary households are facilitated and encouraged to interact or build
relationships with the private sector.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201738
Quality
dimensionsQuality cHaracteristics oF es interventions
Respectful
Relations
• ES delivery is participatory.
• ES delivery is need-based not supply-driven.
• ES and products made should not be labelled to avoid stigma.
Appropriateness
• HIV-positive OVC and caregivers are not engaged in activities that are
overly strenuous or put their health at risk.
• ES delivery is demand-driven.
• ES are based on local tradition norms and values.
• ES are focused on primary needs of most vulnerable.
Participation
• Beneficiary households participate in selection, planning, and management
of the activities.
• Service delivery is flexible.
• Community convenience is considered in conducting activities.
• Selection of beneficiary households is transparent.
• Community is involved in decision-making leading to empowerment.
Sustainability
• Local laws and regulations maintained and recognition given to innovative
service delivery mechanisms.
• The ES services provided are built on strengthening traditional coping
mechanisms.
• Referral system is properly linked and maintained with safety-net programs
such as urban gardening, WFP, UPSNP and others in the targeted areas.
• Resources are leveraged from communities, private, and public sector.
• Beneficiary households are trained in business management, savings, and
investment.
3.2. APPROACHES TO MONITORING AND EVALUATION
Program monitoring will be conducted through joint supportive supervision engaging all
pertinent stakeholders. Implementers should adhere to the following guidelines when
conducting M&E activities:
• Maintain an adequate database for ES interventions.
• Make sure that the project’s database has incorporated all key indicators of ES
interventions proposed in these guidelines.
• Collect data per the indicators mentioned in these guidelines for the monitoring and
evaluation of the ES interventions.
• Develop and implement appropriate data-capturing formats.
• Assign a responsible person to collect the data.
• Maintain disaggregated data (by sex, by age, location, type of intervention, and type of
household—destitute, struggling, and growing).
• Maintain consistency in the types and depth of data to be collected.
• Organize and keep program data in an appropriate way.
• Put in place data validity-checking mechanisms.
• Analyze data and generate information for evidence-based decision making.
• Share key finding with concerned partners/stakeholders.
3.3. ECONOMIC STRENGTHENING MONITORING AND
EVALUATION INDICATORS
The tables below provide an illustrative list of sample process/output, outcome, and impact
indicators that are going to be tracked routinely or periodically by implementers to monitor
and evaluate the ES intervention’s performance.
Table 10. Sample Economic Strengthening Monitoring and Evaluation Indicators
Monitoring and Evaluation 39
type oF
indicatorpurpose/anticipated result
means oF
veriFication
Input/process
Indicators
Inputs indicators are used to measure the
resources and methods you employ to
conduct work (e.g. ES basic training, staff
capacity building, cash transfer, project
launching, etc.). Inputs can be:
- Physical (e.g. equipment rental or
purchase);
- Material (e.g. supplies and provisions);
- Human (labor cost such as salaries for
technical assistance, staff etc.);
- Financial (such as travel costs, per diem
costs, direct and indirect costs).
Examples:
- Number of ES beneficiaries identified;
- Number of ES need assessments
conducted;
- Number of cash handouts done;
- Number of partners and CBO staff trained
in the use of the HHEVA tool and using
analysis to target appropriate household
interventions;
- Amount of money transferred;
- Number of ES participants trained.
Training reports,
attendance sheets,
log sheets, receipts,
audio-visual
recordings, etc.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201740
type oF
indicatorpurpose/anticipated result
means oF
veriFication
Output
Indicators
Output indicators are used to measure
information, products, or results produced by
undertaking activities or projects. Example:
- Number of saving and lending groups
formed;
- Number of enterprise groups formed;
- Number of ES promoters/ES staff trained;
- Amount of savings mobilized;
- Percent of mobilized savings invested.
Pre-test and post-
test; field
observation,
testimonies, review
of financial records,
reports, etc.
Outcome
indicators
Outcomes indicators are measures of broad
changes in development conditions,
answering the “so what” question. Example:
- Percent of beneficiaries who started/re-
started business after graduating from the
transfer;
- Percent of cash transfer disbursed from
the allocated amount by IPs to
beneficiaries who are eligible;
- Percent of eligible beneficiaries who
received transfers;
- Percent of beneficiaries that can start
saving after receiving the transfer;
- Number of individuals engaged in public
works or any other type of work
(disaggregated by gender, and type of
work and employment);
- Number of individuals who started
businesses;
- Number of beneficiaries linked to formal
financial institutions;
- Number of ME established;
- Percent increase in enterprise profitability;
- Percent increase in the capital of
enterprises;
- Percent change in enterprise level (as
some may develop into small enterprises
after some time);
- Percent change in food security status of
beneficiaries;
- Percent improvement in income level of
beneficiaries;
- Vulnerable households have increased
ability to build and protect assets.
Reports, a carefully
designed qualitative
and quantitative
survey.
Table 11. Household Economic Strengthening Indicators
Monitoring and Evaluation 41
type oF
indicatorpurpose/anticipated result
means oF
veriFication
Impact
indicators
Impact indicators are measures of the overall
and long term effects of an intervention.
Example:
- Overall increased access and availability
of the right mix of economic opportunities
for vulnerable households;
- Vulnerable households have increased
ability to build and protect assets;
- Overall improvement in household
wellbeing.
Reports, a carefully
designed qualitative
and quantitative
survey.
indicators numerator denominator
Proportion of households with
access to minimum food
consumption requirements-
measured against 2,100
kilocalories per person per day.
Number of households with access to
minimum food consumption
requirements- measured against 2,100
kilocalories per person per day
(adapted for child caloric requirements
as needed).
Total number of
households
enrolled in the ES
program.
Proportion of households
reported to have increased
consumption of diverse diets
that include cereals/grains, roots,
beans/nuts, vegetables,
meats/fish, fruits, cooked food,
milk products, sugar, beverages,
and spices.
Number of households reported to
have increased consumption of diverse
diets that include cereals/grains, roots,
beans/nuts, vegetables, meats/fish,
fruits, cooked food, milk products,
sugar, beverages, and spices.
Total number of
households
enrolled in the ES
program.
Proportion of households
reported to have expended on
essential non-food items and
services (schooling, uniforms,
health care, food, shelter,
electricity) in the previous
month.
Number of households reported to
have expended on essential non-food
items and services (schooling,
uniforms, health care, food, shelter,
electricity) in the previous month.
Total number of
households
enrolled in the ES
program.
Proportion of households
reported increase in asset
ownership.
Number of households reported
increase in asset ownership.
Total number of
households
enrolled in the ES
program.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201742
indicators numerator denominator
Proportion of households earned
sufficient cash income to maintain
productive assets.
Number of households earned
sufficient cash income to maintain
productive assets.
Total number of
households
enrolled in the ES
program.
Proportion of households with
the ability to invest in productive
activities`.
Number of households with the ability
to invest in productive activities.
Total number of
households
enrolled in the ES
program.
Number of households reported
to have increased ability to cope
with economic shocks.
Number of households reported to have
increased ability to cope with economic
shocks.
Total number of
households
enrolled in the ES
program.
Number of households reported
to have increased revenue due to
application of the new ES skills.
Number of households reported to have
increased revenue due to application of
the new ES skills (determine profit
values and compare with the cost of
inputs) over the last month, year, or
since program inception.
Total number of
households
enrolled in the ES
program.
Proportion of households
reported to have increased
clientele base, or increased
market access compared to
before the program inception.
Number of households reported to have
increased clientele base, or increased
market access compared to before the
program inception.
Total number of
households
enrolled in the ES
program.
support
level
intervention
approacH
illustrative indicators oF
program success
Provision
social
assistanceiii (conditional and unconditional)
Asset and Cash
Transfers
Are cash transfers getting to the intended recipients in a
timely and efficient manner?
- No. of households that received at least one cash transfer
in the preceding period;
- No. of households reported increased income within a
given time period (list lowest, average, and highest
amount received);
- No. of households reported spending cash on various
items, such as schooling, uniforms, health care, food,
shelter, electricity, alcohol/tobacco, and other
entertainment items in the previous month.
Food Assistance
Is food aid reaching the intended recipients in a timely,
frequent, and efficient manner?
- No. of households that received food aid;
- Frequency of receiving food aid (weekly, monthly, other);
- Household use of food aid (consuming, selling, trading,
giving away) food aid;
- Condition of food: good, bad, neutral;
Protection
asset
protectioniv (restore or maintain economic resources)
Group and Individual
Savings
- No. of households reported increase in asset ownership;
- No. of households reported increased capacity to cope
with economic shocks (see these indicators listed above);
Legal Protective
Services for Vulnerable
Groups
Particularly relevant for divorced, separated, and widowed
women, and also orphans.
- No. of households engaged in productive ES activities;
- No. of households with access to credit, if they need it;
- No. of households with legal status to care for their
children;
- No. of households with legal status to maintain the
property they owned;
- No. of households reported to have received legal
assistance when they needed it;
- No. of households reported requiring legal assistance to
maintain their properties (example: head of household,
right to care for their children, right to own/rent land,
etc.) but were not able to access it.
Table 12. Sample Economic Strengthening Core Indicators by Approach
iii Recommended target groups for cash and food transfers include individuals who are most vulnerable, poor, and laborconstrained (e.g., elderly, disabled, chronically ill) and PLHIV at the symptomatic stages.
iv Target audiences for asset growth and protection include very vulnerable households (those in transition), includingcaregivers of OVC, youth, and PLHIV.
3.4. REPORTING
All implementing partners will have their own ES implementation performance monitoring
plans. Based on the sample M&E indicators provided in these guidelines, all implementers
at all levels shall establish appropriate indicators and prepare routine monitoring reports that
show when, where and how activities were carried out as well as the beneficiaries reached.
The narrative reports should also clearly show whether activities were done according to the
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201744
support
level
intervention
approacH
illustrative indicators oF
program success
Promotion
income growtH v
Microfinance
Business loans / Microfinance
- No. of households who received sufficient loans to
increase their business;
- No. of households fully repaid or consistently
repaying their loans;
- No. of households with increased income (baseline
is necessary for comparison).
Skills Training
Note: programmatic best practices from field practitioners
suggest that skills training should be complementary, but
not mandatory to receiving economic strengthening
assistance.
- No. of households reported to have benefitted from
the knowledge and skills acquired during the ES
trainings;
- No. of households reported to have developed
increased confidence to use the new ES skills for
income-generating activities after ES trainings;
- No. of households with increased revenue due to
application of the new ES skills (determine profit
values and compare with the cost of inputs) over the
last month, year, or since program inception;
Market Linkages
Market linkages (baselines are important to determine
the effect of the market linkage program).
- No. of households with increased revenue after
applying new business skills (determine profit
values and compare with the cost of inputs) over the
last month, year, or since program inception);
- No. of households with increased clientele base or
market access after their enrolment in the ES
scheme.
v Business loans, skills, vocational and market linkages are best targeted toward those who are somewhat vulnerable butwith productive capacity: caregivers, youth (though youth may respond better to mentorship and skill building than toloans) and PLHIV who have productive capacity.
standard, challenges encountered during implementation, and how they were addressed.
Furthermore, the reports should show the lessons learned, best practices developed, and
possible recommendations for further improvement.
Thus, all implementing partners at all levels should produce quarterly, bi-annual, and annual
reports and should present them to the pertinent government and other stakeholders as per
standard requirements. Reports shall be prepared based on the format prepared for this
purpose. Joint review, mid-term evaluation, and terminal evaluation reports shall also be
prepared and shared as they occur.
Monitoring and Evaluation 45
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201746
Roles and Responsibilities of Stakeholders 47
Roles and
Responsibilities of
Stakeholders
Section 4
4. ROLES AND RESPONSIBILITIES OF STAKEHOLDERS
4.1. RELEVANT GOVERNMENT ORGANIZATIONS AT FEDERAL
LEVEL
The relevant ministries, federal agencies/offices, regional states bureaus, as well as city
administrations and other government stakeholders are expected to play their roles and carry
out their responsibilities in an integrated manner. Thus, the individual and joint
responsibilities of each stakeholder are outlined below.
Federal HIV/AIDS Prevention and Control Office (FHAPCO)
1) Coordinates and leads all activities related to HIV/AIDS prevention and control.
2) Cooperates with all relevant stakeholders to engage people who are affected and
infected by HIV/AIDS in ES activities.
3) Advocates for HIV-sensitive ES service provision in the implementation of the
HIV/AIDS Strategic Plan 2015–2020 in an investment case approach.
4) Promotes the awareness and understanding of the rights of most-at-risk populations
(MARPs) who are vulnerable due to HIV/AIDS, including the need for nutritional
screenings, education and referrals.
5) Facilitates mainstreaming of ES in home-based care programs targeting PLHIV
households.
Ministry of Women’s and Children’s Affairs (MoWCA)
1) Coordinates and leads the effort in identifying vulnarable women and children who
should be eligible for ES support.
2) Provides support to the implementing partners in persuading women who are
economically vulnerable but able to work to be engaged in ES activities.
3) Coordinates, facilitates and provides support to implementing partners in order to
provide psychosocial and skills training to women.
4) Monitors and provides supportive supervision to the implementing partners to
follow up on the status of those women and children who are provided with ES
support.
5) Ensures that economically vulnerable women and children are identified, enrolled,
and supported according to these guidelines in collaboration with relevant
government agencies.
Ministry of Labour and Social Affairs (MoLSA)
1) Coordinates and facilitates that economically vulnerable households are identified,
enrolled, and supported according to these guidelines in collaboration with relevant
government agencies.
2) Collaborates with UJCFSA to monitor and evaluate changes occurring among
economically vulnerable households who are enrolled in public works and ES
support opportunities.
3) Shares data and results of studies to the implementing partners regarding people
living in destitution, elderly people, people with disabilities, and people who are
living on the street.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201748
4) Coordinates and facilitates the effort to identify vulnerable individuals by name
and address, and shares them with the implementing partners to give these
individuals psychosocial and skills training.
5) Coordinates and facilitates the effort to identify destitute individuals and
households who are unable to work and who are eligible to get unconditional cash
support, and shares the names and addresses of these individuals with the
implementing partners for ES support.
6) Coordinates, facilitates and provides technical support to conduct studies in
collaboration with relevant stakeholders on labor markets and engages with the
private sector to create employment opportunities.
7) Monitors the implementation of these guidelines by all implementers.
8) Leads the establishment of CCCs, supervises their performance and provides
support.
9) Establishes and manages the national and local level database information systems
on ES interventions.
Ministry of Agriculture and Natural Resources (MoANR)
1) Provides data on suitable urban and rural agricultural activities to implementing
partners.
2) Provides training for those households willing to be engaged in urban and rural
agriculture.
3) Provides technical support for those households that are engaged in urban and rural
agriculture.
4) Supports and empowers the households to participate in agricultural production
for income generation and food security.
5) Facilitates the formation of groups of households and provides them with necessary
support to become entrepreneurs in the agricultural sector.
6) Ensures the sustainability, promotion, and development of home gardening as an
income source as well as to fulfil the nutritional needs of households.
Ministry of Finance and Economic Cooperation (MoFEC)
1) Signs project agreements with donors and implementers.
2) Provides technical support in resource mobilization.
3) Conducts joint M&E with donors and implementers.
4) Monitors ES interventions to ensure that are implemented in accordance with
related project agreements.
Ministry of youth and Sport (MoyS)
1) Provides support in community mobilization to change the attitudes of youth
toward work/jobs.
2) Provides support to identify beneficiaries who should be eligible for ES support.
3) Provides support in persuading youth who are economically vulnerable but able
to work to engage in ES activities.
4) Provides support in following up on the status of youth who receive ES support.
Roles and Responsibilities of Stakeholders 49
Ministry of Education (MoE)
1) Ensures that children and youth living in destitute conditions are exempt from
school-related fees and protected expulsion from school for financial reasons.
2) Provides support to beneficiaries who are selected to enroll in Technical and
Vocational Education and Training (TVET) or vocational training.
3) Ensures that economically vulnerable children/youth who are out of school have
access to and benefit from available non-formal education opportunities.
4) Ensures that economically vulnerable youth transitioning to secondary education
receive scholarships from local scholarship scheme.
5) As indicated in the Education Sector Development Program IV (ESDP IV), support:
• NGOs, donors, and civic organizations to increase financial and material
provisions to vulnerable children,
• targeted households to be enrolled in cooperative training schemes,
• targeted households to access TVET trainings,
• sharing labor market information,
• behavior change and awareness-raising programs on drug and substance
abuse prevention activities,
• awareness-raising programs to change the attitudes of targeted households
toward work/jobs.
Urban Job Creation and Food Security Agency (UJCFSA)
1) Supports the inclusion of the ES interventions implemented by various
stakeholders in the country’s legal and livelihood support framework.
2) Provides support to the implementing partners in preparing ES training manuals.
3) Provides support to the implementing partners in providing psychological and
skills training to households that are ready to engage in micro enterprise.
4) Provides support to the implementing partners in community mobilization to
change prevailing attitudes toward work/jobs.
5) Shares data and results of studies reflecting the status of those who are socially
vulnerable, poor, and unemployed but are able and unable to work.
6) Provides support to implementing partners in identifying households to be targeted
for ES interventions.
7) Provides support to implementing partners in creating employment opportunities
to households that are willing to be engaged in self- employment.
8) Provides support and facilitates processes to secure work premises for establishing
businesses.
9) Provides support to create market linkages.
10) Provides support to the implementing partners in designing special packages to
assist those households that are living in destitution.
11) Signs MoUs with implementing partners engaged in supporting economically
vulnerable households as well as participates in the joint preparation of annual work
plans and follows up on the implementation of activities predefined in the work plans.
12) Monitors the implementation of these guidelines by all relevant stakeholders.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201750
4.2. GOVERNMENT AND NON- GOVERNMENTAL
ORGANIZATIONS AT REGIONAL AND LOWER LEVELS
Regional Bureaus
1) Provide guidance and leadership for the overall implementation of ES activities
in the region.
2) Enforce adherence to ES guidelines by implementers.
3) Create opportunities and facilitate conditions for resource mobilization through
the CCCs.
4) Provide capacity building programs to implementing partners.
5) Create partnership forums among different actors engaged in implementing ES
initiatives to enable cross fertilization of promising practices and experiences.
6) Participate in joint supportive supervision visits to ensure quality ES service
provision.
7) Analyze reports coming from implementers and provide feedback.
8) Compile and share promising practices and lessons learned.
Woreda level Bureaus
1) Build partnerships with all actors.
2) Coordinate and follow implementation of ES interventions.
3) Facilitate to enabling environment for implementers.
4) Coordinate the mobilization of communities and resources to enhance community
ownership of interventions.
5) Follow up on implementer adherence to ES guidelines to deliver quality services.
6) Participate in joint, supportive supervision with implementing partner field office
staff.
7) Document and share promising practices with other implementers.
Kebele level
1) Facilitate conducive working environment for implementers.
2) Lead the identification of beneficiaries for ES interventions according to the
guidelines.
3) Mobilize resources from the community to use for implementing ES interventions.
4) Participate in the day-to-day implementation of the program according to the
guidelines to maintain the quality of the interventions.
5) Facilitate the integration of interventions with the CCC activities.
6) Participate in a detailed implementation planning process and subsequent
monitoring of and reporting on the ES interventions.
Roles and Responsibilities of Stakeholders 51
Technical and Vocational Education Training Agency
1) Strengthens private training institutions and encourage enterprises to participate
in the TVET system.
2) Empowers targeted households through skills development.
3) Ensures equal access of targeted households to TVET.
4) Strengthens the culture of self-employment and supports job creation in the
economy.
5) Ensures, in collaboration with other stakeholders, appropriate coordination with
the TVET system in enrolling targeted households.
6) Conducts labor market monitoring at the national level and ensures that monitoring
results are used for TVET planning to address the needs of targeted households.
7) Facilitates a conducive and stimulating environment to encourage private TVET
institutions to enroll targeted households at federal and regional levels.
8) Provides appropriate support to engage employers in the TVET system, especially
to provide on-the-job training in the form of apprenticeship and internship service
to targeted households.
9) Monitors the provision of TVET to targeted households.
10) Conducts all other activities necessary to foster the provision of TVET as
demand-oriented, relevant, and accessible to targeted households.
Microfinance Institutions
1) Provide training on group and individual savings.
2) Open accounts and accept transactions from individuals or groups.
3) Provide microloans to households that are trained and ready to be engaged in ES
activities.
4) Provide technical support to beneficiaries who have taken out loans on how to
manage their finances.
5) Follow up on the repayment of loans.
People Living with HIV Associations
1) Participate in planning and decision-making regarding ES services provided to
PLHIV.
2) Participate in identifying PLHIV for intervention targeting.
3) Provide the support required to organizations implementing ES interventions.
4) Monitor and ensure that those PLHIV obtaining ES support are using the support
in accordance with project objectives.
5) Monitor and ensure that the livelihoods of those PLHIV who obtain ES support
are improved.
People with Disabilities (PWD) Associations
1) Participate in planning and decision-making regarding ES services.
2) Participate in identifying PWD to be included as targeted households.
3) Provide the support required by organizations implementing ES interventions.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201752
4) Monitor and ensure that PWD obtaining ES support are using the support in accord
with project objectives.
5) Monitor and ensure that the livelihood of those PWD obtaining ES support are
improved.
Faith-based Organizations
1) Play a role in creating awareness about ES services and their benefits.
2) Play a role in mobilizing domestic resources to provide support to targeted
households.
3) Provide the support required by organizations providing ES interventions.
Community-based Organizations and Community Care Coalitions
1) Maintain awareness of prevailing social problems and keep records of people who
are affected by such problems.
2) Identify people who need support based on their specific vulnerabilities.
3) Provide the list of people who need support to national and international NGOs
that provide ES support.
4) Identify those persons who can be supported through direct support and access to
financial services such as those provided through SGs and MFIs.
5) Manage complaints related to the selection of beneficiaries.
6) Update information regularly.
7) Mobilize resources for their activities.
Other Key Implementing Partners (International and National NGOs)
1) Mobilize financial and non-financial resources for ES interventions, including from
the private sector.
2) Sign agreements with government partners to implement ES interventions.
3) In collaboration with relevant government agencies, jointly develop work plans
for ES interventions at regional and sub-regional (zonal) levels.
4) Monitor and evaluate ES interventions in collaboration with government and
implementing organizations.
5) Support relevant government institutions in the development of tools and training
manuals for ES interventions.
6) Conduct vulnerability assessments to determine participants’ vulnerability status
and to identify available assets of economically vulnerable households.
7) Monitor ES activities conducted at all levels by implementing partners in their
areas of jurisdiction and ensure that they submit quarterly ES reports to relevant
government organizations at all levels.
8) Develop the capacity of implementing partners and community volunteers,
especially CCCs and CBOs, to deliver effective ES interventions at the grassroots
level.
9) Evaluate the impact of ES interventions prior to program phase-out in collaboration
with the relevant government organizations.
Roles and Responsibilities of Stakeholders 53
Donors
1) Allocate sufficient resources for ES interventions considering the integrated nature
of ES programming.
2) Provide technical support.
3) Monitor and evaluate ES programs jointly with relevant government organizations
and implementers.
Private Sector
1) Participates in promoting and supporting ES interventions by linking them with
the private sector.
2) Supports ES initiatives by creating employment opportunities for beneficiaries,
especially for youth.
3) Participates in public–private partnership initiatives aimed at supporting
economically vulnerable households.
4) Supports government and NGOs in microenterprise development, through
mentorship, business training, and technical skill formation aimed at empowering
vulnerable households.
5) Participates in planning, monitoring, and evaluating ES activities to strengthen the
commitment of the private sector in supporting ES initiatives.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201754
Cross-Cutting
Issues
Section 5
Cross Cutting Issues 55
5. CROSS CUTTING ISSUES
Economic strengthening programming is not an end in itself, but rather a means to help
households improve their livelihoods. To make ES efforts both focused and sustainable,
implementers must institutionalize target-setting mechanisms, gender equity in services,
information-sharing among different stakeholders, capacity development, effective and
efficient resource utilization, and vigilance against stigma and discrimination. These areas
are key in project development and implementation. This section details considerations for
implementers to mainstream ES programming.
5.1. TARGETING ECONOMIC VULNERABILITY
To target the households that are economically vulnerable, implementers should:
• Ensure households identified for ES support are economically vulnerable regardless
of their HIV status.
• Collaborate with PLHIV associations, CCCs and CBOs to target households.
• Give priority to PLHIV, OVC, MARPs, women and people with disability when
targeting households.
5.2. GENDER MAINSTREAMING
To ensure gender mainstreaming is addressed through ES interventions, implementers should:
• Ensure that women’s needs are addressed during ES implementation.
• Ensure gender equity in ES intervention design and implementation activities.
• Harmonize ES implementation with gender mainstreaming guidelines.
• Locate ES services near to women’s residences to minimize transport time and
expense.
5.3. KNOWLEDGE SHARING AND INFORMATION MANAGEMENT
To foster effective learning, knowledge sharing, and information management, implementers
should:
• all information about the types of ES interventions carried out for future reference
and to share experiences and lessons learned with other stakeholders.
• information with one another and with other stakeholders regarding the geographic
locations and types of ES interventions, and the profiles of their beneficiaries.
5.4. CAPACITY DEVELOPMENT
To encourage capacity development, implementers should:
• Build the technical knowledge and practice of their ES experts.
• Provide ES technical trainings to local partners at the community level.
• Increase their conceptual understanding about economic vulnerability and activities
to match the needs of vulnerable households in the community.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201756
• Explore new or innovative ES interventions that reflect prevailing social and market
conditions and levels of economic vulnerability.
• Build the capacity of their experts to provide effective business development and
other ES services to participants.
• Build the capacity of their experts to conduct research to gain evidence-based
lessons on ES interventions that work best based on situational needs.
• Ensure that capacity development programs for communities take into account the
needs of the disadvantaged, especially women and people with disabilities.
5.5. RESOURCE ALLOCATION AND UTILIZATION
To foster effective and efficient allocation and utilization of resources, implementers should:
• Create adequate linkages with government and nongovernment stakeholders,
including the private sector, to mobilize monetary and non-monetary resources, in
a sustainable manner.
• Clearly identify their geographic coverage, the type of ES interventions to be
implemented, and the profile of beneficiaries they support to avoid duplication of
effort and to use scarce resources efficiently.
5.6. AVOIDING STIGMA AND DISCRIMINATION
While identifying and supporting households that are affected and infected by HIV/AIDS,
implementers should:
• Take utmost care to avoid stigma and discrimination that may occur directly or
indirectly.
• Treat all targeted households equally and with respect.
• Train program staff to practice sensitivity and respect and to not tolerate stigma and
discrimination.
5.7. ENVIRONMENTAL PROTECTION
Sustainable management, protection, conservation, maintenance and restoration of
ecosystems are fundamental for sustainable economic development and the wellbeing of any
society. In implementing the ES interventions, implementers should ensure that:
• resources used for business inputs as raw materials should be used sustainably;
• by-products of the economic strengthening beneficiaries are environmentally
friendly; and
• beneficiaries contribute to environmental protection.
Cross Cutting Issues 57
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201758
Mainstreaming, Partnership, and Networking 59
Guidelines for
Mainstreaming,
Partnership and
Networking
Section 6
6. MAINSTREAMING, PARTNERSHIP, AND NETWORKING
To realize effective and sustainable interventions, ES interventions must be mainstreamed
into existing policies, strategies, and implementation procedures. Economic strengthening is
a means to provide care, support, and protection to people vulnerable to or living with
HIV/AIDS. Therefore, ES interventions cannot be implemented in isolation from other
programs—especially government policies and strategies—that address the needs of
vulnerable people.
6.1. MAINSTREAMING ES INTERVENTIONS
To ensure the sustainability of ES support provided to vulnerable populations, it must be
mainstreamed with other relevant government policies and strategies such as Rural Productive
Safety Net Program (RPSNP), Urban Productive Safety Net Program (UPSNP), Social
Protection Policy, Food and Nutrition Strategy, Health Policy, HIV/AIDS Policy, Education
Policy, Small and Medium Enterprise Development Policy, Child Protection Policy, Gender
Policy, and so on. As government revises and expands its programs and policies, ES should
be explicitly incorporated into them and any accompanying legislation to harmonize the
support with the policies.
All development partners and ES implementers should take in to account and ensure that
their projects comply with the government policies and strategies.
6.2. PARTNERSHIP AND NETWORKING
Partnership is paramount to implement ES interventions and to address the problem or needs
of targeted households. All stakeholders engaged in ES interventions should adhere to the
following recommendations:
• Implementers should establish active partnerships with international and national
NGOs, CCCs, and CBOs that work on ES interventions.
• Implementers should collaborate with relevant government offices at all levels (refer
to Section 4 in these guidelines) while designing, implementing, and evaluating ES
interventions to ensure ownership and sustainability, particularly as projects phase
out.
• Implementers should engage the private sector to provide:
- access to markets and sellers of inputs (important link in value chain)
- employment opportunities
- training and internship/apprenticeship
- access to needed inputs and other resources
6.3. COORDINATION
Coordination of ES interventions improves the wellbeing of vulnerable populations through
provision of ES support to households, as a foundation instead of individual case. This will
involve effective planning to provide appropriate support to the targeted households, monitor
the implementation process, manage household livelihood transitions that result from ES
interventions, and make adjustments to the interventions, as appropriate.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201760
Coordinated ES programming requires linkage with all relevant sectors to ensure that the
appropriate mix of ES interventions is provided to the targeted households. A well-
coordinated ES intervention can effectively address the needs of targeted households. Most
importantly, coordination is critical to provide services in an integrated manner and to avoid
or reduce duplication of effort, fill any gaps between ES interventions, increase the coverage
of ES interventions, and to enhance the efficiency and effectiveness of these interventions
To provide quality ES interventions to targeted households, coordination should occur at all
levels, not just at project/program implementation level. All stakeholders involved should
monitor to ensure that the targeted households have obtained the necessary support in
accordance with these guidelines.
Coordination of ES interventions requires consistent information-sharing mechanisms, strong
levels of cooperation, collective vision, and long-term commitment.
Mainstreaming, Partnership, and Networking 61
GLOSSARY OF TERMS
Beneficiaries: People receiving services. Targeted beneficiaries should be vulnerable
persons, including lactating mothers/PMTCT (prevention of mother-to-child transmission)
clients who have children started on supplementary food (children above 6 months of age),
OVC (particularly older OVC who are heads of households and currently trying income-
generating activities), and OVC living with HIV, OVC attending school.
Economic security: A household or community is economically secure when conditions
allow it to meet its essential economic needs in a sustainable way, without resorting to
strategies that are damaging to livelihoods, security and dignity.
Economic strengthening: The portfolio of strategies and interventions that supply, protect,
and/or grow physical, natural, financial, human, and social assets of households. Some
economic strengthening interventions include cash transfers (conditional and unconditional),
vouchers, cash-for-work, food-for-work, and microfinance, among many others.
Economic vulnerability: The conditions determined by physical, social, economic,
environmental, and political factors or processes, which increase risk and susceptibility of
people to the impact of hazards.
Household: Members of the same family unit sharing a common income/expenditure pot.
This includes a unit that has one member heading itself or a unit with more than one member
(N.B. this definition may vary from context to context.)
Indicator: Quantitative or qualitative factor or variable that provides a simple and reliable
means to measure achievement or to reflect the changes connected to an operation.
Joint Supportive Supervision: Is a monitoring visit conducted by staffs of implementing
partners and government sector offices together aiming at building capacity of grass root
implementers.
Livelihood: The capabilities, assets, and strategies that people use to make a living. That
is, to achieve food and economic security through a variety of productive economic activities
Market assessment: Market research and/or information gathering on markets and their
context of project towns/regions to identify enterprises that are feasible for PLHIV.
Provision: Providing food and assets in the form of short term and targeted financial and/or
physical assets to destitute PLHIV, PMTCT clients, and OVC. The interventions for
households at this level of vulnerability include provision of therapeutic and supplementary
food, food vouchers, and provision of matching funds to enable food insecure PLHIV to start
or expand economic activity.
Protection: Building the capacity of food insecure PLHIV, PMTCT clients, and OVC to
enable them to reduce risks or cope with shocks. It involves assisting these households to
smooth income and consumption and manage cash flows. Basic activities include financial
education training and access to savings, loans, and insurance vi services through informal
groups to ensure accumulation of assets and access to risk mitigation facilities.
Promotion: Expansion of household income and assets of food insecure PLHIV, PMTCT
clients, and OVC through linkage to long-term livelihoods opportunities to enable them meet
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201762
vi Insurance services refer to small insurance services individuals get through their membership in informal saving andlending groups
the increasing expenses of basic needs and education. Activities include income-generating
activities (IGAs), enterprise development, value chain development, linkage with business
development services (BDS) and formal microfinance service providers, technical training
in selected enterprises, and business skills training.
Street people: street people include children, men, women and youth living on the streets
and may need ES support as per this guideline.
Unconditional cash transfers: Cash transfers from governments or NGOs given without
conditions attached to individuals or households identified as highly vulnerable, with the
objective of alleviating poverty, providing social protection, or reducing economic
vulnerability.
Value chain: A value chain is a supply chain made up of a series of actors from input
suppliers to producers and processors to exporters and buyers engaged in the full range of
activities required to bring a product from its conception to its end use. Value chain activities
can be contained in a single geographical location or spread over wider areas. Activities
leverage intervention points identified by value chain analyses and technical trainings in
enterprises to be selected by the value chain analyses.
Glossary of Terms 63
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1 The World Bank. Population growth (annual %).
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2 Ethiopian Central Statistics Agency. 2013.
Population Projection for Ethiopia 2007 to 2037.
3 National Planning Commission. 2016. Second Growth and Transformation Plan (GTP 2).
January (Amharic version).
4 The United Nations Development Program. 2015.Human Development Report
2015.http://hdr.undp.org/sites/all/themes/hdr_theme/country-notes/ETH.pdf.
5 Ethiopian Health and Nutrition Research Institute, Federal Ministry of Health.
HIV Related Estimates and Projections for Ethiopia – 2012.
6 The United Nations Development Program. Human Development Report
2015.http://hdr.undp.org/sites/all/themes/hdr_theme/country-notes/ETH.pdf.
7 Goshu, D. 2013. “The Dynamics of Poverty and Vulnerability in Rural Ethiopia.”
Ethiopian Journal of Economics Vol. 22, No. 2.
8 Ministry of Labour and Social Affairs, FDRE.2015.
National Social Protection Policy of Ethiopia (Final Draft).
9 Ibid.
10 PEPFAR (The US President’s Emergency Plan for AIDS Relief).2012 (July).
Guidance for Orphans and Vulnerable Children Programming.
11 Livelihoods and Food Security Technical Assistance Project. Economic Strengthening
for Vulnerable Children Resource Guide.2013.
http://theliftproject.org/economic-strengthening-for-vulnerable-children-resource-guide/.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201764
OTHER REFERENCES
1. Asmamaw, Abiot and Zemenu Demeke. 2015. Sustainability of Productive Safety Net
Program in Amhara Regional State: Case Studies of Kalu and Wadela Woredas
International Journal of Science and Research 4(2):306-311.
2. CPC Livelihoods and Economic Strengthening Task Force. 2013. Children and
Economic Strengthening Programs: Maximizing Benefits and Minimizing Harm.
3. Department of Trade and Industry, Republic of South Africa. 2008.
National Youth Economic Empowerment Strategy (2009-2019).
4. Donahue, Jill. 2000. HIV/AIDS & Economic Strengthening via Microfinance. USA.
5. Ethiopian Economics Association. 2015. Report on the Ethiopian Economy. Addis
Ababa, Ethiopia.
6. Ethiopian Economics Association. 2011. Proceedings of the 8th International
Conferences on The Ethiopian Economy. Addis Ababa, Ethiopia.
7. Fay, Marianne, Lorena Cohan, and Karla McEvoy. n.d. Public Social Safety Nets and
the Urban Poor. The Urban Poor in Latin America.
8. FDRE. 1995. Constitution of the FDRE Proclamation No1/1995. Addis Ababa,
Ethiopia.
9. FMOYSC. 2004. National Youth Policy. Addis Ababa, Ethiopia.
10. FHAPCO. 2014. HIV/AIDS Strategic Plan: 2015-2020 In an Investment Case
Approach. Addis Ababa, Ethiopia.
11. FMOUDHC. 2015. Livelihood support operational manual. Addis Ababa, Ethiopia
12. FMOWCYA and FHAPCO. 2010. Standard Service Delivery Guidelines for Orphans
and Vulnerable Children’s Care and Support Programs. Addis Ababa, Ethiopia.
13. FMOWCYA. 2014. National Youth Livelihood Program Development Guideline. Addis
Ababa, Ethiopia.
14. Government Project Preparation Team. 2013. Productive Social Safety Net Program
(PSSN): Operational manual. The United Republic of Tanzania.
15. International HIV/AIDS Alliance. 2006. LIVELIHOODS AND ECONOMIC
STRENGTHENING. UK.
16. James-Wilson, David, Veronica Torres, Thierry van Bastelaer, Brenda Yamba, Lisa
Parrott, Margie Brand and Ben Fowler. 2008. Economic Strengthening for Vulnerable
Children: Principles of Program Design and Technical Recommendations for Effective
Field Interventions.
17. Ministry of Health and Social Welfare, The United Republic of Tanzania. 2009.
National Guidelines for Improving Quality of Care, Support, and Protection for Most
Vulnerable Children in Tanzania.
18. Ministry of Health and Social Welfare, The United Republic of Tanzania. 2014.
National Guidelines for Economic Strengthening of Most Vulnerable Children
Households.
19. Moret, Whitney. 2014. Economic Strengthening for Female Sex Workers: A Review of
the Literature. ASPIRES, FHI 360
References 65
20. REPSSI. 2009. Mainstreaming Psychosocial Care and Support into Economic
Strengthening Programs. Johannesburg, South Africa
21. Regional Hunger and Vulnerability Program. n.d. Practitioners’ Guide to Household
Economy Approach.
22. Save the Children Fund and FEG Consulting. 2008. The Household Economy
Approach: A guide for program planners and policy-makers. UK.
23. Stene, Angela, TaaraChandani, AneesaArur, Rebecca Patsika and Andrew Carmona.
2009. Economic Strengthening Programs for HIV/AIDS Affected Communities:
Evidence of Impact and Good Practice Guidelines. Bethesda, MD: Private Sector
Partnerships-One project, Abt Associates Inc. USA.
24. Xiong, Khou. 2012. Review of the Evidence: Linkages between Livelihood, Food
Security, Economic Strengthening, and HIV-Related Outcomes. MEASURE
Evaluation.
25. የኢፌዴሪ ከተማ ልማት፣ ቤቶችና ኮንስትራክሽን ሚኒስቴር (2007) ፡፡ የከተሞች ምግብ ዋስትና ስትራቴጂ፡፡
አዲስአበባ፤ ኢትዮጵያ፡፡
26. የኮከብ ብርሃን / ፓክት ኘሮጀክት በከፍተኛ ሁኔታ ተጋላጭ ለሆኑ ሕፃናት (2004): የጥቃቅን ሥራ ፈጠራ
ምርጫ፣ እቅድና የሥራ አመራር የሥልጠና ማኑዋል የአሠልጣኞች / የአመቻቾች መመሪያ (ረቂቅ)
27. የኢትዮጵያ ፌዴራላዊ ዴሞክራሲያዊ ሪፐብሊክ የሴቶች ሕጻናትና ወጣቶች ጉዳይ ሚኒስቴር (2003) ፡፡
ብሔራዊ የሥርዓተ - ጾታ ማካተቻ ጋይድ ላይን፡፡ አዲሰአበባ፤ ኢትዮጵያ፡፡
28. የአማራ ብሄራዊ ክልላዊ መንግስት (2004) ፡፡ “የማህበረሰብ ድጋፍና ክብካቤ ጥምረትን” ለማቋቋም የተዘጋጀ
ደንብ 92/2004፡፡ ባሕርዳር፤ ኢትዮጵያ፡፡
29. የአማራ ብሄራዊ ክልላዊ መንግስት (2004) ፡፡ “የማህበረሰብ ድጋፍና ክብካቤ ጥምረት” የአሰራር ማንዋል፡፡
ባሕርዳር፤ ኢትዮጵያ፡
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201766
Annex 67
ANNEX 1
Household Economic Vulnerability Assessment Tool: User Guide
1. BACKGROUND
With support from USAID/PEPFAR, FHI 360’s Household Economic Strengthening
Activities (HESA) project has developed and validated a Household Economic Vulnerability
Assessment (HHEVA) Tool (see Annex 1) with the overarching objective of improving the
targeting of scarce resources to households with highly vulnerable children (HVC) in their
care, or to people living with HIV (PLHIV) who are enrolled in antiretroviral therapy (ART).
The tool was developed based on a detailed review and understanding of locally available
vulnerability assessment tools and international experiences. The HHEVA tool will serve
economic strengthening (ES) implementing partners (IPs) and other organizations or
Government of Ethiopia (GOE) agencies involved in ES programming to categorize
households based on their level of economic vulnerability and to align ES interventions
accordingly (see the National Economic Strengthening Guidelines; NESG).
2. INTRODUCTION: HIV/AIDS AND HOUSEHOLD ECONOMIC
VULNERABILITY
HIV/AIDS can have profound impacts on household economic status. In Africa, households
affected by HIV have been found to be drastically poorer than unaffected households, with
research demonstrating that the average household income of the HIV-affected households
was 40% or 35% lower than that of the unaffected households in South Africa, and 27%
lower in Nigeria respectively.
HIV/AIDS contributes to poverty by reducing household labour capacity, through illness,
death, and related expenses, and eroding household assets over time. Access to resources
may be negatively affected by the effects of stigma on social relations. Extended families
face the financial burden of caring for ill members as well as orphans left behind after the
death of a caregiver. Furthermore, caring for ill family members can hurt future asset
accumulation by detracting from productive activities. Children may be withdrawn from
school to attend to caregiving responsibilities, damaging their economic prospects in the
long-term. To cover expenses, households may sell productive assets such as livestock or
land, which impairs future productivity and leads to further economic deterioration. The death
of household members can lead to a loss of productivity, as households lack sufficient labour
to maintain a livelihood.
Effective economic and social care and support can help households reduce their vulnerability
to HIV-related shocks and avoid economic deterioration. Economic strengthening
interventions are designed to provide this support at various levels of economic vulnerability.
Framework for Targeting ES Initiatives
As part of the NESG, the HHEVA tool user guide is based on the LIFT Livelihood and Food
Security Conceptual Framework. The Livelihoods and Food Security Technical Assistance
II (LIFT) framework describes the characteristics of households at different levels of
economic vulnerability, the strategies they use to manage risk and cope with shocks,
associated livelihood objectives for enhancing their vulnerability status, and potential
livelihood interventions to assist with this process. The LIFT framework gives clear guidance
about the type of livelihood interventions that should be implemented to address the needs
of targeted HHs at each level of vulnerability.
3. THE HOUSEHOLD ECONOMIC VULNERABILITY ASSESSMENT
TOOL
The quantitative HHEVA tool developed by HESA takes measurements at the household level
and helps ES IPs categorize households based on their level of economic vulnerability in
order to align ES interventions accordingly. This tool has been developed and validated as a
guideline for IPs to use in developing household assessment forms. It is designed to include
the main components of economic vulnerability analysis, but also to be flexible to be
adaptable to the needs of the organization and the community, but to include the main
components of economic vulnerability analysis.
Assessing household vulnerability is the first step in determining which economic
strengthening interventions are appropriate for which households. This HHEVA will help
IPs to target ES interventions to those who need them most.After completing the assessment,
households will be classified as extremely vulnerable (destitute), highly vulnerable (struggling
to make ends meet), moderately or less vulnerable (ready to grow). Each level of vulnerability
corresponds to a range of economic strengthening interventions with which households can
then be supported or referred.
Tool Development
The HHEVA tool incorporates questions that were adapted from existing tools used for similar
purposes in Uganda, Kenya, and Ethiopia. The tool was then field-tested and validated in
two phases. The first phase of validation was to compare the outputs generated by the HHEVA
against existing tools that had already been field-tested or validated locally to determine the
cut-off points at which households should be categorized into one of three levels of
vulnerability: destitute, struggling to make ends meet, or ready to grow.
The HHEVA, Child Support Index (CSI), and Progress out of Poverty Index (PPI) were used
in the same households and analysed to determine whether they classified households in the
same vulnerability categories at different cut-off points for each tool. The CSI had already
been field-tested by the Yekokeb Berhan project, so its cut-off points were predetermined.
These were compared against PPI scores at different cut-off points. The cut-off points for the
PPI categories were selected based on where they had the greatest level of agreement, and
lowest level of disagreement, with the CSI. The same process was used to compare categories
generated by the HHEVA to those generated by the CSI at different cut-off points, and then
to do the same comparing the HHEVA to the PPI. This analysis found the highest level of
agreement where HESA cut-offs were calculated at one standard deviation below and above
the mean score. During the first phase, the HHEVA tool was also examined to ensure adequate
variability between the responses to several questions. These questions were revised
accordingly for the second phase of data collection.
The second phase of validation involved assessing the variability of the updated questions
and comparing the results of the updated tool against the previous version. The cut-off points
were determined based on this analysis.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201768
Scoring
Each question in the HHEVA will be given a score of 1 to 3 based on the selected response
option. The HHEVA consists of 25 questions, generating a total score between 25 and 75
points. The score ranges for each level of vulnerability are as follows:
4. DOMAINS OF THE HHEVA
DOMAIN 1: FOOD AND NUTRITION SECURITY
A household is considered food secure when “it has access to the food needed for a healthy
life for all its members (adequate in terms of quality, quantity, safety and culturally
acceptable), and when it is not at undue risk of losing such access.” The four basic dimensions
of food security are: physical availability of food, economic and physical access to food,
food utilization, and stability of availability, access, and utilization over time.
Household food security requires adequate home production of food and/or adequate
economic and physical access to food. Economic access comes from an adequate purchasing
power, while physical access refers to the proximity of markets or other distribution channels
through which food may be acquired.
The degree of adequacy of dietary energy intake for the health, growth and activity of all
individual household members is one measure of household food security. The concept also
has implications of assurance of future intake—removing the fear that there will not be
enough to eat. Both “current” and “future” aspects are implicit in the definition.
Gathering Information to Rate Household Food and Nutrition Security
To rate a household’s food and nutrition security, the data collector will ask the head of the
household/caregiver about how many meals are consumed per day by household members,
their main source of food (supply) in the past four weeks, and whether any member of the
household goes without food for a whole day/to bed hungry.
vulneraBility level score range
Provision / Destitute 25 – 45
Protection / Struggling 46 – 57
Promotion / Ready to Grow 58 – 75
# Question response optionscore
(circle one)
1
How many meals does
this household have
per day?
a) One
b) Two
c) Three or more
1
2
3
2
Over the past four
weeks, what has been
the MAIN source of
food for the
household?
a) Donation (emergency relief,
relatives, friends, neighbours)
b) Given in return for labour work
c) Home garden grown or bought
from the market
1
2
3
DOMAIN 2: DOMESTIC WATER SUPPLY
Access to a safe and healthy water source is important for health and wellbeing. For people
affected by HIV, water access has particularly important health consequences. Consumption
of unimproved water and poor latrine sanitation may cause household members to contract
parasites and increases the chances of PLHIV to contract opportunistic infections. ,
However, HIV status may complicate access to water by diminishing labour capacity to
collect water or the means to afford a healthy source of water. Having a nearby water source
reduces the labour burden of water collection for HIV-affected households, leaving more
time for productive activities and caregiving.
Finally, HIV-affected households may need more water than other households for the
purposes of bathing, washing soiled clothing and linen, and taking medications. PLHIV may
require additional water to take ARVs and mitigate potential side effects.
Water sources are considered improved when they are protected from contamination. WHO
and UNICEF have defined a “drinking water ladder” ranking different water sources from
least to most desirable. At the top of the ladder is the ideal source of water, which is water
piped directly into a dwelling. Other improved sources of water include public taps or
standpipes, tube wells or boreholes, protected dug wells, protected springs, and rainwater
collection. Unimproved water sources are potentially hazardous. These include unprotected
dug wells, unprotected springs, carts with small tank/drum, tanker truck, surface water (river,
dam, lake, pond, stream, canal, irrigation channels), and bottled water.
# Question response optionscore
(circle one)
3
Over the past four
weeks, did any
member of the
household ever go
without food for a
whole day because
there wasn’t enough?
a) Yes, more than 5 times in the last
4 weeks.
b) Yes, 1-4 times in the last 4
weeks.
c) Never.
1
2
3
# Question response optionscore
(circle one)
4
What is the primary
source of the water
your household uses
for drinking and
cooking inside the
home?
a) River, stream, lake, pond, or
unprotected well/spring.
b) Public taps, rainwater, protected
spring/well, gravity flow scheme.
c) Private connection (piped water
supply from a public water
supplier).
1
2
3
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201770
Gathering Information to Rate Household Domestic Water Supply
The data collector will collect information from the household head on the primary source
of water for the household members, what they do to make the water safer to drink, and how
often the household worries that there will not be enough water.
DOMAIN 3: HEALTH AND HEALTH CARE
Throughout the developing world, challenges in access to health services are common. Health
systems are plagued by inadequate quality, barriers to access, and misinformation about
illness and appropriate treatment. Adequate access to health care is of primary importance to
households affected by HIV, both in terms of physical wellbeing and economic status. HIV
pushes poor families further into poverty, which in turn can negatively affect access to and
quality of prevention, treatment, and care services. There is evidence that children of parents
with HIV/AIDS and children who have been orphaned by HIV/AIDS are less likely to access
and use available medical care for prevention and treatment of illnesses, including treatment
for pediatric HIV/AIDS.
Barriers to access to health services include lack of transportation or long travel times to
district hospitals, high transportation costs, gender norms, and HIV-related discrimination.
Furthermore, families affected by HIV/AIDS may need to spend a large portion of their
budget on accessing health care and paying for treatment.
# Question response optionscore
(circle one)
5
What do you usually
do to make the water
safer to drink?
a) Nothing (don’t treat at all).
b) Traditional methods (strain
through a cloth, let it stand and
settle, etc.) or modern methods
(boil, add bleach/chlorine, use
water filters like ceramic, sand or
composite, etc.).
c) Already have access to piped
potable water.
1
2
3
6
How often do you
worry there will not be
enough water from your
household’s main water
source to satisfy your
household’s drinking
and cooking needs?
a) Very frequently – once every
week to every day.
b) Sometimes – every few weeks to
once every month.
c) Rarely – less than once per
month.
1
2
3
# Question response optionscore
(circle one)
7
How does your
household access
information about
health and health
services?
a) No/limited access to health
information.
b) Community health worker.
c) Radio and/or TV.
1
2
3
Gathering Information to Rate Household Health and Health Care
Queries about access to health and health care services for the households include how the
household accesses information about health and health services, how long it will take to reach
the nearest health facility, and whether the household can afford the cost of medical fees.
DOMAIN 4: SANITATION AND HYGIENE
Access to healthy sanitation facilities is of particular importance to PLHIV, who are
susceptible to opportunistic infections that could be transmitted via inadequate sanitation.
However, HIV can be a barrier to accessing adequate water and sanitation due to its effects
on household economic status and social status due to stigma. Economic constraints limit
access to individual household toilets, fuel for boiling water, and water for households
affected by HIV/AIDS.
A sanitation facility is considered improved if it is privately used by one household and
separates human waste from human contact. Sanitation facilities can be identified as
unimproved where a household has no latrine or toilet facility or a bucket system; an open
latrine, a shared private facility, or a shared public facility. Households with improved
sanitation use a pour-flush latrine or ventilated improved pit latrine, or toilet. Hygiene
practices are considered poor where household members lack access to hand washing, and
bathing facilities and detergents in the house, or wash their hands with water but have no
soap and other detergents. Good hygiene practices include access to hand washing and bathing
facilities with the availability of soap and other detergents in the house.
# Question response optionscore
(circle one)
8
How long will it take
you (or member of
your household) to
reach to the nearest
health facility that can
diagnose and treat
complicated or serious
illnesses or injuries
(can perform surgery)?
a) More than 2 hours.
b) Up to 2 hours.
c) Less than 1 hour.
1
2
3
9
Can your household
afford the costs of
medical fees for any
level of diagnosis and
treatment?
a) No.
b) Partly, yes.
c) Yes.
1
2
3
# Question response optionscore
(circle one)
10
What type of toilet
facility does your
household usually use?
a) Pit latrine (shared), field/forest,
container (household bucket), or
other.
b) Pit latrine (private).
c) Flush toilet (private or shared).
1
2
3
Gathering Information to Rate Household Sanitation and Hygiene
The data collector will identify the type of toilet facility the household uses and the availability
of soap for cleaning hands through interviewing the household head and observing the
household.
DOMAIN 5: HOUSING, CLOTHING, AND ENERGY
Quality housing is important to protect against the effects of HIV as well as the risk of
contracting HIV or related opportunistic infections. Adequate housing is protective against
HIV risk, because homeless people face increased risk of sexual and physical abuse, domestic
violence, and limited ability to negotiate safe sex due to the need for a safe place to stay.
Poor housing and exposure to the elements can also contribute to the spread of opportunistic
infections for PLHIV. In communities where HIV/AIDS prevalence is high, children are
highly at risk of being left without suitable shelter or care, leaving them vulnerable to abuse
and developmental stunting.
Access to different types of cooking fuel can indicate both socioeconomic status, and the
health of the household environment, which can be negatively affected by fuels that produce
indoor smoke. Finally, access to more than one set of clothing is important for both hygiene
and social status, including effects on children’s participation in schooling.
# Question response optionscore
(circle one)
11
Does your household
provide soap (any kind
of soap) for cleaning
hands (like before/after
meal or after using
toilets)?
a) No.
b) Sometimes, yes.
c) Yes, always.
1
2
3
# Question response optionscore
(circle one)
12
What is the type of
your house (i.e.,
construction materials
it is made from)?
a) Temporary (mud, grass and
wattle, etc.).
b) Semi-permanent (mud, iron
sheet, etc.).
c) Permanent (brick, cement, etc.).
1
2
3
13
Does your household
own the house/shack
you are living in?
Or do you rent it?
Or do you live here
without paying?
a) Live in somebody’s home.
b) Live in rented private or
government/kebele housing.
c) Live in own home.
1
2
3
Annex 73
Gathering Information to Rate Household Housing, Clothing, and Energy
The data collector will identify the type of toilet facility the household uses and the availability
of soap for cleaning hands through interviewing the household head and observing the
household.
DOMAIN 6: EDUCATION
Although primary education in Ethiopia is free, related costs, such as school supplies and
uniforms, may become too much of a burden for households affected by HIV/AIDS to handle.
Households responding to the economic burden of HIV/AIDS often withdraw their children
from school to use their labour for subsistence activities or to direct money otherwise used
for school expenses to cover basic needs and health services and treatment. Children in HIV-
affected households who continue to attend school may face additional time pressures because
of responsibilities associated with caring for PLHIV or younger siblings, or efforts to replace
lost adult labour and income.
# Question response optionscore
(circle one)
14
How many dwelling
rooms does you house
have?
a) Single dwelling room.
b) 2 dwelling rooms.
c) 3 or more dwelling room.
1
2
3
15
What type of fuel do
you use most of the
time to prepare food
for the household?
a) Mainly firewood (purchased or
collected), animal dung, crop
residue or other.
b) Charcoal, kerosene, butane gas.
c) Electricity.
1
2
3
16
Do your household
members have more
than one set of clothes?
a) Only one set of clothes.
b) Two sets of clothes.
c) Three or more sets of clothes.
1
2
3
# Question response optionscore
(circle one)
17
What is the highest
level of education you
(or the household
head) have attained?
a) Illiterate.
b) Read/write, primary or secondary.
c) Tertiary (college or above).
1
2
3
18
Are children in the
household currently
enrolled in school?
(children between the
ages of 6-17)
a) No.
b) Yes, but there are also children
that are not enrolled.
c) Yes, all are enrolled.
1
2
3
Gathering Information to Rate Household Education
Data collectors ask questions about the highest level of education attained by the household
head/caregiver, whether or not all school-aged children are currently enrolled in school, and
whether or not the household can afford children’s school fees and supplies. The field worker
can also observe the child’s supplies like exercise books, pencils, and school uniforms.
DOMAIN 7: INCOME / ASSETS
HIV/AIDS can have strong negative impacts on the income, asset wealth, and long-term
economic security of affected households. Studies indicate that HIV/AIDS-affected
households tended to have monthly incomes one-third less than non-affected households.
Moreover, in several countries, income in orphan households has been found to be 20-30%
lower than in non-orphan households, average income falls, and savings are depleted. Further
for households affected by HIV/AIDS, the burden of medical and related expenses induces
changes in family spending patterns. This may force affected households to reduce spending
on food, housing and education.
# Question response optionscore
(circle one)
19
Can your household
afford your children’s
school fees and school
supplies?
a) No
b) Partly, yes (i.e., the
household is able to cover
small costs such as
stationery materials, but
not able to afford costs like
school uniform or monthly
school fees).
c) Yes.
1
2
3
# Question response optionscore
(circle one)
20
What is the MAIN
SOURCE of household
income? (Emphasis is
main source only)
a) None (dependent on
family/relatives’ support,).
b) Casual labour, small scale
agriculture, crafts, or petty business
such as trading in market or an
informal post or door-to-door sales.
c) Own formal/licensed business or
formal employment/wage, or have
productive assets.
1
2
3
21
Which of the following
items take up most of
the household income?
a) Mainly food.
b) Basic needs (food plus clothing and
housing).
c) Basic needs (food, clothing,
housing) as well as other items like
schooling, transportation, medical
bills, and recreational costs.
1
2
3
76
Gathering Information to Rate Household
Data collectors ask questions about the highest level of education attained by the household
head/caregiver, whether or not all school-aged children are currently enrolled in school, and
whether or not the household can afford children’s school fees and supplies. The field worker
can also observe the child’s supplies like exercise books, pencils, and school uniforms.
DOMAIN 8: EXPOSURE AND RESILIENCE TO SHOCKS – SOCIAL
PROTECTION
HIV/AIDS increases household vulnerability to shocks by straining its economic capacity as
well as the social relations needed to respond to shocks. Social protection schemes, though
usually not set up to address HIV, can be an important part of reducing household
vulnerability to the effects of HIV. An example of an HIV-sensitive social protection
interventions is the provision of cash, food, or other transfers for those affected by HIV and
those who are most vulnerable. In addition, microcredit and savings programmes can help
decrease the economic vulnerability of PLHIV and households affected by the virus.
# Question response optionscore
(circle one)
22
Are you or any
member of your
household involved in
any savings and
lending group or club?
a) No, can’t afford regular savings
OR didn’t have such an
opportunity/information.
b) No, didn’t want to participate.
c) Yes.
1
2
3
23
Does your household
have access to or
information about
financial services?
a) No, I don’t have any information.
b) I have information but can’t access.
c) Yes, I have access.
1
2
3
24
Does your household
currently benefit from
emergency government
cash transfer or in kind
support programme?
a) Yes, the household used the cash or
in-kind support for intended
purposes (i.e., for emergency relief
intended to meet their basic needs
for food and non-food items, or
services).
b) Yes, after meeting basic needs, the
household used the cash or in kind
support to buy assets essential for
the recovery of their livelihoods or
running/expanding businesses.
c) No, the household has not been
eligible for government cash
transfer or in kind support or hasn’t
requested government to benefit
from it.
1
2
3
Gathering Information to Rate Household Exposure and Resilience to Shocks (Social
Protection)
The data collector will gather information on whether any member of the household is involved
in any savings and lending groups, whether the household has access to or information on
financial services, and whether the household is currently benefiting from government cash
transfers (cash or in kind) through interviews with the household head/caregiver.
DOMAIN 9: GENDER AND SOCIAL EQUALITY
Gender inequality has a number of negative effects on vulnerability in the context of HIV; it
increases vulnerability of women and girls to HIV transmission and it hinders HIV prevention,
treatment, and care. Gender inequality also hurts the socioeconomic status of women and
girls, limiting their ability to cope with the illness and its effects.
Gathering Information to Rate Household
The data collector will gather information on whether there is a difference between female
and male members of households regarding access to education, social services and economic
decision making.
5. ADMINISTERING, SCORING, AND USING THE HHEVA TOOL
Data Collectors / Field Workers Training
Data collectors/field workers implementing the HHEVA tool must be trained to a high
standard. Some of the training content may require critical thinking around the questions in
the HHEVA tool and how to use them effectively, while other content may deal with practical
observations at field level. As the quality of the results of the HHEVA tool is in the hands of
the data collectors/field workers, it is important to organize the training in detail and run
through the interviewing process multiple times throughout the training. Practice makes
perfect! During the training in addition to the geographic and socio-demographic and the
nine domains, make sure to touch on these areas of knowledge:
# Question response optionscore
(circle one)
25
Is there a difference
between female and
male members of your
households regarding
access to education,
social services and
economic decision
making?
a) Yes, males have better access to
services and dominate economic
decision making.
b) It appears male household members
have better access to services and
economic decision making but the
difference is not significant.
c) There is no partiality between males
and females regarding access to
services and economic decision
making.
1
2
3
Annex 77
1. describing the purpose of the assessment
2. stating who sponsors the assessment and what organizations are involved
3. training sufficient information on the assessment methods and the data collection
tools, including how they were constructed
4. explaining the sampling logic and process and why this is important (how
participants were selected) and how respondents should be recruited
5. explaining interviewer bias and how not to inadvertently skew results
6. principles, standards, and practices essential for ethical research, best practices
for addressing sensitive topics with research participants
7. walking through and rehearsing interviews/questions in the tool
8. explaining supervision and quality control (performance standards/completed
questionnaire requirements)
9. explaining data collection scheduling (and how data collectors must
accommodate target households’ and respondents’ schedules)
10. for supervisors’ training, explaining questionnaire editing and data management
and others
Conduct the Assessment Visit
Before the actual field work, the data collector/field worker should understand the goal and
content of each factor and domain on the HHEVA tool by memory, so he/she is prepared to
ask the right questions, make good observations, and elicit the information necessary to rate
the household economic vulnerability.
The HHEVA tool rating is part of a home visit conducted by field workers. The field worker
has a brief and informal discussion with the household head/caregiver, or other adults as
needed to gather the required information on household economic vulnerability. Field workers
should gather information from discussions and observations that relates to all nine structured
HHEVA domains, but the field worker should conduct the interviews in a natural and
spontaneous fashion, so that observations about the household’s life can be made in a friendly
and supportive way.
Household economic vulnerability assessments are usually completed during home visits,
and they begin with friendly greetings in accordance with the local culture.
Introduce yourself to the household head or caregiver. The discussion about the household
should be informal. Allow the interviewee to respond spontaneously so that you show your
interest in the household.
Remind the household head / caregiver about the programme serving this household
and the reason for asking questions about the household’s status.
Get the informant’s consent to provide this information before proceeding with the
discussion. The informant should be the person best able to represent the household and to
describe the household’s socio-economic well-being.
Gather Information
First explain how households were selected for the survey and why. Also explain whether
the data collection required Institutional Review Board (IRB) review or other form of local
permission.
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201778
Recommended steps for completing the HHEVA at each household include the following:
1. Engage the household head or other informant(s) in a brief, informal discussion
that addresses the nine domains of the HHEVA tool without the structure of a
formal survey or questionnaire.
2. Start the conversation with general, open-ended questions about the household, to
encourage the person to talk.
3. You may observe that an otherwise physically sound dwelling lacks food, cooking
utensils, latrine, or bedding for the household. When possible, observe the latrine,
type of house and cooking area, and cooking pots for signs of recent food
preparation activities. These types of observations will provide a clearer and more
detailed picture of the household than would either discussion or observation alone.
Do everything you can to verify information revealed in conversations without
being judgmental or overly intrusive.
4. Ensure respondents feel comfortable and know that their participation is voluntary
and that they can refuse to answer questions at any time. The respondent should
not feel challenged or criticized but rather feel your support and interest in those
in the household.
Complete the HHEVA Tool
Immediately after the informal discussion and observations—ideally, just before or just after
walking away from the household—rate the household on all nine domains of the HHEVA
tool. You must assign a score for each factor and for every household, on the three-point
HHEVA scale that ranges from 1 to 3. Rate each factor relative to the average situation in
your community or village. This is NOT optional for any question. Every question must be
completed to calculate the score. Failure to answer even one question will make it impossible
to give the household a score based on the validated scoring criteria.
Analysis and Interpretation of the HHEVA Tool
Analysis
The analysis of the data collected using HHEVA tool can start in the field on the spot. This
is important because it allows findings to be shared between team members every day. In
this way gaps in the information can be identified and followed up, new leads can be shared
and appropriate avenues of further enquiry developed and pursued. It is also important that
team members share their experiences with the field methodology; this helps to identify which
particular approaches work best in any given setting and helps to ensure that all team members
follow similar and effective procedures in the field.
The following stages may be followed to the analysis of the data:
Preliminary analysis: This includes rapid calculations and cross-checks carried out during
and immediately after each interview and observation. The calculations will be carried out
by the enumerators themselves and then cross-checked by the team leader, who provides
daily feedback to team members.
Interim analysis: This will be carried out by the whole team together, roughly half-way
through the field work. Interim analysis may involve compiling and quickly running through
the results obtained so far. The main purpose of the interim analysis is to identify key
questions and issues for follow-up in the field.
Annex 79
Final analysis: This is carried out by the whole team together once all the interviews have
been completed. It involves compiling the findings from the various interviews, summarizing
the results and completing a series of cross-checks.
The interim and final analysis can be carried out in one of two ways. Either the results from
the various interviews can be listed and summarized on flipcharts, or the analysis can be done
using Excel spreadsheet. This has the advantages that it requires less time and it generates a
permanent record of the analysis that can be referred to it in the future.
Interpretation of HHEVA Results
The 25 questions in HHEVA tool produces a score that ranges from a minimum of 25 (most
vulnerable) to a maximum of 75 (least vulnerable). The score ranges for each level of
vulnerability are as follows with the interpretation (see the National ES Guidelines for detail
information):
Destitute/Provision
The first livelihood phase is known as destitution/distress, which reflects that the household
is highly vulnerable in terms of its economic capacity. In this phase, the household’s coping
mechanisms or livelihoods strategies might encompass activities such as seeking charity,
migrating under distress, going without food, and engaging in transactional or commercial
sex. Those households living in such a situation are categorized as destitute and distressed.
They can be supported effectively through asset transfers, including the direct supply of food,
cash (through conditional and unconditional transfers), health care and social services, and
other essential requirements. The support provided to these households is known as
“provision” and aims to enable them to establish some assets and stabilize their consumption.
Struggling/Protection
The second livelihood phase is known as struggling, including households that graduated
into it through provision support and those households that have accumulated some assets.
To cope with stress, these households engage in selling their productive assets, seek wage
labor, migrate to another place for work, borrowing informally at high interest rates, and
other coping mechanisms to cope with livelihood hardships. Households in this phase are
supported through an income-based safety net created by improving access to credit and
savings, provision of financial and material literacy, micro-insurance, and strengthened social
safety nets, among others. These supports enable the households to protect key assets, build
their capacities to smooth consumption and to increase their skill in managing their cash flow.
Ready to Grow/Promotion
Promotion-level support involves activities to stabilize or increase household income and
build productive assets by improving the ability of household members to identify and seize
employment and self-employment opportunities.
vulneraBility level score range
Destitute 25 – 45
Struggling 46 – 57
Ready to Grow 58 – 75
National Economic Strengthening Guidelines for Vulnerable Populations; February, 201780
Disclaimer
The preparation of these guidelines was made possible by the generous support of the American
people through the United States Agency for International Development (USAID), Cooperative
Agreement Number AID-066-LA-134-00002. The contents are the responsibility of MoLSA, MoWCA,
UJCFSA, & FHAPCO and do not necessarily reflects the views of USAID or the United States
Government.