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COMMUNITY-LED ACCELERATED WASH (COWASH)
GENERIC CMP INSTITUTIONAL SANITATION
IMPLEMENTATION MANUAL
Version: FIRST DRAFT
Date: 29/08/2012
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ACRONYMS
ACSI Amhara Credit and Saving Institution
BoFED Bureau of Finance & Economic Development
CDF Community Development Fund
CMP Community Managed Projects
COWASH Community-Led Accelerated WaSH in Ethiopia
DECSI Dedebit Credit and Saving Institution
DSA Daily Subsistence Allowance
FI Financial Intermediary
GOE Government of Ethiopia
GOF Government of Finland
GTP Growth and Transformation Plan
KWT Kebele WaSH Team
MFA Ministry of Foreign Affairs of Finland
MFIs Micro Finance Institutions
MoFED Ministry of Finance & Economic Development
OCSSCo Oromia Credit & Saving Share Company
ODF Open Defecation Free
OMI Omo Microfinance Institute
RSU Regional Support Unit
RWSEP Rural Water Supply and Environmental Programme
RWTT Regional wash Technical Team
SNNPRS Southern Nations and nationalities People’s Regional State
UAP Universal Access Plan
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Acronyms (Continued)
UNICEF United Nation’s Children Fund
VIPL Ventilated Improved Pit latrines
WASHCO Water, Sanitation and Sanitation Committee
WASHCOs Water, Sanitation and Hygiene Committees
WaSH Water, Sanitation and Hygiene
WAT Woreda Appraisal Team
WFO Woreda Finance Office
WIF WaSH Implementation Framework
WOE Woreda Office of Education
WOH Woreda Office of Health
WWO Woreda Water Office
WMP Woreda managed Projects
WWT Woreda WaSH Team
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Table of Contents
1 Introduction ________________________________________________________________ 9
1.1 General Background ____________________________________________________________ 9
1.2 Objective of the manual _________________________________________________________ 9
1.3 Key issues and Addendums to the manual __________________________________________ 9
1.4 CMP APPROACH and its basic features ____________________________________________ 10
2 Componenets of institutional sanitation facilities _________________________________ 11
2.1 School sanitation facilities ______________________________________________________ 11
2.2 Health institution sanitation facilities _____________________________________________ 12
3 Institutional saniation implementation using cmp approach ________________________ 13
3.1 Key issues and CMP project procssing cycle _________________________________________ 13
3.2 Management of the CMP investment fund _________________________________________ 16
3.2.1 Operational responsibility of investment fund management _________________________________ 16
3.2.2 Financial responsibility _______________________________________________________________ 17
3.2.3 Financial Administration and Bank accounts ______________________________________________ 22
3.2.4 Community Managed Projects (CMP) Financial Disbursement System _________________________ 24
3.2.5 Training of WASHCOs in CMP management_______________________________________________ 27
4 Criteria Of eligibility for funding _______________________________________________ 27
4.1 Eligibility of applicants (Which institution may apply) ________________________________ 27
4.2 Eligibility of projects (INSTITUTIONAL SANITATION FACILITIES) _________________________ 28
4.3 Eligibility of costs (defining the amount of grant) ____________________________________ 28
5 Application preparation and follow-up _________________________________________ 29
5.1 Application format and supporting documents ______________________________________ 29
5.1.1 Establishment of Water, Sanitation and Hygiene Committees (WASHCOs) ______________________ 30
5.1.2 Cost estimate _______________________________________________________________________ 30
5.2 Submission and processing of applications _________________________________________ 30
5.2.1 Desk Appraisal ______________________________________________________________________ 30
5.2.2 Field Appraisal ______________________________________________________________________ 33
5.2.3 Approval ___________________________________________________________________________ 35
5.2.4 Funding Agreement __________________________________________________________________ 35
5.2.5 Releasing funds _____________________________________________________________________ 35
5.2.6 Opening WASHCO ledger _____________________________________________________________ 35
6 Management of the Changes during construction ________________________________ 35
6.1 Budget limits _________________________________________________________________ 35
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6.2 Failure to meet the objectives of the Funding agreement _____________________________ 36
6.3 Amendments to the Funding Agreement and budget variations ________________________ 36
7 Reporting & other formats ___________________________________________________ 36
8 Procurement & project implementation management _____________________________ 40
8.1 Project Implementation Management _____________________________________________ 40
8.2 Options for construcion contracting _______________________________________________ 40
8.2.1 Option 1 (Full contracting to private contractors) __________________________________________ 40
8.2.2 Option 2 (Labor contracting to private contractors and material procurement by WASHCOs) ______ 41
8.2.3 Option 3 (Direct labor contracting to individual artisans or artisans cooperatives or micro enterprises,
and material procurement by WASHCOs) ________________________________________________________ 41
8.2.4 Who to decide on the options? ________________________________________________________ 42
8.3 Procurement of Construction Materials ____________________________________________ 42
8.4 Assistance from the respective government structure ________________________________ 43
8.5 Transportation arrangements ____________________________________________________ 43
9 Construction cost of Institutional sanitation facilities ______________________________ 43
10 FUND TRANSFER and closing of WASHCO’s CMP account (ledger) __________________ 46
11 Records and accounts of the operation ________________________________________ 47
12 Audit ___________________________________________________________________ 47
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LIST OF TABLES
Table 1: Financial and operational responsibilities in the management of investment funds..16
Table 2. Sample fund disbursement schedule for approved CMP contribution for a school
latrine and estimated construction budget of birr 200,000 …………………………………………………….26
Table 3. The desk appraisal criteria to be used for institutional latrines..............................31
Table 4. The field appraisal criteria to be used for institutional latrines..............................33
Table 5: Estimated construction cost of a 4 seats girls’, 4 seats boys’ and 2 seats teachers’
latrine for schools ...................................................................................................45
LIST OF ANNEXES
Annex Z. CMP formats for institutional sanitation implementation
Annex Z.1 Institutional Sanitation/Latrine Application form (4 pages)
Annex Z.2 Office appraisal report form (2 pages)
Annex Z.3 Field appraisal report form (10 pages)
Annex Z.4 WASHCOs construction follow up sheet (1 page)
Annex Z.5 Project supervision report form (2 pages)
Annex Z.6 Project completion report format (1 page)
Annex 1. Materials quantity calculation
Annex 1.1 Material breakdown formulas (3 pages)
Annex 1.2 Calculation of materials for 4 seats girls’ school latrine (13 pages)
Annex 1.3 Calculation of materials for 4 seats boys’ school latrine (12 pages)
Annex 1.4 Calculation of materials for 2 seats teachers’ school latrine (10pages)
Annex 1.5 Total material quantities for school latrine (2 pages)
Annex 1.6 Cost of construction materials for schools latrine construction (1 page)
Annex 1.7 Cost of hand tools for school larine construction (1 page)
Annex 2. Labor cost calculation
Annex 2.1 Labor requirements for buildings (2 pages)
Annex 2.2 Labor cost calculation for primary schools latrine
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Annex 2.2.1 Sample unit price calculation for activities of school latrine (11 pages)
Annex 2.2.2 Labor cost estimate for teachers’ latrine at school (3 pages)
Annex 2.2.3 Labor cost estimate for boys’ latrine at school (4 pages)
Annex 2.2.4 Labor cost estimate for girls’ latrine at school (4 pages)
Annex 2.2.5 Summary of labor cost estimate for primary school VIP latrine (1 page)
Annex 3. Bill of quantities for institutional latrines
Annex 3.1 Bill of quantities (BOQ) for school latrines
Annex 3.1.1 Bill of quantities for 2 seats teachers’ latrine at schools (3 pages)
Annex 3.1.2 Bill of quantities for 4 seats boys’ latrine at schools (4 pages)
Annex 3.1.3 Bill of quantities for 4 seats girls’ latrine at schools (4 pages)
Annex 3.2 Amharic version school latrine bill of quantities (work break down)
Annex 3.2.1 Amharic version BOQ for 2 seats teachers’ latrine at schools (3 pages)
Annex 3.2.2 Amharic version BOQ for 4 seats boys’ latrine at schools (4 pages)
Annex 3.2.3 Amharic version BOQ for 4 seats girls’ latrine at schools (4 pages)
Annex 3.2.4 List of construction materials and hand tools in Amharic (2 pages)
Annex 3.3 Bill of quantities for health institution latrines
Annex 3.3.1 Bill of quantities for VIP latrine at health post (3 pages)
Annex 3.3.2 Bill of quantities for VIP latrine for females at health centre (3 pages)
Annex 3.3.3 Bill of quantities for VIP latrine for males at health centre (3 pages)
Annex 3.3.4 Bill of quantities for incinerator at health post or health centre (1 page)
Annex 3.3.4 Bill of quantities for placenta pit at health post or health centre (1 page)
LIST OF FIGURES
Figure 1. The Community Managed Project Cycle for Institutional Sanitation (Health &
Education)..............................................................................................................15
Figure 2. Flow of Funds for Institutional Sanitation facilities construction using CMP approach
and MFI (assuming Regional fund management responsibility is given either to Finance Bureau or
Water Bureau).........................................................................................................................21
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Figure 3. Primary school sanitation facility plans
Figure 3.1 Primary schools latrine arrangement (1 page)
Figure 3.2 Primary school latrine plans (2 pages boys’ latrine, 2 pages girls’ latrine and 2
pages teachers’ latrine)
Figure 4. Health institution sanitation facility plans
Figure 4.1 Health post WaSH facilities arrangement (1 page)
Figure 4.2 Health centre WaSH facilities arrangement (1 page)
Figure 4.3 Health post VIP latrine plan (2 pages)
Figure 4.4 Health centre VIP latrine plan (2 pages)
Figure 4.5 Incinerator & placenta pits plan (1 page)
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1 INTRODUCTION
1.1 GENERAL BACKGROUND
Community Managed Project (CMP) approach has been in use in the country since January
2003G.C. The major experience of the CMP approach in terms of technology is manly for
community and institutional water points except some institutional latrines
constructed/rehablitated in Amhara and Benishengul Gumz regions. Nowadays due to the need
for more integration of water and sanitation and to contribute to an open defecation free (ODF)
environment the need for implementation of institutional sanitation has become very
mandatory. However the CMP investment fund guideline in use at present gives more focus
for water points to be constructed for communities and institutions but gives little room for
implementation of institutional sanitation hence the need for the preparation of an
implementation manual for CMP approach in institutional sanitation has arisen and included at
the federal plan of the COWASH for the year 2005EFY.
1.2 OBJECTIVE OF THE MANUAL
So far, CMP has been working aggressively on rural water supply projects for communities and
institutions use and some institutional latrines in Amhara and Benishengl Gumz regions
mentioned in section 1.1. Now the constructions of institutional latrines existing in the CMP
kebeles are going to be implemented. Hence this implementation manual will give guidance
for the implementing bodies and those government sector offices staff assisting communities in
the planning, application preparation, appraisal, contracting, construction, financial
management and post implementation management procedures of institutional sanitation
namely for schools and health institutions. There are school sanitation and health intuitional
sanitation designs prepared by consultants at a national level under the ownership of the
national WaSH coordination office and distributed to regions for use. Hence the objective of
this manual is not to replace the designs for institutional sanitation but to put
procedures/guidance how these designs can be implemented using the CMP approach.
1.3 KEY ISSUES AND ADDENDUMS TO THE MANUAL
As an implementation manual for institutional sanitation, the two key issues which are given
more focus in this manual are:-
Highlights on sanitation facility packages and designs for schools and health
institutions.
Institutional sanitation implementation procedures using CMP approach.
However, the manual alone will not be used in the planning, implementation (procurement,
contracting, and supervision) and post construction management of the institutional latrines. It
has additional materials such as the Generic CMP Investment Fund Management
Guideline prepared at the federal Level in February 2012. The generic guideline includes
the concept & evolving of the CMP approach, the project processing cycle, the roles of the
different stakeholders in the CMP approach, the financial and procurement management,
monitoring and evaluation, auditing in general and focusing more on the use of the approach
for low technology water supply schemes. This implementation manual gives more focus on
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issues and formats very specific to the use of the CMP approach in institutional satiation
implementation and for forms and procedures which are common to the water supply and
institutional sanitation implementation; the generic CMP guideline is to be referred as an
addendum.
More addendums to this manual include standard tender documents & construction contracting
forms, school and health institution designs prepared by consultants and CMP training
materials are required to be referred and be used in cases when construction management &
CMP related issues which are not stated in this manual are encountered.
1.4 CMP APPROACH AND ITS BASIC FEATURES
The WaSH Implementation Framework (WIF) introduces the Community Managed Projects
(CMP) approach, pioneered and developed in Amhara and Benishangul-Gumuz Regions. In the
WIF the CMP is being mainstreamed into the National WaSH Program (WaSH GTP/UAP) for its
wider application. The major features of the CMP Approach are:
Fund Transfer: The unique and innovative feature of the CMP approach is that funds
for the physical construction of water schemes are transferred directly to the
community through a micro credit institution.
Community Financial Management: The communities, through water and sanitation
committees (WASHCOs), are responsible for the full development process through
planning, financial management, implementation and maintenance. The unique feature
in CMP community management is that the WASHCO manages not only community-
generated funds but also the government subsidy provided for capital expenditures.
Procurement: A further aspect of community management is that the WASHCO is
directly responsible for procuring the goods and services required for water scheme and
institutional sanitation construction.
In the National WaSH Implementation Framework the principles and basic procedures of the
Community Managed Projects (CMP) are built into the WaSH program as one funding modality.
It is presented as an alternative funding mechanism to the existing Woreda Grant which is
hereby known as the Woreda Managed Project (WMP) funding mechanism which includes
regional and national managed projects on behalf of Woredas or towns. The CMP approach is
no longer donor or region-specific. It is an integral, expanding and evolving component of the
One WaSH Program.
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2 COMPONENETS OF INSTITUTIONAL SANITATION FACILITIES
2.1 SCHOOL SANITATION FACILITIES
The very recent guiding manual for school WaSH is a manual entitled “Design and
construction manuals for water supply, sanitation and hygiene facilities in primary
schools in Ethiopia” financed by the Ministry of health, education, and water & energy in
collaboration with UNICEF and prepared by the consulting company Getachew Alem and
Associates.
The manual contains/includes different school water supply designs and sanitation facilities for
primary schools (up to grade 8) and with regard to toilet/latrines in schools, the manual
focuses on a simple, tried and tested design – the Ventilated Improved Pit or VIP latrine. This
is because VIP latrines are relatively simple to design, build and maintain. Their operation and
cleaning uses relatively little water; certainly they do not depend on a regular water supply.
The design can be adapted for different circumstances. And the resulting latrine can be
relatively low cost. For almost all conditions in rural areas, VIP technology can be used. The
technology has also merit in many urban settings where a reliable water supply cannot be
guaranteed.
Concerning the latrine design put in the school WaSH manual different comments are given by
regions such include uneconomical nature and lack of recommendation for alternative use of
construction materials depending on the availability of different construction materials in
different areas such as stone masonry for walling. Unless regions prepare their own designs,
the latrine design put in the school WaSH manual are fully taken in to consideration in this
implementation manual.
The sanitation facilities included in the design and construction manual and also to be handled
in this implementation manual are:-
a) For girl students (Plans & sections of the design shown in Figure 3.1 & 3.2):-
Hollow concrete block (HCB) made four seats latrine.
Urinal (urination facility).
Hand washing facility.
b) For boy students (Plans & sections of the design shown in Figure 3.1 & 3.2):-
Hollow concrete block (HCB) made four seats latrine.
Urinal (urination facility).
Hand washing facility
c) For teachers (Plans & sections of the design shown in Figure 3.1 & 3.2):-
Hollow concrete block (HCB) made two seats latrine.
Hand washing facility
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2.2 HEALTH INSTITUTION SANITATION FACILITIES
Health Centre and Health Post refers to those institutions in charge of helping the community
on health and sanitation issues to improve the health status. It also provides education and
consultation on hygiene practices and support on the methods of improving the sanitation
condition of the community.
Health Centre and Health Post sanitation is part of the major areas of the health services for
visiting patients and as demonstration centres to communities. The aim of providing sanitation
facilities to the Health Centre and Health Post is to improve existing sanitation conditions at
the Health Centre and Health Post.
According to the health service delivery arrangement indicated in HSDP IV, primary health care
unit comprises of a health centre and five satellite health posts, which altogether provide
services to 25,000 people. Health posts are the frontline health care providers and health
centres are the next higher level health care providers, which serves as a referral centre for
health posts.
The very recent guiding manual for health institutions WaSH is, a manual entitled “Health
Centre and Health Post Water Supply, Sanitation and hygiene facilities design and
implementation manual” financed by the Ministry of health, education, and water & energy in
collaboration with Water Aid Ethiopia and prepared by Meteferia consulting engineers in June
2012.
In the manual the appropriate technology options for the construction of water supply,
sanitation and hygiene facilities that can be used by the Health Institutions namely health
centre and health posts are described.
As stated in the manual from the different sanitation technology systems available, VIP
latrines, which is one of the dry sanitation systems is only the most recommended system for
health centres and health posts.
The sanitation facilities included in health institution WaSH manual and to be handled in this
implementation manual are:-
1) For health centres
a) For females (Plans & sections of the design shown in Figure 4.2 & 4.4):-
Hollow concrete block (HCB) made five seats latrine.
Hand washing facility
b) For males (Plans & sections of the design shown in Figure 4.2 & 4.4):-
Hollow concrete block (HCB) made five seats latrine.
Hand washing facility
c) Incinerator (Figure 4.5).
d) Placenta pit (Figure 4.5).
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2) For health posts
Concerning the health post latrine number there is a discrepancy between the site plan and the
bill of quantities, in the site plan it shows two blocks with each with two pts (one for male and
one for females) but in the bill of quantity it is given only fro one block with two pits which
needs further refinement. For this manual purpose it is assumed that the design to have two
bocks as put in the site plan.
a) For females (Plans & sections of the design shown in Figure 4.1 & 4.3):-
Hollow concrete block (HCB) made two seats latrine.
Hand washing facility
b) For males (Plans & sections of the design shown in Figure 4.1 & 4.3):-
Hollow concrete block (HCB) made five seats latrine.
Hand washing facility
c) Incinerator (Figure 4.5).
d) Placenta pit (Figure 4.5).
3 INSTITUTIONAL SANIATION IMPLEMENTATION USING CMP APPROACH
3.1 KEY ISSUES AND CMP PROJECT PROCSSING CYCLE
The key issues when implementing the CMP approach for institutional sanitation are:-
1) Implementation will fully depend on institutions own initiative.
2) Institutions will receive technical and material support from the Woreda authorities
during and after the construction of sanitation facilities.
3) Institutions though their WASHCOs will be fully responsible for the funds allocated to
them during the construction phase.
4) Institutions have to demonstrate both their willingness and capacity by depositing an
initial up-front cash contribution of minimum amount which covers the operation and
maintenance management of one year for the specific technology (usually from
minimum of 1,000Birr). The criteria and required up front amounts to be decided by
each woreda based on their technical and socio-economic situation (In Amhara woredas
are using minimum of 1000Birr). Do we need this as a must to all regions???
5) Investment fund for physical construction is directly transferred to the WASHCOs via an
intermediary financial institution (micro finance, bank etc) and/or woreda finance office.
6) The institutional WASHCO is financially accountable to the institution and to the Kebele
and Woreda Administration.
7) Institutions are required to cover minimum of ____ % of the construction cost of the
sanitation facilities or each region can make its own analysis & put the possible
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percentage not less than _____%) contribution. The contribution should be in cash
and/or in kind e.g. supply construction materials, digging latrine pits, improving access
roads, store for construction materials, etc.
8) The institutions communities (students, teachers, health professional, administration,
committees etc.) are expected to commit themselves to undertake and finance the
operation and maintenance of the WaSH facilities after the construction, but they are
entitled to receive technical support from the Woreda sector offices.
9) Institutional WASHCOs may delegate the procurement of contractors to Woreda, Zonal
or Regional government bodies on behalf of the institution. Anyhow, the institutional
WASHCOs shall have the overall control and authority in tendering, contracting and
payments to be made. (Shall we keep this or delete it)????
The CMP cycle for institutional sanitation is described in the following diagram (Figure 1) that
indicates the phasing of activities as foreseen in the woredas as per the experience gained.
The major training activities should be carried out before the construction starts. The diagram
below presents the option where investment funds are channelled to the community through
the Financial Intermediary (FI). Separate fund flow for the fund channelling to community
through Woreda Finance Office will be inserted to this manual later on once the system has
been designed and tested.1
1 The timing shown in the diagram may vary from region to region, even from woreda to woreda
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Fig. 1. THE COMMUNITY MANAGED PROJECT CYCLE FOR INSTITUTIONAL
SANITATION (Health & Education)
PROMOTION BY WOREDA AUTHORITIES
WASHCOS ESTABLISHED/RE-ACTIVATED BY INSTITUTIONS
SELECTION OF WOREDAS BY RWTT
UP-FRONT CASH CONTRIBUTION COLLECTED AND DEPOSITED IN MFI ???
APPLICATION MADE BY INSTITUTIONS
OFFICE APPRAISAL OF APPLICATIONS
INSTITUTIONS INFORMED OF THE REJECTION OF THE APPLICATION
ADDITIONAL INFORMATION REQUESTED FROM INSTITUTIONS
FIELD APPRAISAL
OF APPLICATIONS
WWT DECISION
JU
NE
AP
RIL
J
AN
UA
RY
O
CT
OB
ER
A
UG
US
T
JU
LY
F
EB
RU
AR
Y
JA
NU
AR
Y
Jul
AP
Training of WWO, WOH and WEO
staff and KWT members to
become advisers and promoters
of CMP at the institutions level
Advice to institutions in the
application preparation by the
trained woreda & kebele level
experts
FUNDING
AGREEMENT (GRANT
CONTRACT)
BETWEEN WWT AND WASHCOS
CONTRACTING AND PROCUREMENT
RESPONSIBILITY FOR CONTRACTING: COMMUNITY
RESPONSIBILITY FOR PROCUREMENT: COMMUNITY
CONSTRUCTION BY INSTITUTIONS AND ARTISANS
COMPLETION REPORT BY WASHCOS, WWO & WWT MEMBERS
INSTITUTION INFORMED OF THE SUSPENSION OF APPLICATION UNTIL FURTHER NOTICE
WWT mobilizes WWO, WEO &
WOH technical staff for appraisal
WWO, WFO, WEO & WOH
experts trained in ToT for training
WASHCOs in administrative,
financial, contracting,
procurement etc issues
WWO, WFO, WEO & WOH
experts train WASHCOs &
artisans in CMP management
WWO, WEO & WOH members Supervise construction
AUDITS: PUBLIC
AUDIT, EXTERNAL
AUDIT, INTERNAL
AUDIT
(FACILITATED BY
WWO AND WFO)
MONITORING AND EVALUATION
BY COMMUNITY/RCC/RWSEP
INSTITUTION INFORMED OF APPROVAL OF APPLICATION
Training of zonal experts, WWT
members & FI staff in CMP
management.
POST CONSTRUCTION (OPERATION AND
MAINTENANCE BY THE INSTITUTION)
SUERVISION AND
FOLLOW-UP BY WWT AND WASHCOS
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3.2 MANAGEMENT OF THE CMP INVESTMENT FUND
Once WaSH funds for the institutional sanitation are in the Finance Bureau be it from the
donors or regional government budget sources, the actual investment fund management
operates at three levels: Region, Woreda and Community levels. The management of funds is
divided into financial responsibility and operational responsibility and the financial
responsibility goes hand in hand with possession of funds at each moment. The following table
describes these two sides of responsibilities:
Table 1: Financial and operational responsibilities in the management of investment funds
Management level Financial responsibility Operational responsibility
Regional level Finance Bureau/Water
Bureau/Education Bureau/Health
Bureau
RWTT
Woreda level WWT WWT
Community level WASHCO WASHCO
3.2.1 Operational responsibility of investment fund management
3.2.1.1 RWTT & WWT
The operational responsibility of the RWTT and WWT in management of the CMP approach is
well covered in the Generic CMP Investment Fund Management Guideline.
3.2.1.2 Institutional WASHCO
Institutions represented by WASHCOs (Parents & Teachers’ Associations in schools and Health
Committees in health institutions) will be fully responsible for the overall implementation of the
sanitation facilities. They will be responsible for contracting artisans and/or contractors and
suppliers, procuring manufactured construction materials, organising local construction
materials & labour supply, and organizing community cash contribution for construction &
maintenance. Alternatively, WASHCOs can make turn-key/full contract with artisans or private
contractors with technical assistance from woreda level concerned sector offices. Once the
sanitation facility is constructed the WASHCOs have to monitor regularly the conditions of the
facilities and conduct discussion with the institutional community such as school
administrations for schools, advocate locally for improvement in the management of the
facilities, and support the maintenance of the facilities.
The Woreda staff, particularly the Woreda Water, Health and Education Offices members shall
provide guidance and technical support in site selection, planning, budgeting, training,
procurement, supervision and monitoring.
The CMP Regional Support Unit (RSU) will give technical support and assistance through its
team members consisting of CMP team leader/coordinator, CMP/technical specialist, financial
specialist, accounting specialist, capacity building specialist and zonal advisors depending on
the specific region situation.
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3.2.2 Financial responsibility
3.2.2.1 Regional Finance Bureau, Regional Water Bureau and WWT
The financial responsibility at the regional level depends on how the budget for institutional
sanitation/latrine is to be allocated and administrated at the regional level. This also affects
how the fund management agreement to be signed at the regional level with the Micro Finance
Institution (MFI) and also how the use of the investment fund to be reported from the WWT to
the regional level. For this manual the present experience of different regions in the CMP
investment fund management for water points construction allocated from the regional
government budget is presented as follows.
In Amhara & Tigray
In these regions transferring investment fund for water points construction is not
possible by the finance bureau but has to be transferred through Regional Water
Bureau based on the transfer responsibility given by the Finance Bureau. In this case
the Water Bureau entered into agreement with MFI and is accountable to Finance
Bureau of the administration of funds, Finance Bureau transfer funds to the
Regional Water Bureau Z-account and the Water Bureau channels the fund to
MFI head office, the MFI head offices to branch offices, the branch office to the WWT
account existing at the MFI sub branch office. Finally the WWT instructs the MFI sub
branch at woreda to transfer to WASHCO account/ledger and withdrawal by the
WASHCOs.
Concerning the report on the use of funds, the woreda water office representing
the WWT prepares the fund withdrawal and utilization report for each water point and
sends to the regional water bureau. The regional water bureau (mainly the financial
planning/management specialist of the RSU) compiles the fund utilization report and
report to BoFED. BoFED (in Amhara mainly the accounting specialist of the RSU)
complies the report and uses it when preparing periodic financial reports and also refer
when receiving fund transfer request from woredas.
In SNNPRS
The investment budget for water points construction is allocated by the water bureau,
zones and woredas. The water bureau, the zonal administrations and the woreda
administrations channel the budget allocated by them to the finance bureau. The
Finance Bureau made an agreement with the MFI, then the MFI head office to the
branch, the branch office to the WWT account existing at the MFI sub branch office.
Finally the WWT instructs the MFI sub branch at woreda to transfer to WASHCO
account/ledger and withdrawal by the WASHCOs.
Concerning the report on the use of funds,
3.2.2.1.1 Possible budget allocation and financial responsibility for institutional sanitation
If the same procedure is to be used by each region like that of the CMP investment fund
management for water points construction, the following possible options may be expected for
institutional sanitation investment fund allocation and management by regions.
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a) Budget allocation to the education and health bureaux
The budget for school sanitation facilities/latrines construction may be allocated to the
regional education bureau by the region; the bureau will make a fund management
agreement with MFI. Finance Bureau transfer funds to the Regional Education
Bureau Z-account and the Education Bureau channels the fund to MFI head
office, the MFI head offices to branch offices, the branch office to the WWT account
existing at the MFI sub branch office. Finally the WWT instructs the MFI sub branch at
woreda to transfer to WASHCO account/ledger and withdrawal by the WASHCOs. When
we come to reporting on the use of fund the woreda education office will report the
fund utilization report to the education bureau and the education bureau to the finance
bureau.
The budget for health sanitation facilities/latrines construction may be allocated to the
regional health bureau by the region; the bureau will make a fund management
agreement with MFI. Finance Bureau transfer funds to the Regional Finance
Bureau Z-account and the Health Bureau channels the fund to MFI head office,
the MFI head offices to branch offices, the branch office to the WWT account existing at
the MFI sub branch office. Finally the WWT instructs the MFI sub branch at woreda to
transfer to WASHCO account/ledger and withdrawal by the WASHCOs. When we come
to reporting on the use of fund the woreda health office will report the fund utilization
report to the education bureau and the education bureau to the finance bureau.
The above budget allocation alternative may have an advantage that the education and health
bureaux and woreda offices be part of the WaSH development more than before as it demands
them to be responsible for managing and reporting the use of the fund allocated to the
bureaux. If taken as disadvantages in this approach the MFI signs agreement with different
bureaux and the CMP fund utilization report will be sent from the woreda offices to the bureaux
which made an agreement with the MFI. At woreda level each office may need to have its own
CMP supervisor (health office CMP supervisor and education office CMP supervisor) to be
responsible for fund disbursement to WASHCOs, receiving financial reports & documents from
WASHCOs and also for the preparation of fund utilization report to the respective regional
sector bureaux. Even it may also lead some woredas to decide that the woreda sector office
heads to be the mandatory signatories of the WWT for the fund allocated from the regional
bureaux. This system also requires health and education bureaux to be highly committed to
follow the fund disbursement to woredas, compile fund utilization reports coming from woredas
and report to the finance bureau. Therefore when regions are deciding this budget allocation
system for institutional sanitation, the points put above have to be taken in to consideration.
b) Budget allocation in the name of the finance bureau
From the 2004EFY water points construction/investment fund allocation and management
practice point of view, this alternative is expected to be used in Southern Nation Nationalities
and People’s Regional State (SNNPRS).
The budget for school latrine construction may be allocated from the regional education
bureau, zonal and woreda administrations and that of the health institution sanitation
facilities/latrines from the health bureau, zonal and woreda administrations. The finance
bureau with knowledge of the education and health bureaux, will make fund
management agreement with the MFI and from MFI head office the fund flows to MFI
sub branch and finally to WASHCOs.
19
In this case the MFI signs agreement with the finance bureau and fund utilization will be
directly reported from the woredas to the finance bureau.
c) Budget allocation to the water bureau
This is the option that Tigray and Oromia regions have already allocated budget, and agreed
the financial management responsibility and reporting of investment fund for institutional
sanitation for the 2005EFY.
In this option budget for water supply & institutional sanitation is allocated to the water
bureau (by clearly specifying what amount to water supply and what amount to
institutional sanitation at schools and health institutions) and fund transfer
responsibility is also given to the bureau. The Water Bureau will enter into agreement
with MFI and is accountable to Finance Bureau for the administration of funds, Finance
Bureau transfer funds to the Regional Water Bureau Z-account and the Water
Bureau channels the fund to MFI head office, the MFI head offices to branch
offices, the branch office to the WWT account existing at the MFI sub branch office.
Finally the WWT instructs the MFI sub branch at woreda to transfer to WASHCO
account/ledger and withdrawal by the institutional WASHCOs.
Concerning the report on the use of funds, the woreda water office representing
the WWT prepares the fund withdrawal and utilization report for each water point and
sends to the regional water bureau. The regional water bureau (mainly the financial
planning/management specialist of the RSU) compiles the fund utilization report and
report to the finance bureau. The finance complies the report and uses it when
preparing periodic financial reports and also refers when receiving fund transfer request
from woredas.
There are number of reasons for the regions to choose this option. It minimizes the need for
each bureau signing separate fund management agreement with the MFI’s and also reporting
fund utilization from WWT to different bureaux. This is justified that due to the budget
intensive nature of the institutional sanitation facilities construction, regions may plan very
limited number of institutions for the sanitation facilities construction yearly and making
separate agreements for each bureau with the MFI and reporting from different woreda sector
offices to sector bureaux seems unnecessary. In addition the option does not need as such a
separate CMP supervisor from each sector office at woreda level and the existing CMP
supervisor can handle the financial management and reporting related issues in the same way
he/she is handling the investment budget for water points construction. In this option what will
be required from the bureaux and woreda offices is that to assign education and sanitation
focal persons from the bureaux and woreda offices who will work very closely with the regional
water bureau and the CMP supervisor in the different CMP projects processing cycles.
One disadvantage this option may have is that unless the required attention is given by the
health and education bureaux and offices, many of the institutional sanitation implementation
related issues may be left to the water bureau and respective offices only.
Anyhow the possible options for the institutional sanitation investment fund financial
management responsibility are discussed above and shown in table 1 based on how the
institutional latrine investment budget is to be allocated and administered by the regions.
Based on the decision of the region which bureau to sign agreement with the MFI for fund
management, region specific financial responsibility for the institutional sanitation investment
fund can be prepared. However whichever bureau is responsible for financial management at
20
regional level, the fund management at woreda and community levels remains under the WWT
and WASHCO respectively.
In this implementation manual assuming the institutional sanitation fund management
responsibility is to be given either to the Finance Bureau or Water Bureau, the flow of funds is
shown in figure 1 below. If the fund management is decided by the region to be under
education or health bureau, the name of the bureau to make an agreement and channel funds
to the MFI will be changed in the figure.
21
Figure 2. Flow of Funds for Institutional Sanitation facilities construction using CMP approach and
MFI (assuming Regional fund management responsibility is given either to Finance Bureau or Water Bureau)2
2 In case the investment funds are transferred to the community through Woreda Finance Office
another diagram will be added to this guideline, when this system has been tested to be functional.
FI HEAD OFFICE
FI SUB-BRANCH OFFICE
Institutional WASHCO CMP Accounts/ledgers (non-
interest gaining institutional account) requiring letter
of withdrawal authorization from the WWTs
WASHCOs’ Savings Accounts; Accounts are for up-
front cash contribution.(Do we need such account
????
FINANCE BUREAU
WASH ACCOUNT
FI CMP Account
Agreed commission
charged by FI
WWT IN THE
WOREDA
WWT CMP Account Non-interest gaining
Transfers only; no cash withdrawals
Replenished quarterly through
transfers from region FI CMP
account/CMP fund source
WASHCOS
Disbursement
requests
Monthly reports
Payment
requests,
reports
Withdrawal
authorization
letters
ARTISANS,
SUPPLIERS &
CONTRACTORS
CONSULTANTS
Instructions on
transfers to
WWT CMP
Accounts in FI’s
sub-branch
account
Upon request,
usually quarterly
WATER BUREAU WASH
ACCOUNT (ASSUMING THE
INSTITUTIONAL SANITATION
BUDGET IS ALSO TO BE
ALLOCATED BY THE REGION IN
WATER BUREAU)
CMP account
22
In the above diagram the dotted line shows the fund transfer from the region to the FI head
office if Water Bureau is given responsibility for transferring the institutional latrine
investment fund allocated by the regional council.
Initially, Finance Bureau is responsible for the funds, until they are transferred to the MFI
head office and once it reaches to the WWT account the responsibility and accountability
remains with the respective WWTs. Both Finance Bureau/Water Bureau (which of them made
an agreement with the FI) and WWTs will have the power to instruct the FI to either mobilize
or freeze accounts, but the WWTs will not be authorized to withdraw funds from the WWT
CMP account.
The Financial Intermediary (e.g. Micro Finance Institution) is accountable for the funds that
are channelled through the organisation from Region to Woreda level. Their responsibility
includes following and implementing the instructions given by Finance and/or Water Bureaus
at the regional level and the WWTs at the Woreda level.
3.2.2.2 Institutional WASHCO
Throughout this manual WASHCO refers to Parent & Teachers’ Associations for schools and
Health Committees for Health Institutions.
The WASHCO becomes financially responsible and accountable for the funds that are in its
possession from the moment it withdraws money from the account opened for it in FI for the
purpose of financing the sanitation facilities construction. Then, the WASHCO is discharged
from its financial responsibility for the amount they have withdrawn as soon as it is settled
and verified by the CMP supervisor. The correct use of funds means submitting original
receipts that fulfil the criteria set for receipts and eligible costs, and receives the respective
acknowledgement from the CMP Supervisor. However, in accordance with the rules of
establishment of a WASHCO the committee still remains responsible for the operational
aspects related to the WaSH facilities and for any funds it has received from the community.
The Region, Zone & Woreda offices and/or teams have no role and therefore no responsibility
whatsoever in any agreements the WASHCOs may enter into with any third party, e.g.
artisans and suppliers of materials and equipment unless delegated by the WASHCOs with full
consent.
3.2.3 Financial Administration and Bank accounts
3.2.3.1 General
The main requirement of the CMP investment fund financial management is that communities
through the WASHCOs will be fully responsible for the funds allocated to them during the
construction phase which encourages decentralization of financial management. FIs are the
financial intermediaries for channelling funds to CMPs. At present the FIs responsible for
different regions are ACSI in Amhara region, DECSI in Tigray region, OMI in SNNPRS and
OCSSCo. in Oromia region .
3.2.3.2 Bank Accounts
At the regional level there will be one regional CMP account at the Financial Intermediary (such
as MFI) head quarter where the money from the regional Finance/Water Bureau is to be
transferred.
23
At woreda level, there will be one WWT CMP account at the Financial Intermediary sub-branch
in the name of Woreda WaSH Team (WWT).
For communities, there is one account and one ledger for each institutional WASHCO. The
account is a savings account named as per the name of the institution (school or health)
project and authorized to use by the two WASHCO signatories (the chairperson and the
treasurer of the committee). The ledger, authorized by the WWT, is opened in the name of the
project with authorized signatories of WASHCO members. The purpose of the ledger is to
transfer cash from Woreda WaSH Team (WWT) CMP account to the specific institutional
sanitation facilities. The WWT shall release funds to WASHCOs, by writing an authorization
letter to the FI sub branch to pay the amount approved to the WASHCO which directly
withdraws the money from the WWT CMP account and it will be then registered to the ledger in
the name of the project.
The description of WWT CMP account is shown below.
There will be one CMP account for each of the CMP woreda to be opened by the Woreda
WaSH Team (WWT) in the FI sub-branch. This account:-
o Is to be opened by three people in such a way that any two signatories can operate it.
The account will have three signatories as follows:-
o Woreda administrator (his/her delegate), Woreda Water Office Head and one of
the following woreda WaSH sector offices head depending on the decision of the
WWT:- (Do we need to make the health office and education office heads as
mandatory signatories of WWT account for the specific institution latrines
withdrawal authorization like in Benishengul Gumz region)?.
Head of health office, finance office or education office.
o is non –interest gaining.
o allows payments only to WASHCOs but no cash withdrawal by the signatories.
o can be replenished upon justifiable requests from the WWT through transfers from FI
head office CMP account.
The description of the WASHCO saving account for depositing the initial cash contribution and
accumulating future savings collected from different sources for maintenance of the latrine
collected water fees is shown below (Do we need an upfront contribution for future
maintenance of the latrine like that of minimum 1000Birr for water points?):-
If the institution has such an account opened for water points to be constructed or constructed
in the institution, the same account can serve this purpose (Is it a good proposal?).
o Should be opened before the community submits the project application.
- In special cases the opening of this account can be extended to the approval of
the application by WWT.
o The saving account signatories are the institutional WASHCO chair person and the
cashier.
24
o This savings account is an interest gaining account aimed to be linked to the future
credit facility.
o If the institution contributes (can be from its income or collected from communities
benefiting from the institution) cash to the construction, it is to be deposited in this
account, and used & reported as community contribution. When the institution decides
this contribution, the amount of the money & the construction cost item for which the
money is to be used must be clearly stated in the project application.
The ledger is managed as follows:-
o Will be opened when WASHCO members submit WWT authorization letter signed by the
WWT Chairperson to open the ledger in the name of the project.
o The letter of authorization from the Woreda CMP account signatories (Annex U in the
Generic CMP Investment Fund Management Guideline) is required for the WASHCO to
withdraw money from this account.
o The ledger will become inactive when the sanitation facility construction ends until the
due date of the retention payment (after one year).
o If some money given to WASHCOs is not used, the money has to be returned to the
Woreda WaSH Team CMP account.
o The ledger will be closed after the retention payment is effected.
3.2.4 Community Managed Projects (CMP) Financial Disbursement System
3.2.4.1 Fund release from Woreda WaSH Team CMP account to WASHCOs and registering the
released to the ledger in FI sub-branch
WASHCOs shall submit the necessary documents (see below) and request to the CMP
supervisor for the release of CMP investment fund. CMP Supervisor will check the documents
and request, and approves them if they fulfil required criteria described below. When
WASHCOs are requesting fund to be released from the Woreda WaSH Team CMP account to
WASHCOs, the following documents must be attached with the request:
o Properly filled fund release request form (Annex ZD in the Generic CMP
Investment Fund Management Guideline).
o WASHCOs investment funds’ register prepared in two copies. One will remain
with the CMP Supervisor’s ‘project file’ and one will be returned to WASHCOs
(Annex N in the Generic CMP Investment Fund Management Guideline).
o Original receipts of the payments made by WASHCOs.
o Payment certificates and other supporting documents such as minutes of
meetings, Pro forma invoices etc.
All the documents submitted by the WASHCOs with the fund release request will be
checked by the Woreda CMP Supervisor assisted by the respective sector office focal
person (health office focal person for health institution sanitation and education office focal
person for school sanitation facilities, and approved by the woreda water office head.
25
o If the fund management agreement with the FI is signed with the education or
health bureaux, checking of the financial documents from WASHCOs will be made
by the offices focal persons/CMP supervisors and the approval of the documents will
be made by the heads of the offices.
If reports, requests and receipts from the WASHCOs are found to be correct, the CMP
supervisor receives the original receipts and signs on the back/top, and gives to the
WASHCOs an acknowledgement of receipts of accounts (Annex S in the Generic CMP
Investment Fund Management Guideline) and a format filled and signed by him listing the
receipts he has received from the WASHCOs.
o If the fund management agreement with the FI is signed with the education or
health bureaux, the original receipts and reports from WASHCOs will be received by
the education or health office focal persons/CMP supervisors and documents will be
kept in the offices.
After reports, request and receipts are checked and approved, depending on the status of
the specific institution account/ledger and the Woreda CMP account, the following three
possible cases may apply for the WASHCOs to withdraw the money.
The following two issues need to be checked before writing a letter of authorization for the
release of the funds to WASHCO:
A. If there is enough money in the Woreda WaSH Team CMP account:
a) Two of the signatories of the Woreda WaSH Team CMP account will write a letter of
fund release and authorization (Annex U in the Generic CMP Investment Fund
Management Guideline) to the FI sub-branch that the signatories of the WASHCO can
withdraw money from the WWT CMP account
b) Thereafter WASHCOs can pay to suppliers, contractors and/or artisans.
B. If WWT CMP account has not enough money the following key points will be taken into
consideration (anyhow the CMP supervisor has to regularly take care that there is enough
money available in the WWT CMP account):
a) The Woreda WaSH Team will request the Finance Bureau to send money to the WWT
CMP account through FI.
b) As soon as the money reaches, two of the signatories of the Woreda WaSH Team CMP
account will write a letter of fund release and authorization (Annex U in the Generic
CMP Investment Fund Management Guideline) to the FI sub-branch that the signatories
of the WASHCO can withdraw money from the WWT CMP account
c) Thereafter WASHCOs can pay to suppliers, contractors and/or artisans.
3.2.4.2 Conditions of fund release from the Woreda WaSH Team CMP account to the WASHCO
o The money will be released from the WWT CMP account to the WASHCO in three or four
instalments excluding the retention payment. The number of the instalments needed is
proposed by the CMP supervisor for the WWT approval. In some cases the number of
instalments can be even two, if the project is progressing well.
26
o The first instalment will be release to WASHCO in not more than three weeks after the
funding agreement has been signed but not before WASHCOs have been trained.
o There are requirements for releasing each instalment as shown in the following table.
Table 2. Sample fund disbursement schedule for approved CMP contribution for a
school latrine and estimated construction budget of birr 200,000
Instalment Timing (weeks from the date of
Funding
agreement)
Percent from the approved budget
Amount in BIRR
Cumulative value of receipts required before
next instalment
may be released (=80 %) BIRR
Remarks
Instalment 1 (advance)
Max 3 weeks 20 % 40, 0003
For full contactors
based (contract for
the procurement of
materials and
construction to the
contract expect for
those contribution
expected from the
institution) is based
on the contract
agreement.
For only labor
contrcat6ed to
artisans and
contractors this
budget is mainly to
be used by
WASHCOs for
procurement of
latrine pit digging
tools and some
construction
materials.
Instalment 2 30 % 60, 000
32,0004 (80% of 40, 000)
For full contracted
projects it is basing
on the approved
payment certificate.
For only labor
contracted projects,
this the most likely
3 Sample values to be replaced with correct amounts when applying the Agreement model
4 Sample values to be replaced with correct amounts
27
amount of this
instalments is based
on the labor cost to
be paid to the
contractor and the
estimated cost of
the construction
materials to be
procured.
Instalment 3 30 % 60, 000 88,000 (40,000+80% of
60,000)
Ditto
Instalment 4 20% 60, 000 148, 000 (40, 000 + 60, 000 + 80% of 60, 000)
The maximum
amount to be
released based on
the final payment
required for
provisionally
completing the
scheme and
WASHCO CMP
management cost.
The retention money
needs to be
deducted as per the
agreement.
3.2.5 Training of WASHCOs in CMP management
In order to implement the CMP approach in the institutions, it is essential to provide training to
the WASHCOs in the CMP management and will be done together with WASHCOs for approved
water points.
4 CRITERIA OF ELIGIBILITY FOR FUNDING
4.1 ELIGIBILITY OF APPLICANTS (WHICH INSTITUTION MAY APPLY)
The institutions that want to apply for funds from CMP have to fulfil the following criteria:
a) The institution has to be primary school (school up to grade 8), health posts or
health centres (to finance health centres may need decision from the region as the
cost is much as compared to school & health posts).
b) An institution which does not have any latrine before will get priority. Institution
having non-standard latrines will be given the second priority (Does it sound)??.
c) The institution which is willing to establish or strengthen the existing WASHCO
(Parent & Teaches Associations for schools and Health Committee for health
28
institution) to bear the financial and operational responsibility for the sanitation
facilities construction, and future operation and maintenance.
d) The institution which is willing to contribute to the Project in labour, material and/or
in cash.
e) The institution which is able to prove their commitment (presenting it in the
application) how it is going to handle for proper utilization, management and
maintenance of the latrine. Do we need upfront cash contribution for this??
f) Kebele support to the project is proven by a support letter from the Kebele
administration (it will be very beneficial in the future to mobilize communities for
contribution).
g) A minimum institutional contribution (in kind & or in cash) calculated from the
estimated total construction costs should be ______ %.
4.2 ELIGIBILITY OF PROJECTS (INSTITUTIONAL SANITATION FACILITIES)
The sanitation facilities type recommended to be financed in schools and health institutions as
per the respective designs and implementation manuals are described in sections 2.1 & 2.2 of
this manual. Priority will be given for the construction of new latrines and if all the institutions
in the chosen CMP kabeles are provided with latrine, second priority can be given for old
institutional latrines needing major rehabilitation provided that the costs will not exceed the
critical maximum budget ceiling established by the regions for such institution sanitation
facilities. The general sanitation packages recommended for each institution are:-
For schools, latrines for boys, girls and teachers, Urinals for boys and girls and hand
washing facility for boys, girls and teaches.
For health centres, are latrines and hand washing facilities for males, latrines and
hand washing facilities for females, placenta pits and incinerators.
For health posts, latrines and hand washing facilities for males, latrines and hand
washing facilities for females, placenta pits and incinerators.
4.3 ELIGIBILITY OF COSTS (DEFINING THE AMOUNT OF GRANT)
In order to be considered eligible in the context of the CMP approach, costs must
Be used for the sanitation facility packages shown in section 2.1 & 2.2 only.
Be mentioned in the budget estimate annexed to the Funding Agreement as ANNEX III
in the Generic CMP Investment Fund Management Guideline.
Be cost-effective and within the acceptable market prices.
Have been incurred during the duration of the execution of the project and following the
signature of the Funding Agreement
Have actually been incurred, and have been recorded in the WASHCOs’ register book,
are identifiable and verifiable, and could be backed by originals and supporting
documents.
29
The following direct costs are eligible provided that the CMP approach is applied:-
Purchase costs for construction tools and services (transport, rent, etc.), provided they
correspond to market rates;
Purchase costs of construction materials
Expenditures on subcontracting artisan(s) for labour and/or for turn-key contract
Expenditures on contractors and suppliers
Bank charges from money transfers that have been made to facilitate payments that
belong to eligible costs
Daily Subsistence Allowance (DSA) and transport costs for WASHCO members travelling
outside their working village for the purpose of the construction of WaSH facilities,
depending on the regional DSA payment guideline.
The following cannot be included in institutional sanitation investment eligible costs:-
Costs of preparatory activities before the signing of the Funding Agreement
Inputs which are defined as community contribution in kind and in cash.
In addition
The institutional sanitation investment fund cannot be used as a source for credit or
loan.
5 APPLICATION PREPARATION AND FOLLOW-UP
5.1 APPLICATION FORMAT AND SUPPORTING DOCUMENTS
Application must be submitted with the format annexed to this manual (Annex Z.1). The
distribution of the application formats to Kebele WaSH Team is done by the Woreda Water
Office (WWO). Applicants (institutions) will get the formats and assistance for filling the
formats from the Kebele WaSH Team and if necessary also from the WWO, WOH or WOE.
The application format attached to this guideline is in English and should be translated into the
working language of the Regional State concerned.
The application format should be filled carefully and as clearly as possible in order to facilitate
its appraisal. The instructions attached to the application format have been made to applicants’
convenience and should be followed. A list of necessary supporting documents required is
included in the format.
The kebele WaSH team members, Woreda Water, health & education offices personnel and
members of the WWT should commit themselves to being at the applicants’ disposal to help in
the preparation of the applications. The Kebele WASH team members will be trained in order to
enable them to function as promoters and community level advisors during the application
phase.
30
5.1.1 Establishment of Water, Sanitation and Hygiene Committees (WASHCOs)
In health institutions and schools normally institutional committees exist to handle many of the
activities to be performed in the institutions. When we see from the point of the CMP approach
what required is to make the committees aware of the CMP approach and their roles in the
management of the approach (in all the CMP processing cycle). If these committees are found
to be weakened due to various reasons, strengthening them to handle the CMP management is
to be given attention.
5.1.2 Cost estimate
Budget estimate shall be prepared as part of the application. In order to prepare this cost
estimate Woreda water, health and education offices together have to prepare information on
the estimated average construction costs of the specific institutional (schools, health centres
and health posts) sanitation facilities and on how to value the community contribution. This
information shall be made available to the Kebele WaSH team (preferably to the Kebele
Manager Office, Health Extension Workers and Water Extension Worker if any). The three
Woreda WaSH sector offices shall update the average construction costs & provide updated
information to the kebele WaSH team annually.
The applicants should pay special attention to the budget estimate as it is one of the appraisal
criteria and the approval of the project by WWT is to be based on.
The cost estimate preparation for institutional sanitation facilities is dealt in detail in section 9
of this manual.
5.2 SUBMISSION AND PROCESSING OF APPLICATIONS
5.2.1 Desk Appraisal
The applications should be delivered at the water office by hand, to the CMP Supervisor or
another expert delegated by the water office, preferably on working days. The CMP supervisor
contacts the focal person from the health office for applications coming from health
institutions and the education office focal person for applications from schools for making the
desk appraisal with him/her. As per the practice in Amhara region applications can be
prepared in two copies and the sector office (health or education) can have copy of the
application just for information. In the presence of the WASHCO members the following
process will take place:
Application is numbered as follows: Application No. XX /EFY (XXXX).
Application is registered and the respective “Application follow-up form” (Annex B
in the Generic CMP Investment Fund Management Guideline) is opened and it will
be attached on top of the project file.
The CMP Supervisor or his/her delegate together with focal person from health or
education offices will perform office level appraisal and verify the
administrative compliance of the application in the presence of WASHCO
members to guarantee immediate feed-back in case some necessary
documentation is missing. (See Annex Z.2 in this manual for office level appraisal
form).
31
The applicant will be issued a receipt concerning the submission of an
administratively compliant application/non-compliant application (Annex F in the
Generic CMP Investment Fund Management Guideline). In the latter case the
applicant will receive written explanation on reasons leading to non-compliance,
e.g. list of missing documents and the applicant will be given instruction on how
to complete the application. Timing for re-appraisal of the application may be
agreed, if convenient. If the education and health office focal persons cannot
participate in the desk appraisal due to justifiable reasons, but the decision on
the field appraisal date must be made together with the focal persons.
In case of administratively compliant application, the timing of a field appraisal
will be proposed to the WASHCO members by the CMP Supervisor or his/her
delegate and focal persons from health and/or education offices. The field
appraisal should take place as soon as possible, preferably before the next WWT
meeting or within 15 days.
Table 3. The desk appraisal criteria to be used for institutional latrines
It.
No. Appraisal criteria Yes No
1 Is the institution the type eligible for financing by the CMP?
2 If yes, what is the institution type?
Primary school, health post, health centre (underline as
appropriate)?
3 Are the requested sanitation components for construction those
included for CMP financing for the respective institution?
4 Is the requested CMP contribution within the critical maximum
budget ceiling set for CMP grant of the specific institution type? (i.e.
equal or less than the maximum sanitation facility construction budget
ceiling applicable in the Woreda in question).
5. Is the estimated & indicated institution/community contribution for
construction greater or equal to ____%?
6. Does the application contain the following?
- List of elected WASHCO members (PTAs for schools & Health
Committees for health institutions) including their sex, age
and responsibility.
- The seal of the institution submitting the application
- Verification of cash contribution deposited to FI if collected &
deposited before submitting the application. (Do we need
such an upfront cash contribution???.
- Recommendation letter from the Kebele administration
32
It.
No. Appraisal criteria Yes No
7. Is the application administratively compliant and recommendable for
field appraisal based on the above?
8. Please indicate reason for temporary disqualification or rejection if
not appearing as above:
9. If the application did not pass the office appraisal, has the applicant
been informed of reasons for disqualifying the application?
10 Date of informing the applicant on the result of desk appraisal:
Place: __________________________________
Name & Signature of the office level appraiser from water office: _______________________
Name & Signature of the office appraiser from health or education office: ________________
33
5.2.2 Field Appraisal
The purpose of the field appraisal is to verify the different feasibility criteria of the proposed
institutional sanitation facilities construction. The field appraisal will be carried out by Woreda
Appraisal Team (WAT) members (mainly experts from WWO, WOH & WOE). The composition
of the WAT may vary with 2-3 experts, but each team is expected to have at least one
technical expert and one expert with ability to cover sanitation, gender, IEC as well as
management related aspects. In addition to the professional mix, out of the minimum two
appraisal team members one must be from water office and one either from health or
education office depending on the institution where the appraisal is to be made. Field
Appraisal format is presented in Annex Z.3 of this manual and the report will be filed in a
project file at the Woreda Water Office.
In addition to verifying the feasibility of sanitation facilities construction, the WAT may
propose corrective actions, such as budget corrections, site re-selection, etc. Some of those
corrections may be implemented immediately and the application revised on the spot. In the
latter case the appraisal will be done on the revised application.
The appraisal team will submit its report to the WWT for approval by completing (filling) the
approval format (Annex G in the Generic CMP Investment Fund Management Guideline).
The following (shown in table 4) are the highlights of the criteria to be used in the field
appraisal of institutional latrines in order to verify the application (Annex Z.3):
Table 4. The field appraisal criteria to be used for institutional latrines
Appraisal criteria Particular aspects considered in evaluation
1. Importance of
the Project to
the institution
a) What are the institutional sanitation facilities mainly latrines
available at the institution? If there exist please assess the
situation of the latrines/s.
b) Verify the situation of the institution water supply system/source.
c) Verify the number of beneficiaries (students in schools and
patients/day for health institutions) and staff of the institution?
d) Is the latrine construction the priority need of the institution?
2. Social
Feasibility
a) Is the institutional WASHCO well organized?
b) Level of planned participation of beneficiaries (including
students at schools) of the sanitation facilities at different stages of
the project cycle, i.e. planning, implementation, operations and
maintenance.
3. Technical
Feasibility
Check the proposed sanitation facilities (mainly latrine) in terms
location, convenience for development and use after construction.
a) Verify the soil condition of the selected latrine site avoid rocky
outcrops not to make the pit digging difficult & unstable ground
conditions so that the structure will not collapse.
b) For schools, verify that the distance from the latrine block to the class
is between 30 and 50 meters if possible. More than 50 meters may be
too far for a small child in a desperate hurry, and in terms of toilet
management and upkeep.
c) Verify the location of the latrine with respect to the future plans to expand the school.
34
Appraisal criteria Particular aspects considered in evaluation
d) For health institutions, verify that the latrine is located a minimum of
6 m away from the health centre or health post blocks for patients not
to travel long distance and yet not to create nuisance or bad odour.
4. Institution/Co
mmunity
Contribution
a) Verify the planned institution/community contribution during
project implementation? (labour/materials/cash)
b) Are the construction materials committed to be supplied by the
institution/community of appropriate quality?
c) Is the total institution/community contribution equal or greater than
the minimum amount required for the sanitation package
construction?
d) Is the institution/community committed to manage the WaSH
facilities after construction? This is to measure the true community
understanding on the future O&M responsibilities.
5. Environmental
Feasibility
a) Does the design include adequate provision for proper drainage and
fencing work or any other protection measures around the latrine?
b) Verify the site for the latrine construction is located on raised ground in
order that rain water can drain away easily.
c) Verify that the distance of the latrines to a well or borehole is minimum
of 30 meters to avoid any risk of contamination
6. Social
inclusion
Feasibility
a) Are women represented in the WASHCO?
b) Is the selected construction site gives privacy & security for girl
students, preferably the girls’ latrine be located at minimum
distance of 15 meters from boys latrine?
c) Verify if the designs & selected latrine site are disable students
and patients friendly?
d) Verify the distance to the latrines from the institutions boundary wall.
Especially for schools if the latrines are placed very close to the
boundary, there may be a risk of students extending their trip to the
latrine to a trip outside the school. In such case, particularly girls may
feel insecure & it is best to get their opinion.
7. Project
Sustainability
a) Verify what roles each stakeholder (for schools students, teachers,
school administration, PTAs, parents) and (for health institutions,
institution staff, health committee, patients) will have in the
management of the sanitation facilities/latrines.
b) Verify how the daily and weekly cleaning of the latrines are
intended to be handled. For example in schools by organizing the
students to clean latrines regularly to a roaster, supervised by
teachers.
c) Verify how the operation costs (payment for cleaner, cleaning
materials etc.) and maintenance costs of the sanitations
facilities/latrines to be covered.
d) Verify on how the collection & management of money required
for operation and maintenance of the sanitation facilities has been
planned if any.
8. Project
Implementation
& costing.
a) Do WASHCOs have experience in handling procurement of
materials, equipment and services by themselves?
b) How is the implementation of the project intended to be
undertaken? By full contacting or by force account?
35
Appraisal criteria Particular aspects considered in evaluation
c) What type of training do the WASHCOs need to implement the
project?
d) Is the cost still acceptable and realistic after revising the unit prices
as per the field appraisal?
5.2.3 Approval
After having the result of the field appraisal, the WWT will take a decision to approve,
postpone or reject the proposed Project.
Applicants will be informed of the result of the WWT decision in writing (Annex I in the
Generic CMP Investment Fund Management Guideline).
5.2.4 Funding Agreement
In case the application is approved, the WWT will give the WASHCO instructions regarding
signing of a Funding Agreement between WWT and WASHCO (Annex H in the Generic CMP
Investment Fund Management Guideline). Funding Agreement will be signed between WWT
and WASHCO chair person.
5.2.5 Releasing funds
After signing the Funding Agreement, WWT chairperson writes letters to FI sub-branch office
in order to notify the signatories of the WASHCO and to release the first instalment to
WASHCO. The first instalment shall be made available to WASHCOs within three weeks from
the date of signing the Funding Agreement.
5.2.6 Opening WASHCO ledger
When submitting the WWT chairperson first fund release letter to FI the FI open the ledger for
the concerned WASHCO and registers the funds released to WASHCO.
6 MANAGEMENT OF THE CHANGES DURING CONSTRUCTION
6.1 BUDGET LIMITS
The maximum amount of the grant funding is stipulated in the Funding Agreement. This
amount is based on the project budget, which is only an estimate. Therefore this amount only
becomes final upon completion of the project and presentation of the final expenses (see
articles 15 (1) and 15 (2) of the General Conditions of the Funding Agreement, Annex J in the
Generic CMP Investment Fund Management Guideline).
In some cases the final CMP contribution of an institutional sanitation facility may be higher
than the planned sanitation facility budget. Reasons for exceptional costs may be e.g. the
distance between the sanitation facility and Woreda capital (the location of building materials
shops) or escalation of prices of manufactured construction materials. Therefore, the WWT is
36
entitled to approve well justified exceptions, provided that the criteria for sanitation facilities
approval will be strictly applied.
6.2 FAILURE TO MEET THE OBJECTIVES OF THE FUNDING AGREEMENT
If the committee fails to implement the sanitation facilities construction project as agreed in
the Funding Agreement, the WWT reserves the right to interrupt payments, and/or to
terminate the Funding Agreement (see Article 9 of the General Conditions, Annex J in the
Generic CMP Investment Fund Management Guideline). The CMP contribution may be reduced
and/or the WWT may demand full or partial repayment of the funds already released, if the
community does not fulfil the terms of the Funding Agreement.
6.3 AMENDMENTS TO THE FUNDING AGREEMENT AND BUDGET VARIATIONS
Any modification of the Funding Agreement and budget variations must be set out in a written
amendment to the original Funding Agreement. However, some modifications may simply be
notified to the WWT (see article 7 of the General Conditions, Annex J in the Generic CMP
Investment Fund Management Guideline).The responsibility of the respective offices WaSH
officers are to supervise and follow-up the works ongoing and have to check the possible
future variations to the Funding Agreement in advance in order to avoid unnecessary late
claims from the institution/community on the variations made. The management of variations
is well covered in the Generic CMP Investment Fund Management Guideline but what is
required to be emphasized in this manual for institutional sanitation is that when the request
for variation comes from the WASHCOs the water, health and education office experts together
need to investigate the causes of the variation and recommend to the WWT on the possible
decisions on the requested variation.
7 REPORTING & OTHER FORMATS
Many of the formats especially for reporting, community contribution recording, and cash
transfer & withdrawal put in the Generic CMP investment fund management guideline are also
applicable for institutional sanitation. Hence the formats attached in this implementation
manual are those required only for institutional sanitation planning and implementation on top
of those formats in the generic CMP investment fund management guideline which are
applicable also to institutional sanitation.
37
A. Reporting Formats
Category 1: Reports to be prepared at community level by WASHCOs
Report
Code
Report
Name
Prepared by Frequency Distribution Main contents
1A
(Annex
Z.4)
WASHCOs
construction
follow up
report
WASHCO
members in
charge of
monitoring the
construction
process
progress
Updated daily,
submitted to
WWO upon
requesting
each
consecutive
instalment.
CMP
supervisor
1. Daily record of construction progress, achieved results,
problems encountered and proposed solutions. The report will
have a place for WWO approval/endorsement.
2. To be prepared in working languages (Amharic, Afaan Oromo
& Tigrigna).
3. To be prepared in two copies. The original will be submitted
together with instalment request.
B. None - Reporting Formats
Category 1: Formats to be used by WASHCOs (Community level)
Format
Code
Format Name Prepared By Contents of the Format Distribution Remark
1A
(Annex
Z.1)
Institutional
Sanitation/Latrine
Application form
Institutions with
support from
KWT
Information which help to
receive CMP grant
CMP Supervisor or
WaSH Sector office
Heads
1.Application form can be found in
WWO office & kebele manager office
2. Application form will be filled in
Working languages (Amharic, Afaan
Oromo & Tigrigna)
1B
(Annex
Z.6)
Project Completion
Report Format
WASHCO The project completion
format
CMP supervisor 1. To be prepared in the regions
working languages.
2. One copy to the WWO & one at the
WASHCO in the project fie.
38
Category 2: Formats to be used at Woreda level
Format
Code
Format Name Prepared By Contents of the Format Distribution Remark
2A
(Annex
Z.2)
Office appraisal
report form
CMP
Supervisor or
WaSH Sector
Heads
All Office appraisal criteria The appraisal
result will be
submitted to
WWTs
1. To be prepared in Working
languages (Amharic, Afaan Oromo &
Tigrigna)
2. To be filled when applications are
submitted and kept in project files
2B
(Annex
Z.3)
Field appraisal
report form
Members of
appraisal team
(CMP
supervisor &
sector offices
technical
staff).
All field appraisal criteria The appraisal
result will be
submitted to
WWTs
1. To be prepared in Working
languages (Amharic, Afaan Oromo &
Tigrigna)
2. To be kept in project files
2D
(Annex
Z.5)
Project supervision
report form
CMP
Supervisor
and the
person
assigned for
supervision
from the
health or
education
offices.
- Construction progress,
- Financial management
- Community contribution
- Problems encountered
- Solutions proposed
- To be
prepared in
one copy after
each
supervision
- To be kept in
the project file
1. To be prepared in English
2. If there are issues which need
decision, they will be presented to
the WWT chair person
40
8 PROCUREMENT & PROJECT IMPLEMENTATION MANAGEMENT
8.1 PROJECT IMPLEMENTATION MANAGEMENT
The three major points to be given attention in project implementation management are the
options of implementation and contracting, the procurement of construction materials and
support to be provided to communities by the woreda and zonal stakeholders.
Institutional WASHCOs will be responsible for the sanitation facilities construction related
procurement of tools, materials and services and construction management, with the exception
of those construction hand tools which the contractor/artisan is required to have depending on
the construction agreement made.
8.2 OPTIONS FOR CONSTRUCION CONTRACTING
The following three options of contracting are recommended to be used in the implementation
of the sanitation facilities for institutions.
8.2.1 Option 1 (Full contracting to private contractors)
This is the contract type where by the private contractors having grade and licence (the grade
level can be decided by the region or the woredas) can handle the construction of the work by
taking full labor and material supply contract except the committed institution/community
contribution. For this the tendering and contracting process is recommended to follow the
government procurement procedure. The tendering can be fully handled by the institutional
WASHCO with a technical assistance from the WWT or by the WWT with delegation and
involvement of the institutional WASHCO if they want to so due to justifiable reasons. The
tendering, contracting and payment process to be followed in this option are as follows:-
The committed institutional/community labor and materials contribution will be clearly
identified and their quantities excluded in the Tender document to be advertised. Of course
the quantities are excluded from the tender but at least what contribution
institutions/communities can have during construction be stated in the Tender document so
that the contractors to clearly understand and be psychologically ready for working closely
with the institutions/community.
Once the above points are included in the standard government construction Tender
document, advertisement for Tender will be made. For this purpose it would be good if the
tender document including the bill of quantities be well translated in to the regional
working language e.g. the school latrine work breakdowns are well translated in to Amharic
by the Amhara Regional Support Unit of COWASH and included in annex 3.2.1 to annex
3.2.3 of this manual).
Other condition to be stated in the Tender such as bid bond, advance payment, retention,
etc. need to be in line with the government procurement guideline.
The tender be evaluated by the Woreda tender Evaluation committee with the inclusion of
at least the institutional WASHCO chairperson.
The contract will be awarded to the least evaluated bidder and construction contract be
signed between the winner contractor and the WASHCO chairperson.
The woreda WaSH sector offices (health, education or water) assign technical person
(engineer or construction technician) for supervision and provision of technical support to
41
institutions. In the absence of such technical person in WaSH sector offices, engineer or
other construction professional from the offices such as woreda construction offices if any,
the woreda capital municipality engineer (tested in one woreda of Amhara region) can be
assigned to make supervision. The assignment of the supervisor will be decided by the
WWT and be notified in a letter to the contractor and the WASHCO.
The institution/community supplies the committed labor and materials for the construction
& construction progresses, WASHCOs make follow up of the construction and the
supervisor supervises.
When the work reaches at a stage when payment can be requested as per the contract
agreement, the contractor prepares & requests payment, the assigned supervisor checks
the payment, and the WASHCO chairperson approves & makes payment to the contractor.
The payment certificate is to be prepared in three copies, one for the WASHCO, one for the
contractor, and one for the woreda water office (for CMP supervisor). If possible the
payment certificate can be prepared in four copies and one of the copies can be given to
the health or education office depending on the institution type.
All deductions will be made as per the contract agreement.
When receiving the payment, the contractor gives receipt to the WASHCOs for receiving
the net payment amount shown in the payment certificate.
When the WASHCO members come to the woreda water office (CMP supervisor) for settling
used money and request additional money, they must attach the receipt given by the
contractor for receiving the net amount of money shown in the payment certificate.
8.2.2 Option 2 (Labor contracting to private contractors and material procurement
by WASHCOs)
This is the contract type where by private contractors having grade and licence (the grade
level can be decided by the region or the woredas) and also those which are organized as
micro enterprises for construction and have recognition and acceptance by the woreda can
handle the construction of the work by taking labor contract except the committed
institution/community contribution. The tendering can be fully handled by the institutional
WASHCO with a technical assistance from the WWT or by the WWT with delegation and
involvement of the institutional WASHCO if the WASHCOs want to do so due to justifiable
reasons.
The tendering, contracting, supervision and payment process of option 2 follows that of option
1 with the following exceptions in option 2.
o The eligible contactors to be involved in the Tendering recommended to be adjusted
in such a way that emerging legalized micro enterprises and artisans cooperatives
to compete for the work with that of (including) interested licensed private
contractors.
o In addition to the committed labor and local construction materials supply by the
institution/community, institutional WASHCOs are also responsible for making
procurement and supply of industrially produced construction materials.
8.2.3 Option 3 (Direct labor contracting to individual artisans or artisans
cooperatives or micro enterprises, and material procurement by WASHCOs)
This option is recommended mainly for woredas where the possibility of getting component
licensed contractors is expected to be difficult but if artisans, cooperatives or enterprises
trained/having experience in building construction exist. This option is well practiced in the
42
Amhara region by using trained artisans having good performance in construction. Of course in
this option more supervision is required from the woreda sector offices as some of the artisans
or cooperatives members may have good experience in water schemes construction but little
experience in institutional latrines (building) construction.
This option as direct labor contracting there is a need to prepare a labor payment guideline
which the artisans/cooperatives/enterprises can sign with the WASHCOs. The labor payment
guideline is to be prepared by the Woreda WaSH sector offices (namely water, health,
education and finance) based on a labor cost assessment to be made specific to the woreda
preferably even specific to the location of the institution where the sanitation facilities are to be
constructed. Annex 2.1 & annex 2.2 in this manual gives the tools and examples how to
estimate labor cost and prepare a payment guideline for institutional latrines construction. The
tools and examples can also be used to estimate the budget required for the construction of
institutional latrines for planning purpose.
In this option the construction materials and some hand tools for activities to be performed as
institution/community contribution are to be procured by WASHCOs. For this purpose there is a
need to prepare the list of construction materials & tools required for the construction of the
institutional sanitation package. In these manual formulas how to calculate the different
construction materials required for the construction of any building structure components is
shown in Annex 1.1. By using the formulas, the construction materials required for primary
schools sanitation facilities as per the designs and bill of quantities prepared by the consultant
who prepared the school WaSH manual has been calculated and shown in annex 1.2 to
annex 1.6. In addition to be used as a basis for procuring the required construction materials,
the list is also used in estimating the minimum amount of community/institution contribution
for the constriction of sanitation facilities. Regions can make the same calculation and prepare
the list and quantities of construction materials required for health institutions based on the
designs and bill of quantities prepared by the consultant in the health facilities WaSH manual
and attached in annex 3.3 of this manual.
8.2.4 Who to decide on the options?
Logically which option to be followed in the construction of the institutional sanitation facilities
is to be decided by the WASHCO with full knowledge on each option. Those options which
involve the WAHSCOs more are recommended to be favoured because they build the capacity
of the WASHCOs in construction projects management (tending, procurement, financial
management and monitoring) and also bring more ownership to the institution community to
properly use and maintain the facility.
8.3 PROCUREMENT OF CONSTRUCTION MATERIALS
In case of labor contact awarded to artisans/contactors, the construction materials are to be
procured by WASHCOs. Hence the construction materials and tools procurement procedure in
use for low cost technologies (hand dug wells and springs) can be used i.e, direct procurement
up to maximum of 5000Birr one time procurement and Performa for procurements above 5000
Birr. Although this is the case, depending on the current prices of construction materials and
the one time construction materials required to be procured, the threshold for one time direct
procurement can be raised/revised by the regions.
43
In addition the communities shall pay special attention to the quality of materials to be procure
and the quality should not be compromised on any occasion, and communities should always
ask for expert opinion in case they are doubtful.
8.4 ASSISTANCE FROM THE RESPECTIVE GOVERNMENT STRUCTURE
The zone and woreda health, education and water offices play a key role in the institutional
sanitation/latrines construction site selection, appraisal and preparation of tender documents.
They assist the community during the tendering, contracting, awarding and construction
follow-ups. They also assist communities in the preparation of take off sheets, payment
certificates and progress reports.
8.5 TRANSPORTATION ARRANGEMENTS
Transporting the construction materials procured by WASHCOs should be carried out by the
communities, and the cost of such transport is considered an eligible cost that can be covered
by CMP funding. However, the criteria for accepted expenditures must be fulfilled.
Notwithstanding the fact that the CMP activities will aim at increased community participation
and responsibility, and communities should take the overall responsibility, the Woredas should
show willingness to assist in any transportation arrangements that will be difficult to solve
through private sector engagement.
9 CONSTRUCTION COST OF INSTITUTIONAL SANITATION FACILITIES
In order to estimate the budget required for the construction and also to properly manage the
implementation of the project, there is a need to estimate the cost of the construction. Of
course the total cost of construction depends on the options in use for the construction.
Especially for those the work is to be awarded to contractors on Tender basis, the cost of the
construction is to be known based on the prices to be quoted by the tenders and the
corresponding tender evaluation results. Although this is the case, whatever the
implementation modality/options may be the need for estimating the cost of construction is
very important.
In this manual the option where the implementation mainly to be handled by the labor contract
by artisans/artisans cooperatives/micro enterprises is chosen and data required for cost
estimation and the respective cost estimate results of the institutional latrine to be constructed
at primary schools is chosen to be estimated.
The materials required for the construction are either to be supplied by institution/community
or to be procured by WASHCOs from the construction material suppliers. In this case the
2004EFY Amhara region experience in the implementation of the new primary school latrine
designs (in terms of mode of implementation, materials and labor contributed by the
institutions/communities) can be a good input.
The categories of costs required for the construction of the institutional sanitation facilities
are:-
Labor cost
44
Construction materials cost
Hand tools cost and
WASHCO administration cost
Labor cost
In the labor cost calculation, the artisans labor cost and the most likely activities
recommended to be done by institutions/communities are shown based on the 2004EFY
Amhara region experience in institutional latrines implementation using the CMP approach. Of
course in some projects in Amhara region intensive community labor contribution was seen
throughout the construction period of the project.
In the cost estimate those earth work activities including excavation, cart away surplus
excavated materials and back filling of selected materials are recommended to be fully done by
the institution mainly by the communities to benefit from the institutions or the institution
using the cash it may collect can contract artisans or other pit diggers to do the earth work
activities. In this case the artisans/artisans cooperatives/micro enterprise who take labor
contract from communities are required to make supervision and for this purpose they are
entitled to a payment in the form of per diem with estimated number of supervision days.
Labor cost estimate and activities recommended to be done by the institutions/communities
for school latrines construction are shown in annex 2.2.1 to annex 2.2.5.
In the estimation of institutional labor contribution, only those activities included in the bill of
quantities and can be implemented with community labor are included. Other forms of
institution/community labor contribution such as provision of store for construction materials,
construction materials transport and access road construction if any can be estimated in the
application but their relevancy/necessity needs to be verified during field appraisal of the
projects.
Hand tools cost
For those activities which the institution is to do as contributions and needing hand tools, tools
are required to be procured by institutional WASHCOs from the CMP money to be allocated for
this purpose. Of course the communities may have some of their own hand tools but the major
hand tools required for digging and related earth works are expected to be bought by
WASHCOs from the CMP fund. Those tools required and their costs are estimated in annex 1.7
of this manual.
Construction materials cost
The construction materials required for primary schools sanitation facilities are calculated &
summarized in annex 1.2 to annex 1.5 and the respective cost estimate was prepared based
on some woredas unit costs of construction materials for school latrines implemented in
Amhara region in the 2004EFY. In addition the possible construction materials to be
contributed by the institution as community contribution are also shown in the materials cost
estimate. The estimated cost also includes the transportation cost of the materials.
WASHCO administration cost
45
The institutional WASHCOs are responsible for procurement, implementation and financial
management of the sanitation facilities. For this purpose when the WASHCO members travel
from their locality to the woreda or some other places for the institution sanitation facilities
implementation related activities, they are required to be paid per diems. For this purpose the
number of estimated mobility days, the maximum number of WASHCO members expected to
travel outside their locality at a time for CMP activities and the average per diem rate as per
the new government per diem payment guideline are used as the basis for estimating the
WASHCO administration cost.
For estimation of this cost component for schools, let us assume the construction takes 3
months and 3 WASHCO members at a time may travel to the woreda capital for 10 days
making the total number of persons days to 30.
Assuming the average PD of the WASHCO members (some are communities and some are
teachers) as per the new government per diem payment guideline to be 150Birr/day.
The estimated WASHCO CMP management cost = 30person days x 150birr/day = 4,500Birr
Total estimated cost
The total estimated construction cost of the institutional sanitation facilities will be the sum of
the above four cost components. For example, the estimated cost of institutional sanitation
facilities to be constructed in primary schools including the source of funding is shown in table
5 below. From the table it can be seen that the recommended institution/community
contribution is estimated to be ______ % of the total construction cost of the sanitation
facilities. This contribution gives an indication that what minimum community contribution is to
be expected from institutions and using the approach regions can estimate/decide the
minimum community contribution based on their prevailing situation.
Table 5: Estimated construction cost of a 4 seats girls’, 4 seats boys’ and 2 seats
teachers’ latrine for schools
It
No.
Cost
item/compone
nt
Total cost CMP contribution Community
contribution
Amount
in Birr
% out
of grand
total
cost
Amount
in Birr
% out of
grand
total
cost
Amount
in Birr
% out of
grand
total
cost
1 Labor cost 54,229.21 31,318.16 22,911.05
2 Material cost
3 Hand tools cost
4 WASHCO
administration
related costs
4,500 4,500
5 Total cost
46
Of course when labor and material supply contact is awarded to contactors, the cost of the
construction will definitely be higher than the above estimate at least due to the inclusion of
contactors overhead and profit on materials cost.
Based on the detailed cost estimate prepared for school sanitation facilities shown in table 5
which has three blocks of latrines with a total of 10 seats, the cost for health post sanitation
facility which consists of two blocks with total 4 seats, an incinerator and a placenta pit can be
estimated as follows.
Total cost for health post sanitation facility = Total cost of 10 seat school
latrine/10 seats x 4 seats (number of seats for health post latrine) + cost for
incinerator + cost for placenta pit =
Institution(community) contribution for health post sanitation facility = ___
% x Total cost of health post sanitation facility =
CMP contribution for health post sanitation facility = Total cost of health post
sanitation facility – institution contribution for health post sanitation facility =
10 FUND TRANSFER AND CLOSING OF WASHCO’S CMP ACCOUNT (LEDGER)
The Fund Transfer Schedule will be included in the Funding Agreement. Depending on the
foreseen budget estimate, the transfer schedule will consist of 3 - 4 instalments (excluding the
retention payment). The Transfer schedule should be drafted so that it reflects the natural
progress of work. Model for such a schedule is provided in Annex T in the Generic CMP
Investment Fund Management Guideline.
An advance payment (= first instalment) will be made to the beneficiary by depositing the
amount into the WASHCO account opened by the authorized WASHCO member in a working FI
sub-branch.
Authorized WASHCO member may withdraw funds from FI account by submitting a CASH
TRANSFER & WITHDRAWAL AUTHORIZATION LETTER (model in Annex U in the Generic CMP
Investment Fund Management Guideline) signed by the woreda CMP account signatories.
Successive instalments will be made available to the beneficiary following a payment request.
The payment request has to be supported by the following documents:
1) WASHCO accounts (Annex N in the Generic CMP Investment Fund Management
Guideline)
2) Original receipts of the payments made by the WASHCO since the previous payment
request was submitted
3) FI Saving Pass Book of WASHCO. (If it is by ledger, this cannot be presented).
The CMP supervisor, with the support from the woreda health or education offices focal
persons in checking the receipts, will sign the accounts that he/she approves the accounts on
the date the accounts are presented. He/she will also prepare a Withdrawal Authorization
Letter to be signed by the woreda CMP account signatories. In exchange of original vouchers
and receipts, the Supervisor will issue a document (Annex S in the Generic CMP Investment
Fund Management Guideline), whereby he acknowledges one or several of the following:
47
a) he/she has seen the accounts
b) the accounts comply with the receipts shown to him/her
c) he/she has received original receipts of value XXXX (XXX being the total
value of receipts handed over to him/her at the moment of presenting the
payment request for the following instalment)
d) the total amount of original receipts forwarded to CMP supervisor correspond
to minimum 80 % of the value of the instalments received by the Beneficiary
by that date
e) the next instalment will be payable to institution’s account by XXXX date
Depositing the last instalment to WASHCO account is subject to WASHCO written request,
which shows the exact amount of last payments.
Upon the submission of the respective original receipts and/or cash, whenever the withdrawal
has exceeded the real eligible payments, the WASHCO should deposit the balance back into
the account in order to be discharged from the respective financial responsibility and the
account will be frozen/deactivated by FI until the due date of the eventual retention payments
and any balance therein will be transferred to Woreda CMP account.
Upon freezing the WASHCO’s account the amount of eventual retention payment if any to a
Contractor/Artisan will be calculated and a Contract Addendum stipulating the conditions for
retention payment by the WWT will be signed by the Agreement Parties.
11 RECORDS AND ACCOUNTS OF THE OPERATION
The WASHCO must keep accurate and regular records as well as separate and transparent
accounts of the implementation of the WASH facilities construction. The WASHCO must keep
their records in a safe place for five years after the end of the project. The original receipts
and accounts handed by the WASHCO to the custody of Woreda CMP supervisor will be kept in
the Woreda Water Office archive or other suitable and safe location for audit purposes.
It is advisable if the investment fund support to WASHCOs to include procurement of metal
cabinets to safely store their documents and records during & after construction.
12 AUDIT
The audit processes and procedures put in the Generic CMP Investment Fund Management
Guideline are also applicable for institutional sanitation implementation.