Productive Safety Net Programme

Variable levels support pilot project: A terminal report and rollout plan

Submitted to the Food Security Coordination Directorate Federal Ministry of Agriculture and Rural Development

Prepared by Mulugeta Tefera, Getachew Kalayu and Gizachew Getaneh (Dadimos Development Consultants PLC, mail@dadimos.com) January 2010

This report was made possible through the financial support of the PSNP (Productive Safety Net Programme) Multi-Donor Partnership Trust Fund. The opinions expressed herein are, however, those of the authors and do not necessarily reflect the views of PSNP Donors or the Federal Food Security Coordination Directorate, or any other organization involved in the study. Copies of the report can be obtained from: The Food Security Coordination Directorate Tel.: Fax: Email: PSNP Donors Coordination Unit, the World Bank, Addis Ababa Or The Web: www.dadimos.com Cover graphics: A poster explaining PSNP targeting process This page: A poster on the role of the Community Food Security Task Force in PSNP Targeting

Acknowledgements
The piloting of Variable Levels Support scheme under the PSNP and the preparation of this terminal report would not have been possible without the critical support of many people and institutions. The authors would particularly wish to acknowledge the support provided by the Federal Food Security Coordination Directorate under the Ministry of Agriculture and Rural Development, the PSNP Donors Coordination Unit under the World Bank, and the Monitoring and Evaluation Technical Team (METT) of PSNP. The invaluable assistance of Ato Birhanu Wolde- Michael, Director of the Food Security Coordination Directorate, and Mr. Wout Soer, Head of PSNP Donors Coordination Unit as well as Ms. Sarah Callback and Ato Melaku Gebre- Michael is worth mentioning. This work was also greatly facilitated by the unconditional support provided all along by the staff and officials of Regional Food Security Coordination Offices in Tigray, Amhara, Oromi and SNNP Regional States. Our special thanks go to Ato Gizachew Gebru, Ato Amlaku Asres, Ato Mohammed Dawud, Ato Tamirat Erkiso, Ato Taye Bekele, Ato Hajjo Aliyi, and Ato Wazir Muzeyin from these regions. Similarly, we also extend our special gratitude to Ato Mohammed Yusuf and Ato Harun Aliyi of South Wollo and East Hararge Zonal Food Security Work Processes, respectively. The authors greatly appreciate the wholehearted contributions of the pilot woreda food security case team leaders, including Ato Yasin Mohammed (Kalu), Ato Adane Assefa (Endamehoni), Ato Alem Addis (Deder) and Ato Aklilu Petros (Boricha). We also thank Ato Fasil Kebede, head of Kalu Woreda Agriculture and Rural Development Office for his special support and interest in this pilot initiative. Mulugeta Tefera, Getachew Kalayu and Gizachew Getaneh Dadimos Development Consultants P.L.C mulugeta@dadimos.com www.dadimos.com

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Acronyms
BoARD CFSTF FSCD FSP FSTF GoE HEA KAC KFSTF LIU METT MoARD MoFED NGO OFSP PIM PSNP PW RFSCO RRM RRT SNNPRS TA ToT ToR WFSD WFSTF WAORD Bureau of Agriculture and Rural Development Community Food Security Task Force Food Security Coordination Directorate Food Security Programme Food Security Task Force Government of Ethiopia Household Economy Approach Kebele Appeal Committee Kebele Food Security Task Force Livelihood Integration Unit Monitoring and Evaluation Technical Task Force Ministry of Agriculture and Rural Development Ministry of Finance and Economic Development Non-Governmental Organisation Other Food Security Programmes Programme Implementation Manual Productive Safety Net Programme Public Works Regional Food Security Coordination Office Rapid Response Mechanism Rapid Response Team Southern Nations, Nationalities and Peoples Regional State Technical Assistance Training of Trainers Terms of Reference Woreda Food Security Desk Woreda Food Security Task Force Woreda Office of Agriculture and Rural Development

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Executive Summary
A technical assistant project was initiated in May 2008 by the Ministry of Agriculture and Rural Development (MoARD), Food Security Coordination Directorate (FSCD) and Productive Safety Net Programme (PSNP) Donors to pilot the appropriateness and workability of the variable levels support in PSNP. Through this project four woredas namely, Endamehoni, Kalu, Deder and Boricha woredas of Tigray, Amhara, Oromia and SNNPR states, respectively, have been piloting the proposed project with a technical support from Dadimos Development Consultants. This report consolidates the experiences from the pilot exercise and presents a rollout plan to extend the variable levels support mechanism to the rest of the PSNP woredas at large. The experiences from the pilot woredas indicate that the variable levels support mechanism in PSNP is workable and transferable to the rest of the PSNP woredas. The mechanism has the following added values to realise the objectives of PSNP: The approach ensures the provision of transfers to the beneficiaries that are equivalent to the individual household needs to meet annual food gap; It facilitates step-wise exit and graduation from the programme by allowing gradual reduction of programme support as food gap decreases over time; It prepares beneficiaries to be effective in household asset building and income generation schemes that would ensure safe graduation from PSNP; and The approach provides evidence to woredas to effectively plan and implement graduation by providing priority focus to households requiring lower level of support from PSNP. However, the mechanism requires strong technical, administrative and budgetary supports to smoothly roll out and successfully implement variable levels support in PSNP woredas at large. Woredas should get technical supports from regional and zonal food security core processes in raising awareness at all levels and facilitate training for woreda staff and kebele food security task force (KFSTF) members. The political support of woreda and kebele councils/cabinets to the initiative has also prime importance. Woredas should also allocate the required budget for training and sponsoring awareness building events by covering per diems, stationery, fuel and other related expenses. Given the current capacity of regional states and zones the rolling out of variable levels support to the rest of PSNP woredas should be completed within two years starting from 2011. Based on the consensus reached with PSNP actors at regional, zonal and woreda levels, Tigray and SNNPR will roll-out the approach to all their woredas in 2011. Likewise, Oromia will introduce the system to 30-40% of its woredas in 2011, and to the remaining 60-70% woredas in 2012. Cascaded training events are required to be organized at regional, woreda and kebele levels to smoothly roll out this approach. The regional level training should be training of trainers (ToT) for zonal and selected woreda staff that will in turn train woreda and kebele levels staff. External technical support (TA) is required to facilitate the regional iv

ToTs and provide technical backstopping to the regions. Translation of variable levels support implementation guideline to local languages has greater advantage to promote understanding in the approach by woreda and kebele level stakeholders. Moreover weak and inexistent PSNP structures at kebele and community levels should be put in place and their capacities should be built for successful adoption of variable levels support mechanism.

Contents
Acknowledgements ................................................................................................................................. ii Acronyms ............................................................................................................................................... iii Executive Summary ................................................................................................................................ iv CHAPTER ONE: INTRODUCTION .............................................................................................................. 1 1.1 1.2 1.3 Background .............................................................................................................................. 1 Objective of the Pilot................................................................................................................ 1 Expected Outputs of the Pilot................................................................................................... 2

CHAPTER TWO: THE PILOTING PROCESS ................................................................................................. 3 2.1 Phases of the Pilot Project.................................................................................................... 3 Planning Phase .............................................................................................................. 3 Analysis and Targeting Mechanism Adaptation Phase .............................................. 3 Implementation and Monitoring Phase ........................................................................ 5 Consolidation and Reporting Phase............................................................................. 6

2.1.1 2.1.2 2.1.3 2.1.4 2.2

Classification of PSNP Beneficiaries ................................................................................... 6

CHAPTER THREE: CHALLENGES, OPPORTUNITIES AND BENEFITS .......................................................... 11 3.1 Challenges of the Pilot Project ................................................................................................ 11 3.2 Opportunities............................................................................................................................. 14 3.3 Benefits of the Variable Levels Support Targeting Approach ............................................... 15 CHAPTER FOUR: LESSONS LEARNED...................................................................................................... 18 CHAPTER FIVE: THE ROLL OUT PLAN ..................................................................................................... 19 5.1 Duration of the Roll out Plan.................................................................................................... 19 5.2 Key Action Steps ...................................................................................................................... 19 CHAPTER SIX: CONCLUSIONS AND RECOMMENDATIONS ..................................................................... 25 6.1 Conclusions............................................................................................................................... 25 6.2 Recommendations ................................................................................................................... 26 ANNEX .................................................................................................................................................. 28 Annex 1: Roll out Plan for the Introduction and Implementation of Variable Levels Support in PSNP at Large ................................................................................................................................................. 29

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CHAPTER ONE: INTRODUCTION

1.1Background
The Government of Ethiopia and its development partners recognize the differences in the level of food gaps among the Productive Safety Net Programme (PSNP) beneficiary households. This fact was pointed out during the joint donorsgovernment review and supervision mission in October 2006. The mission observed that the needs of beneficiaries within the programme differed, with the needs of direct support beneficiaries often being the greatest. Cognizant of this and mindful of its role as one of the future PSNP implementation strategies, the variable levels (three, six and nine months) support pilot project has been conducted in four woredas of the country since May 2008. The four pilot woredas were Boricha Deder, Kallu and Endamehoni in SNNPR, Oromia, Amhara and Tigray States respectively. Dadimos Development Consultants has been providing continuous technical support to the Federal Food Security Coordination Directorate (FSCD) and the pilot woredas during the last one and half years in piloting process. In consultation with the stakeholder, the consultancy firm helped the pilot woredas to introduce and test a mechanism for the classification of beneficiaries into 3, 6 and 9 months of PSNP support, depending on their food gaps. This report presents the experiences acquired during the piloting period and a rollout plan expanding the variable levels support to other woredas at large. The overall piloting work has been owned and managed by f the Director of the Federal Food Security Coordination Directorate. The PSNP Donors Coordination Unit under the World Bank, Zonal and Regional Food Security and Early Warning Work Processes also provided guidance during the implementation of the pilot activities. The pilot project also benefited a lot from the technical support provided by the Livelihood Integration Unit of the Ministry of Agriculture and Rural Development in the process of determining the number of PSNP beneficiaries demanding 3, 6, and 9 months of transfers using a national database of household economy approach (HEA). The pilot exercise was fully funded by the PSNP MultiDonor Partnership Trust Fund through the World Bank.

1.2 Objective of the Pilot

The Programme Implementation Manual (PIM) for PSNP states that targeting of resources to households should be based on the number of months of need. However, this was not implemented under Phase I of the Program, mainly due to perceived difficulties with introducing more complex planning and implementation systems. During the abovementioned joint donors-government review and supervision mission an agreement was reached to launch a pilot project wherein resources would be targeted to households for 3, 6, or 9 months of support within the same overall woreda resource envelope in 2009. Lessons from the pilot 1

project could be used to develop a roll out plan for wider application of variable levels support in PSNP. The main objective of the pilot project was to assess the appropriateness and workability of targeting households for a variable duration of support from the PSNP (i.e., 3, 6 or 9 months) by providing technical assistance to the Federal Food Security Coordination Directorate in developing appropriate adaptations to the current targeting mechanism to allow for different levels of support. In addition, Dadimos Consultants has monitored the implementation of the revised support mechanism during the 2009 PSNP implementation season.

1.3 Expected Outputs of the Pilot

Based on the terms of reference (ToR) for this pilot project the expected outputs at the end of the assignment were: The production of a field tested revised variable levels targeting guideline; and A final report, including a time bound action plan for the introduction of variable levels of support in the PSNP at large. This report deals with the second output, while the first output is presented as a separate document along with this report.

CHAPTER TWO: THE PILOTING PROCESS

2.1 Phases of the Pilot Project
The pilot exercise was carried out by grouping the required activities into four phases, viz., Planning, Analysis and targeting mechanism adaptation, Implementation and monitoring, and Consolidation and documentation.

2.1.1 Planning Phase

In this phase the Consultant Team laid a basis for clearly designing and piloting of variable levels support mechanism in the selected four woredas. At this stage the following key activities were undertaken: Review of PSNP documents including the PIM, the programme proposal, the targeting guideline, donor-government review mission reports, and various programme appraisal studies. This helped the Consultant understand the programme targeting procedures and the expected challenges before the introduction of the variable levels support. Conducting initial discussions with the respective regional food security bureaus, selected woredas and Monitoring and Evaluation Technical Task Force (METT) to gain inputs to develop agreeable work plan for the design and implementation of the variable levels support piloting. In depth discussions were held with woreda administrations, woreda offices agriculture and rural development (WOARD) and members of woreda food security task forces (WFSTF). Preparation of a detailed work plan for the assignment which indicates timing of activities and deliverables as well as support needs from stakeholders. The work plan showed the roles of the Consultant, METT, woredas, Kebele Food Security Task Forces (KFSTF), Community Food Security Task Forces (CFST) and other responsible actors to be involved in the piloting of variable levels support targeting. Finally, the work plan was presented to and agreed upon with METT and FSCD.

2.1.2 Analysis and Targeting Mechanism Adaptation Phase

In this phase the Consultant reviewed current targeting practices, created awareness about the pilot project at all levels, and developed a variable levels support piloting mechanism. The phase had the following key activities:

Detailed review of the current targeting practices in close consultation with each of the selected woreda and KFSTF/CFSTF. The review focused on procedures of targeting and retargeting, decision-making processes in targeting and appeals management, and the criteria used for beneficiary selection. During the review strengths and weaknesses of the existing targeting practices in each pilot woreda were identified and documented. Awareness raising at woreda, kebele and community levels on the objective of the pilot exercise and the importance of variable levels support. At this stage the Consultants developed a short note on variable levels support and distributed that among the WFSTFs, KFSTFs and relevant staff of the woredas. This note was translated into Amharic by Dadimos, and into Oromiffa by Deder Woreda staff. Assessment of available data at woreda level to determine food gaps of beneficiary households. The woredas had been collecting data on household asset ownership from the PSNP beneficiaries for the purpose of the variable levels support piloting and graduation exercises. The consultant team reviewed the data collection method and the quality of data managed by the woredas. Based on this advice was given to the pilot woreda staff in updating, computerizing and using the data for beneficiary classification that depended on the duration of food gap. Assessment of the roles of KFSTFss, CFSTFs and appeal committees at kebele level where the structures existed and were functional. Recommendations have also been made to the WFSTFs in order to strengthen CFSTFs and appeal committees. Moreover WFSTFs were advised to put in place community-based PSNP structures where they did not exist prior to the piloting exercise. Conducting of woreda-level workshops to develop adaptation/ reinforcement mechanism to the current targeting criteria and to enable CFSTFs determine the required level of programme support to beneficiaries. WFSTF members, technical staff of woredas and two to three representatives of KFSTFs from three kebeles of each woreda participated in a one-day participatory workshop organized in each piloting woreda. The mechanism of introducing variable levels support including beneficiary classification criteria, use of existing woreda level food security data, as well as roles and responsibilities of PSNP actors were outlined in the workshops. The proceedings of the workshops have been documented and presented to the respective pilot woredas, regional food security coordination offices and FSCD. Close coordination with the Livelihood Integration Unit (LIU) on the application Household Economy Approach (HEA) data to determine the proportion of PSNP beneficiaries requiring 3, 6 and 9 months of 4

support. The LIU took an assignment from the World Bank to support the Dadimos team by providing analytical data showing proportions of PSNP beneficiaries having different months of food gap. Dadimos Consultants reviewed the outcome of LIU exercise with the pilot woredas and incorporated in the variable levels support piloting guideline so that woredas use the data as an indicative to determine the number of PSNP beneficiaries requiring 3, 6 or 9 months of support. The data was first prepared by livelihood zones and the Consultant apportioned it by kebele. Development of a variable levels support piloting guideline for the implementation of the revised targeting criteria. The guideline outlined methodologies of estimating the households food gap and associated support needs, possible strategies for overcoming challenges and handling targeting grievances, and roles of different PSNP actors in the framework of PIM and the revised targeting criteria implementation. The guideline indicated ways of adapting different criteria depending on local contexts of food security. Representatives of Oromia Food Security, Disaster Prevention and Preparedness Commission; Tigray Food Security Programme Coordination Office; SNNPR Food Security, Disaster Prevention and Preparedness Office; East Hararge Zone Food Security and Early Warning Work Process; and South Wollo Zone Food Security and Early Warning Work Process participated in two-day consultative meetings organized in each of the woreda to draft the key contents piloting guideline. Additional comments were obtained from the Director of FSCD and staff of PSNP Donors Coordination Unit. Once the piloting guideline was reviewed on the basis of these comments and accepted by the FSCD, the main sections were translated into the Amharic and Oromiffa languages to ease their usage at woreda and kebele levels.

2.1.3 Implementation and Monitoring Phase

It this stage the Consultant provided technical support for training the relevant PSNP actors on the piloting guideline and monitored the implementation of the variable levels support with the relevant woreda, zonal and woreda offices on the basis of the piloting guideline. The following key activities were accomplished: Training of members of woreda technical staff, WFSTFs, KFSTFs, CFSTFs and appeal committees on the beneficiary classification procedure depending on the food gaps as per the piloting guideline. In this respect, the Consultant first trained key technical staff of the woredas and WFSTF members. Following this, the technical staff specifically the food security and early warning case teams organized additional training for KFSTFs, appeal committees and other staff members of pilot woredas. Further orientations had been provided to CFSTFs by KFSTFs with extensive technical support from woreda staff and development agents at kebele level. 5

Provision of ongoing technical supports to the pilot woredas to smoothen and overcome challenges encountered during the implementation process. Such supports were rendered by Dadimos Consultant to the woredas through repeated visits and telephone. Problems encountered have then been communicated to the Director of FSCD, PSNP Donors Coordinator as well as the respective regional and zonal offices whenever they deserved higher level attentions. Monitoring the progress of the implementation of variable levels support to document lessons, provide technical solutions on encountered problems and enhancing communications on the progress. The Consultant, together with regional and zonal level staff, made two to four visits to each woreda to monitor the progress of the implementation of the pilot exercise. More visits were required in some woredas such as Deder in Oromia State and Boricha in SNNPRwhere the piloting project encountered various challenges due to frequent staff turnover.

2.1.4 Consolidation and Reporting Phase

In this phase the Consultant finalized the assignment by analyzing the information obtained from the implementation and monitoring processes, preparing this final report, developing a roll out plan and preparing a revised guideline for the introduction of variable levels support into other PSNP woredas. The following are the major activities undertaken during the consolidation and reporting phase of the pilot project: Compilation of a final report upon the termination of the pilot project to reflect on lessons learned; best practices, opportunities and challenges encountered during the piloting of variable levels support. This report documented the experiences from the pilot exercise and indicated the preparation of a revised variable levels support targeting guideline and an action plan on the transferring of variable levels support mechanisms to other PSNP woredas at large. Preparation of a revised variable levels support targeting guideline that will help a wider adaptation of variable levels support by all PSNP woredas. The revised guideline is prepared on the bases of the lessons and outcomes of the pilot exercise.

2.2

Classification of PSNP Beneficiaries

Classification of PSNP beneficiaries by the level of food gap they encountered during the year (2009) was the core of the piloting exercise. It involved the use of both community-based and administrative targeting/classification criteria. The beneficiary

classification method and the criteria applied during the pilot had both similarities and differences across the pilot woredas. In the guideline, all pilot woredas were advised to use the HEA data, collected by the Livelihood Integration Unit of the Ministry of Agriculture and Rural Development (MoARD) in estimating the proportion of households falling under the three categories of support levels, i.e., 3, 6 and 9 months of PSNP resource transfers. The pilot guideline also indicated the method of using community knowledge for classification of each and every beneficiary household by its level of support need. The following sub-sections explain how the classification of beneficiaries was conducted by WFSTFs, KFSTFs and CFSTFs in the respective woredas. (i) Kalu Woreda This woredas strictly followed the piloting guideline and classified households using both the LIU data and household asset holding data collected by the woreda. To some extent the woreda staff has adjusted the LIU data to reflect local food security situation using their knowledge and current early warning data. The woreda also revised the number of PSNP beneficiaries in each household with the aim of ensuring full family targeting without the requirement for additional budget at woreda level. During this process, deceased and permanently gone family members were eliminated from the beneficiary list. In place of these people, family members present during the 2005 initial targeting, but not included in the PNSP list, were incorporated in 2009. In this process children born after 2005 were not considered for PSNP benefits. The following key steps were adopted by Kalu during the beneficiary classification process: Orientation on variable levels support at woreda, kebele and community levels; Training of trainers for the woreda technical staff by the Consultant; Training of technical staff from different sectors in the woreda and KFSTFs; Community-level discussions to reach consensus on the pilot exercise and community-based beneficiary classification criteria; Collection of household asset data by development agents at kebele level with the active participation of PSNP beneficiary and non-beneficiary households; Analysis of household asset data and classification of beneficiaries by three levels of support at woreda level; Forwarding of list of beneficiaries classified by three levels of support to KFSTF; Presentation and posting of list of beneficiaries by levels of support to the general community by CFSTF; Receiving examining and resolving of appeal cases by kebele appeal committees; 7

Forwarding community approved list of beneficiaries by KFSTF to WFSTF; Reviewing and presenting the list to woreda cabinet; Approval of beneficiaries by levels of support and notification of all the PSNP structures for implementation by woreda cabinet.

(ii) Boricha Woreda The woredas applied the LIU data for setting proportions of PSNP beneficiaries by three levels of support. The Woreda Food Security and Early Warning Work Process used household asset data collected in 2007 for wealth ranking and classification of individual PSNP beneficiaries by levels of support (3, 6 and 9 months of transfer). The KFSTFs verified this classification of beneficiaries using local knowledge of community members on the level of food production, remittance and income from off-farm activities. Although the woreda received technical support from Dadimos Consultants to revise and update the 2007 data on household asset holding during the 2008 piloting season, it was not realized because of the frequent staff turnover and competing assignments that the woreda staff and development agents faced. The following were the key steps taken by Boricha to classify PSNP beneficiaries into 3, 6 and 9 months of support levels: Orientation on variable levels support at woreda, kebele and community levels; Training of trainers for woreda technical staff by the Consultant; Training of technical staff from different sectors in the woredas and KFSTFs; Community-level discussions to reach consensus on the pilot exercise and community-based beneficiary classification criteria; Analysis of household asset data (collected in 2007) and classification of beneficiaries by three levels of support at kebele level; Presentation and posting of list of beneficiaries by levels of support to the general community by KFSTFs; Receiving, examining and resolving appeal cases by KFSTFs and WFSTF; Forwarding community approved list of beneficiaries by KFSTF to WFSTF; Reviewing and presenting the list to the woreda cabinet by WFSTF; Approval of beneficiaries by levels of support and notification of all the PSNP structures for implementation.

(iii)Deder Woreda Like Boricha and Kalu Woredas Deder used the LIU data for setting proportions of PSNP beneficiaries by levels of support need in each kebele. Although household asset data was collected in 2007, it was not applied for the purpose of the pilot exercise. The woreda mentioned lack of budget and staff turnover as main reasons for not using these data. It solely used community knowledge for classifying each PSNP beneficiary household by the level of support, using 8

relative wealth ranking method outlined in the piloting guideline. This deviation can be seen as an opportunity to learn from and come up with a strategy on the implementation of variable levels support scheme in woredas where there is no capacity and resources to collect data on household assets. Although the original classification of beneficiaries was by 3, 6 and 9 months of support, the Zonal Food Security Work Process advised the woreda to amend it to 4, 6 and 8 months support after the second round PSNP payment was completed . The reason given for this change was to increase the payment period for the three months beneficiaries that had been facing serious food shortages due to failure of belg rains. The following were the key steps taken by Deder to classify PSNP beneficiaries: Orientation on variable levels support at woreda, kebele and community levels; Training of trainers for woreda technical staff by the Consultant; Training of technical staff from different sectors in the woreda and KFSTFs; Community level discussions to reach consensus on the pilot exercise and community-based beneficiary classification criteria; Classification of beneficiaries by three levels of support using community knowledge on wealth and the food security status of households by KFSTFs and CFSTFs; Presentation and posting of list of beneficiaries by levels of support to the general community by KFSTFs; Receiving , examining and resolving appeal cases by KFSTFs; Forwarding of community approved list of beneficiaries to WFSTF by KFSTFs; Reviewing and presenting the list to the woreda cabinet by WFSTF; Approval of beneficiaries by levels of support and notification of all the PSNP structures for implementation. (iv) Endamehoni Woreda Out of the four pilot woredas Endamehoni refrained from applying the LIU data for setting proportions (or absolute numbers) of households falling under 3, 6 and 9 months of food gap. The Woreda put the lack of its participation and awareness in the collection and analysis of these data as the main reason for rejecting the use of the LIU data for this purpose. Instead it used household asset data collected by the woreda. The approach pursued by Endamehoni Woreda can be seen as a good lesson to be capitalized on for developing a roll out plan and application variable levels support targeting in the rest of PSNP woredas where using such a national data would not be possible.

The following steps were followed by the woredas during the classification of PSNP beneficiaries into 3, 6 and 9 months of transfers: Orientation on variable levels support at woreda, kebele and community levels; Training of trainers for woreda technical staff by the Consultant; Training of other woreda technical staff and KFSTFs; Community-level discussions to reach consensus on the pilot exercise and community-based beneficiary classification criteria; Collection and analysis of household asset data by development agents at kebele level; Classification of beneficiaries at three levels of support by KFSTFs and CFSTFs using household asset data1; Presentation of list of beneficiaries by levels of support to the general community by CFSTF; Receiving, examining and resolving of appeal cases by kebele appeal committees; Forwarding of list of beneficiaries by KFSTF to WFSTF; Reviewing and presentation of the list to the woreda cabinet by WFSTF; Approval of the beneficiaries list by level of support and notification of all the PSNP structures for action.

In summary, all the pilot woredas have used wealth ranking techniques as a basis for classifying PSNP beneficiaries in the three durations of support. Endamahoni, Kalu and Boricha woredas used household asset data collected by the woreda staff and development agents for doing the wealth ranking. In this regard, the wealth ranking in Endamahoni and Boricha was done at kebele level. In Kalu the wealth ranking was prepared by the Woreda Food Security and Early Warning Work Process on the basis of household asset data collected by KFSTFs. Contrary to this, Deder was not directly involved in such massive data collection and analysis exercise. Rather this woreda encouraged community members to do wealth ranking of beneficiaries using their knowledge about each PSNP beneficiary without having records on asset inventory. Community members further refined the beneficiary classification which was based on wealth ranking exercises by taking additional food security indicators, including community estimated annual food crop production, amount of food in stock, remittance, family size, access to irrigation facilities (household ponds and other communally used irrigation infrastructures), and access to credit services from the Food Security Programme.

1 Benchmarks of asset ownership for the different levels of support were set by KFSTFs and CFSTFs using their knowledge of the area.

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CHAPTER THREE: CHALLENGES, OPPORTUNITIES AND BENEFITS

In the course of introducing variable levels support, the piloting project has encountered various challenges and opportunities as resisting and supporting factors respectively. These factors have been discussed with the relevant woreda, zonal and regional officials, and the FSCD in order to resolve or minimise the impacts of the challenges and maximise the opportunities at different stages of the pilot exercise. Above all the pilot project clearly demonstrated among the various stakeholders the benefits of the variable levels support approach in realising the objective of the PSNP.

3.1 Challenges of the Pilot Project

(i) Limitations in targeting full family The PSNP is designed to fill annual food gaps of targeted beneficiaries, taking into account the full family. However, due to resource limitation and the need to support large number of households the programme has compromised the principle of full family targeting. In Deder and Boricha woredas, for example, the failure in full family targeting is a widespread problem. The introduction of variable levels support under this situation would further compromise the food security objective of the programme by further reducing the level of support provided to households. To overcome such a challenge Kalu Woreda has revised its beneficiary list. In this process the woreda excluded individual beneficiaries that have died or permanently moved from their areas and replaced them with beneficiaries from households where all the members were not entitled to get PSNP benefits. (ii) Delay in payment Delay in the transfer of PSNP resources to beneficiaries is believed to have unfavourable outcomes. This situation in particular compromises the attainment of PSNP objectives and the variable levels support piloting project. The PSNP resources are meant to cover the food gap of beneficiary households for specific period. So when the PSNP resources get delayed beneficiary households would be unable to meet periodic food shortages and end up in resorting to destructive coping mechanisms including forced selling of assets and indebtedness. In the implementation of variable levels support with delayed payments of the PSNP resources, due to the supply side problem, classifying households based on the food gap may become pointless. Specially, households classified under lower level of support such as three months would lose much of their payments for debt servicing. (iii) Management and technical staff turnover at woreda level Staff turnover, along with the recent restructuring of offices through the business process reengineering (BPR) at woreda level, has been seriously affecting the 11

pilot exercise. Highly trained and well informed staff were replaced by individuals with low level of awareness about PSNP and the variable levels support scheme. High staff turnover and the haphazard transfer of responsibilities to incoming staff were serious setbacks to the pilot. This has resulted in making uninformed decisions about the piloting exercise, inability to make timely decisions and deficiency of adherence to agreed upon approaches (e.g. the application of the variable levels support piloting guideline) by the new staff. Such problems were highly prevalent in Deder and Boricha woredas where the PSNP coordinators and other key technical staff were transferred during the piloting of the variable levels support. (iv) Budget calendar, administration of the PSNP resources and implementation of public work activities The implementation of PSNP normally starts early in January and ends in June every year the period is the second half of the Ethiopian Fiscal Year. In the past, all the activities of the Public Works (PWs) and the transfer of resources in the country have consistently been following this time line. The administration of resources for the three- and six- month beneficiaries do not encounter setbacks as they fall within a fiscal period. The actual challenge rests with the management of PSNP resources for nine month beneficiaries that are left with for three extra three months after the end of the fiscal year in June. In some woredas (Boricha and Deder) keeping food grains in a warehouse for an extended time was a challenge. Likewise, keeping PSNP cash for transfer beyond July was impossible as the financial regulation set by the programme does not allow such acts unless fully justified by the relevant authorities. Moreover, introduction of variable levels support demands planning of public works labour contributions based on the levels of support (3, 6 and 9 months). This has created complexity of planning for woredas and kebeles, and longer duration of public works activities for nine months of beneficiaries. (v) Weak and inexistent PSNP structures at grassroots In some regional states the grassroots level PSNP structures are weak or inexistent. For example, there was no CFSTF in Boricha woreda at the beginning of the piloting exercise. Although the Consultant Team provided the required advice and the piloting guideline overemphasised the requirement to institutionalize CFSTFs in all the kebeles, this was not realized in all the kebeles due to frequent staff turnovers. Apart from this, the passive role of the appeal committees has been a challenge for Deder and Boricha woredas. Often the KFSTFs and kebele councils took the roles of the appeal committees. This has obviously resulted in large number of appeal cases that went up to zonal levels. In some cases zones provided or tend to provide resolutions for the appeals in ways that could distort the variable levels piloting exercise. Some of those resolutions were reversed through discussions with zones and regional food security case teams before they could have seriously affect the pilot exercise. (vi) Constant PSNP resource envelop 12

In the variable levels support scheme households are normally classified in three, six and nine months support groups. However, the volume of PSNP resources reaching the pilot woredas remained constant and did not give room for flexibility to adapt to the available food gap. In all the cases the number of beneficiaries under three and nine months support categories had to be equal to maintain the resource envelop and the caseload to same levels before the introduction of the variable levels support mechanism. Yet the reality on the ground was often different. In some places the number of beneficiaries requiring nine-month of support could be high compared to the people that require three-month support. To cope with this challenge Kalu woreda, for instance, shifted resources from kebele to kebele within the existing woreda level resource allocation, and without affecting the total number of beneficiaries. In all the rest of the pilot woredas there was no such shift of resources from kebele to kebele depending on identified food gap. (vii) Weak monitoring of labour contributions in public works Various reasons, including limited manpower, logistics for movement and sometimes the urgency to effect payments, are contributing to weak monitoring of labour contributions in person days (PD) and associated public works outputs as per the payment norms. This keeps people interested to stay receiving PSNP payments as long as the opportunity cost labour is low. As a result some beneficiaries often struggle to get longer duration of support, or resist graduation from PSNP even if their food security situation is safe. (viii) High food shortages at household level During the variable levels support piloting season, all the pilot woredas had experienced drought due to failure of belg and delays in meher rains. This has posed serious threat to agricultural production and productivity that resulted in higher level of food shortage among some households than the one anticipated during the start of the pilot activities. As a result there were frequent requests for additional PSNP payment from three months beneficiaries in Deder and Boricha. Moreover, the PSNP contingency fund was entirely used to increase caseloads than increase the level of transfer for exiting beneficiaries faced food shortage. (ix) Limited capacity of woredas to collect household asset data Different woredas have different capacities in collecting, managing and using data for decision-making purposes such as classifying PSNP beneficiaries by levels of food gap. In principle the idea of using locally collected and analyzed data is very acceptable. However, the experience from the piloting exercise suggests that all the woredas do not have capacities and the required facilities to do so. In most cases data collection is a costly and time taking activity. (x) High expectations of woredas for extended technical supports Expectation of woredas for frequent visits and extended technical support from the Consultants outside of the level expressed in the original contract agreement and work plan prevailed in all the pilot areas. This has pressed the Consultants to 13

visit each pilot woreda from six to ten times exceeding the four visits indicated in the contract agreement. The main reasons for such demand were high staff turnover and loss of programme memories, limited capacity and attitude to keep and share piloting records and guidelines at woreda level. Table 1: Summary of challenges by woreda
Challenges Limitations in targeting full family Delay in payment Management and technical staff turnover Complexity of administration of the PSNP resources and implementation of public work activities Weak or inexistent PSNP structures Constant PSNP resource envelop Weak monitoring of labour contributions in public works High food shortages at household level Limited capacity of woredas to collect household asset data High expectation of woredas for frequent visits and extended technical supports Kalu X X X Boricha Deder X X X X X X X X X X X X X X X X X X X Endamehoni X X X X

X X X X X

3.2 Opportunities
The piloting exercise had different opportunities for successfully trying out the variable levels support in PSNP. The most important factors which contributed to this success include the active participation of community members, access to LIU data, commitment of woreda and kebele leadership, and flexibility of the piloting approach. (i) Active participation of community members In all the pilot woredas community members had active role in determining the criteria for classifying PSNP beneficiaries by different levels of support, collecting household asset data and commenting on the appropriateness of beneficiary classification. Depending on the local realities they applied asset holding, annual production, income from off-farm activities, remittance and family size to estimate food security status of each beneficiary household. These criteria were used to classify beneficiaries or verify the classification done by KFSTFs or woreda food security work processes based on household asset data collected for the same purpose. The community members were actively involved in the collection of household asset data. Specifically, the involvement of both PSNP beneficiary and non- beneficiary households in Kalu Woreda helped the KFSTFs to collect better and reliable data. Moreover, community members had a chance to comment on the classification of beneficiaries before it was applied. In places such as Kalu and Endamahoni woredas where community participation was relatively high appeal cases were low and were easily handled at kebele level by the appeal committees.

14

(ii)

Access to LIU data

Deciding on the number of PSNP beneficiaries falling under the different levels of support is one the most critical tasks in the introduction of the variable levels support. This particularly requires objective data that could be applied across woredas and kebeles. In this respect the LIU data on HEA was the only available and most applicable resource to the piloting exercise. Thus, access to these data has not only eased the implementation of the variable levels support but also helped the application of common data across all woredas with the exception of Endamahoni that refused to apply the LIU data. (iii) High commitment of administrative bodies It could have been hardly possible to successfully introduce the variable levels support in PSNP without the active and leading roles of woreda and kebele cabinets and councils. These administrative bodies in all the pilot woredas have shown high level commitment in orienting woreda sector offices, kebele officials and influential community members, and following up the progress of the pilot exercise. These endeavours in turn resulted in the active participation of the sector offices, kebele officials and community members in the classification of beneficiaries, appeal management, and monitoring of the pilot process. The sensitization and orientation efforts by regional and zonal food security staff and the Consultants have also contributed immensely toward harnessing the roles of the administrative entities. (iv) Flexibility of the pilot project The pilot project was initiated to try out the workability of providing different levels of support to PSNP beneficiaries based on their food gaps by reinforcing the existing targeting guideline and adhering to PIM. The pilot scheme was designed to test different options for the classification of beneficiaries by different levels of support. In this respect, Deder woreda has chosen to exclusively apply community knowledge without going into data collection from beneficiaries. As opposed to this, Endamahoni, Kalu and Boricha collected data on household asset to classify beneficiaries by different levels of support. community knowledge was similarly used solely by Endamahoni to determine the number of PSNP beneficiaries by levels of support, while the rest of the three woredas combined LIU data with community knowledge and early warning information of that particular year for the same purpose. Such flexibility has enabled the pilot exercise to be carried out by adapting different approaches suitable for the specific local reality.

3.3 Benefits of the Variable Levels Support Targeting Approach

The piloting exercise conducted over a year and half has created awareness of the benefits of adopting the variable levels support at regional, zonal, woreda, kebele and community levels. The awareness created during the pilot period remains an asset to 15

capitalize on for wider adaptation of the approach by other PSNP woredas. Apart from this, the following benefits of the variable levels support in PSNP were observed and documented during the monitoring events of the pilot exercise jointly conducted by the respective regional food security case teams, zonal and woreda food security work processes and the Consultants: Directs resources on the basis of needs; Supports step-wise graduation from PSNP; Reduces dependency on external assistance; Enhances documentation and recording; and Enables to identify and solve targeting challenges. (i) Directs resources on the basis of needs As recognized by the Government of Ethiopia and PSNP donors, as well as stated in the ToR for this pilot project, all PSNP beneficiaries have no equal food gap. The food gap and associated level of support could vary depending on household economic and demographic characteristics of the beneficiaries. In essence the variable levels support approach helps to classify beneficiaries by level of food gap and associated need for support from PSNP. In this respect households with longer duration of food shortage get higher level of support and vice-versa. This ensures transfer in a just way. (ii) Supports step-wise graduation from PSNP Graduation from chronic food insecurity is the key goal of the Food Security Programme to which PSNP contributes, together with the credit and extension supports that are available through the Household Asset Building Programme and other regular development services. In this regard, food gaps cannot be eliminated at household level and graduation cannot be realised at once. Thus, the variable levels support provides time for beneficiaries to stay in PSNP for a while until their food gaps are fully eliminated. The approach promotes a gradual reduction in level of support and finally graduation over time. This step-wise reduction in level of support will help households to psychologically and economically prepare for eventual graduation. Moreover, the system will help the woredas to plan their graduation achievements by giving special attention to lower level support (e.g. three months) recipients. (iii) Reduces dependency on external assistance

The provision of PSNP supports based on estimated food gaps to each PSNP beneficiary households would eliminate extra transfer which could be a disincentive for households to focus on other productive activities such farm productions and income generation activities. Therefore, variable levels support approach ensures the transfer of PSNP resources only to bridge existing food gaps at household level and reduce unnecessary dependency on external resources. (iv) Enhances monitoring and documentation 16

By virtue of its nature the variable levels support approach requires the use of reliable database and community knowledge to fairly and objectively classify beneficiaries by different levels of support. In addition, the approach encourages better monitoring of the food security situation of beneficiaries to reduce risk of exposure to food insecurity while receiving the support. (v) Enable to identify and solve targeting challenges As indicated above the variable levels support scheme demands active participation of PSNP actors including woreda and kebele cabinets, kebele appeal committees, community food security task forces and community members in wider context. The involvement of these actors helps to jointly appreciate and solve operational challenges of the PSNP specifically related to targeting and graduation. In this respect capacity gaps, communication barriers and actions outside of the programme rules could easily be identified and corrected at respective levels.

17

CHAPTER FOUR: LESSONS LEARNED

Various stakeholders have been involved in the variable levels support piloting process. Moreover training, review and monitoring events were organized during this period. Dadimos has identified the main lessons learned from the pilot exercise, which would help to reflect on during the full scale adaptation of such an approach in the PSNP. The lessons include: Massive data collection and analysis on household assets by woreda for the purpose of variable levels support is time taking, costly and often beyond the capacity of woreda staff; Repeated and detailed discussions with the pertinent people at different levels, including at woreda, kebele and community, are important factors for the success in the introduction of variable levels support in PSNP. The discussions will promote transparency and will build trust among the implementers and beneficiaries. , Engaging woreda and kebele cabinets in major decision-making processes is specially vital to the successful implementation of variable levels support in the PSNP; Community participation of both PSNP beneficiary and non-beneficiary households during the introduction of variable levels support (for example during data collection and subsequent classification of PSNP beneficiaries) is vital for obtaining the desired outcomes. The collective effort would help facilitate fair and efficient classification of beneficiaries by level of food gap; Combination of administrative and community-based criteria can suitably work to classify PSNP beneficiaries based on their annual food gaps and support needs; Zonal food security case team could play a decisive role in the introduction and rolling out of variable levels support targeting approach; and Appropriate monitoring of person days (PD) contributes to the public works; and adherence to payment norms will promote graduation and the desire for or acceptance to receive a lower level of support from PSNP by beneficiary households.

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CHAPTER FIVE: THE ROLL OUT PLAN

A rollout plan that would enable to expand the application of variable levels support mechanism in the rest PSNP woredas was one of the expected outputs of this pilot exercise. Thus, this report indicates key action steps and roles of PSNP actors at various levels for promoting the introduction of this approach in PSNP woredas at large. The points raised in the rollout plan are mainly based on the piloting experience and the ideas forwarded at regional workshops organized in each of the regional states towards the end of this assignment. Outcomes of discussions held with all pilot woredas and some kebele food task forces were also taken into account in the preparation of the proposed rollout plan. The following two subsections and Annex 1 provide details on the proposed roll out plan.

5.1 Duration of the Roll out Plan

During the regional workshops held in December 2009 to discuss the results of the pilot exercise and the rollout plan with the participation of regional, zonal and woreda food security staff different approaches were suggested to expand the implementation of the variable levels support in all PSNP woredas, with the exception of pastoral areas. In this respect, depending on the institutional capacity at regional and zonal levels and the number of PSNP woredas per region, the Amhara and Oromia regional states suggested introducing the approach in all PSNP woredas in two years time starting from 2011 PSNP implementation season. Likewise, Tigray and SNNPR have agreed to implement the plan in all their PSNP woredas in 2011, i.e., within one year time frame. On this basis the Amhara regional state suggested to cover at least 50% of its programme woredas in 2011 and the remaining 50% in 2012. In contrast with this, Oromia proposed to cover 30% to 40% of its programme woredas, mainly those which are not very far from technical support centres including regional and zonal capitals. The remaining 60-70% of the woredas will introduce the variable levels support in 2012.

5.2 Key Action Steps

Based on the experience from the pilot exercise, the activities required to institutionalize and apply the variable levels support mechanism can be grouped into the following five action steps: Preparation; Awareness raising and training; Classification of beneficiaries by levels of support; Monitoring and responding to triggering events; and Reviewing the outcome and planning for the following year.

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5.2.1 Preparation
Preparation is a crucial step for rolling out the variable levels support. The following activities should be considered as part of the preparation step: Translation of the variable levels support implementation guideline into local languages (Amharic, Oromiffa, Tigrigna, Afar and Somali); Duplication and distribution of the guideline; Recruitment of an external technical assistance (TA) team that provides training of trainers and backstopping to regional and zonal staff (see Annex 2 for the terms of reference on this TA); Obtaining TA from LIU on the use of HEA data for estimating the number of PSNP beneficiaries by level of support needs, woreda and livelihood zone; Preparation of a short note on the variable levels support (the objectives and the approach) in a flyer form; and Assigning a team or a point person at regional and zonal levels to oversee the introduction and implementation of the variable levels support. These activities should be overseen by the Monitoring and Evaluation Technical Team of the Food Security Programme (METT), the FSCD and Donors Coordination Unit in order to guide the overall process of the roll out, to put the required TA in place as well as accomplish the tasks as per the plan.

5.2.2 Awareness raising and training

Awareness raising on the objectives of variable levels support targeting at all levels is mandatory for the successful introduction of variable levels support in PSNP. Woreda and kebele councils, community members (both beneficiaries and non-beneficiaries), woreda technical staff, WFSTFs, KFSTF, CFSTF, appeal committees are the key actors that can play supportive roles if they are well aware of the variable levels support. In places where lower level PSNP structures are not active or non-existent it is a prerequisite to strengthen and establish them. In this regard cascaded awareness raising events at regional, zonal, woreda, kebele and community levels need to be organized and the variable levels support mechanism should be repeatedly discussed at all levels. The discussions on the variable levels support should be linked with the overall objectives of PSNP and eventual graduation processes. Training on the variable levels support guideline remains as one of the important activities to roll out the approach. Cascaded events of training are recommended to create an adequate understanding on: The technical and functional link between graduation and variable levels support; The use of food security data (mainly the LIU data) for beneficiary number estimation based on annual food gaps; 20

 Developing community-based beneficiary classification (based on food gaps) criteria; Community mobilization for effective and transparent implementation of the variable levels support targeting; Building the capacity of lower level PSNP structures, mainly KFSTFs, kebele appeal committees and CFSTFs; Monitoring and reporting unexpected food shortages; and Use of PSNP contingency funds with special attention to households entitled to receive lower level of support and having higher propensity to experience wider food gaps than the estimated level. The training could be organized at three levels as follows: An external TA provider will give training of trainers to zonal and selected woreda staff. Key staff from the regional food security coordination offices responsible to oversee the introduction of variable levels support should be included in the training of trainers (ToT); The ToT participants in turn will train selected woreda staff and KFSTFs; and The woreda staff and KSFTFs orient CFSTFs and appeal committees on the subject.

5.2.3 Classification of beneficiaries by different levels of support needs

Beneficiary classification by levels of support needs, depending on food gaps, is the core step in the introduction of the variable levels support mechanism. It involves identification and use of administrative and community-based criteria. The methods to be used for beneficiary classification should be less costly, less time taking and simple to be managed by woreda staff, KSFTFs and CFSTFs. Community participation, inclusive of both PSNP beneficiaries and non-beneficiaries in the classification process and ensuring the proper function of CFSTFs and kebele appeal committees helps to promote transparency in the classification process. This in turn would yield satisfaction of community members in the system which will ultimately reduce appeal cases and time to manage appeals. The detailed methodology of the beneficiary classification is outlined in and can be referred from the pilot tested variable levels support targeting guideline prepared as part of this assignment.

5.2.4 Monitoring and responding to triggering events

Unexpected shocks that compromise food security situation of PSNP beneficiaries could happen anytime throughout the annual programme implementation season. Unless such shocks are managed through appropriate and timely responses they can negatively challenge the attainment of PSNP objectives. For instance, beneficiaries could desperately sell their assets to buy food. Although many of PSNP beneficiaries may face such shocks, households obtaining lower level support (e.g. three months) 21

are the one that could be easily predisposed to the impacts of the shocks. Therefore, the programme should give due attention to monitoring the food security situation of this group of beneficiary households. In addition, WFSTFs should make the necessary plan on the use of contingency funds from PSNP to respond to shocks that may induce serious food shortages among the beneficiary households. The woreda councils should also timely notify the situation to the relevant zonal and regional authorities if the problem is not controllable within their capacity and budget limit.

5.2.5 Review the outcome and plan for the following year
The variable levels support mechanism is not a one year task. Every year beneficiaries will be reclassified into different levels of support depending on their annual year food security situations. This process will continue very year linked with the graduation process. Households which graduated from the programme will be removed from the beneficiary list and the remaining ones will be reclassified using simple methods, mainly managed by CFSTFs. On top of this, the WFSTFs will review and document the outcomes and lessons from variable levels support by involving KFSTFs, CFSTFs and community members.5.3 Roles of PSNP Actors Federal, regional, zonal, woreda, kebele and community-level actors have specific roles to play in rolling out variable levels support mechanism to PSNP woredas at large. The following matrix indicates key roles of these actors.
Levels Federal Actors FSCD METTs Roles Oversee the overall implementation; Ensure allocation of the required budget. Provide technical support in the preparation ToRs for TA; Review and give feedbacks on progress reports; and Conduct supportive supervisory field visits. Recruit TA providers. Provide data on proportions/number of PSNP beneficiaries by levels of support need, livelihood zone and woreda. Translate variable levels support guideline into local languages; Facilitate ToTs for regional, zonal and selected woreda staff;and Provide limited technical backstopping to the regions and zones in planning, implementation and monitoring of variable levels support. Provide administrative guidance to regional and woreda level PSNP actors. Provide administrative and technical guidance to zones and woredas; Allocate budget for the implementation and supervisory

Donor coordination unit LIU Private TA providers

Regional

Regional councils Regional food security coordination

22

offices

Zonal

Zonal food security case teams

Woreda

Woreda councils

WFSTFs

Woreda Agriculture and Rural Development Office Woreda food security case teams

support; Assign a point person to spearhead the implementation of variable levels support; and Facilitate ToT events. Identify potential trainers from zone and woredas to go through ToT sessions; Participate in ToT sessions; Orient zonal and woreda level officials and council members; Train woreda staff and KFSTFs together with ToT trained woreda staff; Support woredas in planning the process of introducing the variable levels support schemes; Provide support supervisions and monitoring supports to woredas; and Document lessons. Oversee the overall implementation of variable levels support; Provide guidance to WFSTFs and kebele councils; Review and approve beneficiary list classified by different levels of support; Resolve appeal cases which are beyond the capacity of kebele appeal committees; Review and approve the plan on use of contingency funds within the woreda limit; and Request additional contingency funds from the region as deemed necessary. Review and provide guidance on the use of administrative targeting/classification criteria to woreda technical staff and KFTSFs; Ensure appropriate linkages between the variable levels support and graduation processes; Review and amend on beneficiary classification and number of graduating households; Identify staff from different woreda offices to involve them in the beneficiary classification process; and Ensure appropriate monitoring of person days (PD) in public works. Facilitate woreda level training to woreda technical staff and KFSTFs; Plan and organize woreda and kebele level training events; and Allocate/request the necessary budget for the implementation of variable levels support. Oversee the day to day implementation of variable levels support; Document and keep records on beneficiary classifications and lessons; Facilitate woreda and kebele level training with woreda technical staff from WARDOs and other offices; Ensure the establishment and functioning of CFSTFs and kebele appeal committees;

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Kebele and community levels

Kebele councils

Monitor and report on the processes and outcomes of the implementation of variable levels support; and Prepare regular reports and recommendation to WFSTFs. Review and endorse beneficiary targeting/classification prepared by CFSTFs and reviewed by KFSTFs; Oversee the functioning of KFSTFs, CFSTFs and appeal committees without unnecessarily overriding them. Provide guidance on the use of administrative and communitybased targeting/classification criteria to CFSTFs; Review beneficiary targeting/classification prepared by CFSTFs. Orient community members on the objectives of PSNP and variable levels support; Discuss and agree on the administrative and communitybased targeting/classification criteria; Classify community members by different levels of support based on their food gaps using agreed upon criteria; Involve beneficiary and non-beneficiary community members in the classification process; Read out beneficiary list by levels of support at community meetings with the presence of beneficiary and nonbeneficiary members; and Post list of beneficiaries at visible public places Inform the community members on the appeal hearing processes. Receive appeal cases;and Review appeal cases and provide report with case by case recommendations to the kebele councils. Indentify and agree on appropriate community-based criteria or indicators to estimate annual food gaps of beneficiary households; Participate in the beneficiary classification processes through their representatives in the CFSTFs; and Present appeal cases to kebele appeal committees and woreda councils.

KFSTFs

CFSTFs

Appeal committees

Beneficiary and non-beneficiary community members

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CHAPTER SIX: CONCLUSIONS AND RECOMMENDATIONS

6.1 Conclusions
The variable levels support pilot project has been successfully completed in Endamahoni, Kalu, Boricha and Deder Woredas . In the first three pilot woredas PSNP beneficiaries were classified by three levels of support and received 3, 6 and 9 months of transfers. At the same time in Deder woreda beneficiaries received 4, 6 and 8 months support although the classification was made for 3, 6 and 9 months of transfer. The pilot experience in the four selected woredas indicates that variable levels support targeting can work for PSNP with added benefits to facilitate the attainment of the PSNP objectives. However, it requires strong technical, management and budgetary supports to be effectively implemented. The required technical support areas include woreda staff capacity building through formally organized training and ongoing advice in areas of using existing food security data, community facilitation, building the capacity of local PSNP structures (KFSTF, CFSTF and appeal committee), planning and reporting. Management support is mainly expected from the leadership bodies such as regional and woreda councils. Specifically, the woreda councils are expected to draw the attention and commitment of relevant woreda levels sector offices in the WFSTF and kebele councils. Regarding budgetary support, additional budget may not be a precondition for rolling out variable levels support in the rest of PSNP woreda. Nevertheless, regions, zones and woredas should plan to cover expenses related to variable levels support from their annual administration budget. In this regard, the regional food security case teams are expected to give guidance to the woredas. Apart from this, in some exceptional woredas where administrative budget is low, in relative terms, regional food security and early warning work processes should coordinate with the FSCD for additional budget. The use of combined administrative and community-based targeting ( beneficiary classification) criteria based on annual food gaps is found to be easy and effective for the introduction of variable levels support in PSNP. The targeting criteria mentioned in the PIM and the use of a food security database such as the LIUs HEA data can be considered as administrative criteria. Similarly, community knowledge on the food security situation of

25

individual PSNP beneficiary households can be used to set communitybased criteria for beneficiary classification based on annual food gaps. The use of asset or other food security data collected by woreda or kebele staff could be one of the options for setting administrative criteria on beneficiary classification. However, the approach is often costly and beyond the technical capacity of woreda staff. Therefore, this approach should be considered as the last option in case the use of existing food security databases such as the LIU data is not possible for various reasons. Appropriate monitoring of contribution of labour in public works as per the work norms encourages beneficiaries to consider their participation in PSNP. Based on the experience observed during the pilot, in woredas strictly monitoring person days and public work outputs beneficiaries interested to take lower levels of support and to graduate from the programme is high. The piloting experience and the various discussions held with regional, zonal woreda and kebele stakeholders involved in PSNP indicate variable levels support can be rolled out to the rest of PSNP woredas at large in one to two years time, depending on the specific circumstances in the respective regions. To this end Tigray and SNNPR preferred to introduce the system in all their woredas in 2011 within one year period. Oromia suggested implementing the system in 30-40% of its woredas during 2011, and reach all in 2012. Similarly the Amhara considered applying the variable levels support in 50% of its woredas in 2011 and to fully cover the remaining woredas in 2012.

6.2 Recommendations
Once the workability of variable levels support targeting in PSNP is recognised, the outcomes of the pilot project suggest the following key recommendations for smooth and successful rolling out of the approach: 1. Awareness raising at all levels on the objectives of PSNP and variable levels support is an important step to harness effective political support in the implementation process. Woreda and kebele councils must be convinced and should be the major decision-makers on variable levels support targeting. 2. A clear variable levels targeting guideline translated into local languages, possibly with a short version reference material for WFSTFs, KFSTFs, CFSTFs and appeal committees should be available to promote understanding at all levels.

26

3. Establishing and strengthening local level PSNP structures, mainly KFSTFs, CFSTFs and appeal committees, as per the PIM, from the beginning are vital. In order to do these, taking the inventory of the existence and functioning of these structures should precede any capacity building efforts. Functioning and capacity of these structures should be regularly monitored and reported by woreda food security and early warning work processes. Moreover, other PSNP actors at all levels should support and avoid overriding these structures so that they could play their roles as outlined in the PIM. 4. WFSTFs should ensure the participation of beneficiary and non-beneficiary community members in the classification of beneficiaries based on food gaps. This will help promote transparency and get the correct picture of individual households regarding their food security situations. 5. In most of the cases, woredas do not have adequate capacity to collect and analyse household asset or other food security data by themselves. Thus, woreda staff should not be engaged in massive data collection and analysis exercises that are time taking, costly and beyond their capacity. Alternatively, exploring the use of existing databases such as the LIUs HEA data and community-based criteria will remain to be the best choices. However, the outcome of LIU data analysis should be subjected to revision by woredas and communities to reflect recent objective situations at local levels. 6. Introduction of variable levels support entails financial expenses which did not exist in the previous targeting approach. For instance, woreda staff have to frequently travel to kebeles for technical support and monitoring, and KFSTF members should attend training organized by woredas. This involves cost in the form of per diems, fuel and stationery supplies. Therefore, woredas are recommended to budget for such costs. If the level of budget is beyond the amount available at woreda level, regional states should consider allocating additional budget in close coordination with FSCD. 7. Adherence to public works payment norms and strict monitoring of attendances and PD contributions will help households to rethink the opportunity cost of participating in public works for longer duration of support. It will also promote voluntary graduation and acceptance of lower levels of support. Thus, woredas should develop capacity and system to enhance their public works monitoring and attendances 8. Monitoring the process and outcomes of variable levels support are vital to reflect lessons and promptly correct undesired outcomes. Thus FSCD and regions should ensure the implementation of variable levels support is monitored and necessary correction measures are timely taken through rapid response teams.

27

ANNEX

28

Annex 1: Roll out Plan for the Implementation of Variable Levels Support in PSNP at Large
Rollout action steps Time of actions February 2010 March 2010 Responsible body to implement actions Responsible body to support actions Remark

1
1.1 1.2

Preparation
Finalizing the Variable Levels Support Targeting Guideline Translation of variable levels support implementation guideline in local languages (Amharic, Oromiffa, Tigrigna, Afar and Somali) Duplication and distribution of the guideline Replace existing targeting guideline and link with graduation approach METT, FSCD and Donor Coordination Unit FSCD External TA

1.3

March 2010

1.4

1.5

1.6

1.7

Recruit a TA team to provide a training of trainers and backstopping to regional and zonal staff Obtain TA from LIU on use of HEA data for estimating the number of PSNP beneficiaries by level of support needs and woreda and livelihood zone Prepare a short version of variable levels support guideline (on the objectives and approaches) in a flyer form Assign a team or a point person at regional and zonal levels to oversee the introduction and implementation of variable levels support

March 2010

March 2010

METT, FSCD and Donor Coordination Unit FSCD and Donor Coordination Unit

Regional Security Teams External TA

Food Case

LIU of MoARD

March 2010

FSCD and Donor Coordination Unit Regional Security Teams Regional Security Teams Food Case

External TA

March 2010

These persons will be responsible to liaison with FSCD, external TA providers, and woredas FSCD and Donor Coordination Unit The regional council will write a letter to woredas on the plan for the implementation of variable levels support As deemed necessary zones could organize exchange visits to the first pilot woredas

2
2.1

Awareness raising and training

Sensitize and aware regional councils on the objectives and approaches of the variable levels support Sensitize and aware woreda councils, WFSTFs, woreda technical staff on the objectives and approaches of the variable levels support Take an inventory on the existence, functionality and capacity of local level PSNP structures April 2010 Food Case

2.2

April 2010

Zonal Food Security Case Teams Woreda Food Security Case Teams

2.3

May 2010

Regional Security Teams Woreda staff

Food Case technical

29

Rollout action steps (KFSTF, CFSTF and kebele appeals committees) Establish (if not exist) or reinforce (replacing missing or inactive members) these PSNP structures Sensitize and aware KFSTFs, CFSTFs, kebele appeals committees, PSNP beneficiary and non-beneficiary community members Provide zones and woredas with data on number of PSNP beneficiaries by level of support, woreda and livelihood zones Identify and train trainers on variable levels support from zonal and selected woredas (these trainers will train woreda staff)

Time of actions

Responsible body to implement actions

Responsible body to support actions

Remark

2.4

May 2010

KFSTF

Woreda Security Teams Woreda FSTF

Food Case

Both PSNP beneficiary and nonbeneficiary community members are should be included as members of CFSTF and appeals committee

2.5

May 2010

Woreda Food Security Case Teams Regional Food Security Case Teams Regional, Zonal and Woreda Food Security Case Teams

2.6

June 2010

2.7

July 2010

LIU, FSCD and Donor Coordination Unit External TA

2.8

Train key woreda staff and KFSTF members on the variable levels support implementation guideline and use of LIU data Review and update number of PSNP beneficiaries by level of support need and livelihood zone and apportion the data by kebele (data from LIU) Orient CFSTF and appeals committee members on the estimation of annual food gap at household level and classification of PSNP beneficiaries by level of support needs

July 2010

ToT trained zonal and woreda staff

Regional Security Teams

Food Case

2.9

August 2010

WFSTF

Zonal and Woreda Food Security Case Teams Woreda staff technical

2.10

September 2010

Woreda Food Security Case Teams

LIU should discuss on the use of the data with sample woredas and develop a guide line Regional Food Security Coordination Office will write to zones and woredas to nominate trainees having role and experience in PSNP. The ToT may be organized by grouping 3-4 zones together. From the KFSTF members at least development agents, kebele administrators and chairpersons should be included in the training Woredas my exclusively use local knowledge for determining these numbers if the LIU data do not fit the local reality. The target audiences will get a short handout on the variable levels support for their reference.

3
3.1

Classification beneficiaries by the level of support needs

Classify PSNP beneficiaries by levels of support needs and resolve appeal cases Review and finalize beneficiary classification at kebele and woreda levels October 2010 October 2010 KFSTF, CFSTF, appeals committee, kebele council WFSTF WFSTF, Woreda Food Security Case Team Woreda food security case team Harvest period could be considered to determine the time for classification of beneficiaries

3.2

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Rollout action steps 3.3 Approve final list of PSNP beneficiaries by level of support needs (woreda councils)

Time of actions November 2010

Responsible body to implement actions Woreda council

Responsible body to support actions WFSTF

Remark

4
4.1

Monitoring and responding to triggering events of food insecurity

Develop backup plan on the use of contingency funds in case any of the beneficiary groups or individuals are affected by unexpected food shortage Monitor the implementation of variable levels support and food security situations of the different groups of beneficiaries Take necessary action if any of PSNP beneficiaries are seriously affected by food shortage by making use of contingency funds January 2011 January September 2011 January September 2011 WFSTF Woreda/zonal food security case team

4.2

WFSTF

4.3

WFSTF and woreda council

Woreda/zonal food security case team, KFSTF Woreda food security case team, KFSTF

5
5.1

Review the outcome and plan for the following year

Review and share lessons (success and limitation) in the implementation of variable levels support Revise the beneficiary classification taking the previous year classification, number of graduates, as well as current year food security situations and household assets (repeat step 3.2 and 3.3) Monitor and respond to triggering events (as per step 4 above) October 2011 November 2011 WFSTF Woreda/zonal food security case team, KFSTF Woreda/zonal food security case team, KFSTF Woreda food security case team is responsible to document the lessons

5.2

WFSTF

5.3

Continues

WFSTF

Woreda/zonal food security case team, KFSTF

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Annex 2: Terms of Reference for a Technical Assistance to roll out the variable levels of support in the Productive Safety Nets Programme (PSNP)
1. Background The Government of Ethiopia (GoE) initiated the Productive Safety Net Programme (PSNP) in February 2005 with an urgent need to address the basic food needs of chronically food insecure households. In that year the Programme targeted 4.8 million people living in 192 of the most chronically food insecure woredas throughout the country. In 2010, the number of beneficiaries in the Programme had increased to 7.8 million. Currently the programme has concluded its first phase and in the first year of the second phase. Each phase has five years of implementation period. The objective of the PSNP is to provide nourishment to the food insecure population in chronically food insecure woredas to prevent asset depletion at household level and create assets at community-level. To achieve this, it is widely recognized that the Programme should provide support to beneficiary households to fill their annual food gap. The Programme Implementation Manual (PIM) of the PSNP clearly states that targeting should be based on the unmet needs of households (pages 23-24). Based on the recommendation of the Joint Donor-Government Review and Support Mission in October 2006, GoE and donors piloted a project whereby resources would be transferred to households for either 3, 6 or 9 months. This mechanise of transfer in which households receive PSNP support based on their estimated food gap is named variable levels support. . The new approach adds one more step in the existing targeting mechanism: stratification of PSNP beneficiary households based on unmet annual food gaps. The variable levels support targeting had been piloted in four woredas, namely Endemehoni , Kalu , Deder and Boricha of Tigray, Amhara, Oromia and SNNPR States respectively. Based on the piloting results, the approach will be rolled out to all other PSNP woredas. The piloting exercise was carried out during the 2009 PSNP season, starting from May 2008 to September 2009, with guidance from the Federal Food Security Coordination Directorate (FSCD) and the PSNP donors, and technical support from a private consulting firm. During the piloting period a guideline was developed in collaboration with pilot woreda and regional food security case teams. This guideline has been revised based on the results of the pilot experience and currently ready for application in the rest PSNP woredas based on a roll out plan developed as part of the same assignment. 2. Need for variable levels support The PIM describes the need for the PSNP to provide support to PSNP beneficiaries according to their food gaps. GoE and PSNP donors believe this to be a useful 32

approach to achieving the PSNP objective. From the piloting exercise it was learned that the implementation of the variable levels support has the following advantages: Households with food gap of more than six months per year can obtain support that exceeds the existing level of transfer and not face major food shortage; Households with food gap of less than six months will get less support equivalent to their needs. As a result of this, they can spend more time on their own farms or other economic activities than on PSNP public works; and The system allows phase-based and gradual exit of households from PSNP as their food security situation improves. For instance households performing well in household asset building schemes and have a reduced level of food gap can obtain 3 months of assistance until they are fully ready to graduate from the PSNP. 3. Objective of the assignment The main objective of this consultancy service is to provide a technical assistance to Federal Food Security Directorate and Regional Food Security and Early Warning Work Processes in rolling out the variable levels support targeting mechanism in PSNP. In addition, the consultant is expected to monitor the implementation of the revised support mechanism during the 2011 implementation season. Amhara, Oromia, Tigray and SNNP Regional states will obtain the technical assistance. 4. Tasks Translate the variable levels targeting guideline in to three major languages including Amhraric, Oromiffa and Tigrigna. Prepare a brief training material on the implementation variable levels support. Revise the variable levels support targeting roll out plan. Provide training of trainers on the variable levels targeting approach to zonal food security and early warning work process staff in close coordination with regional food security and early warning work processes. Closely work with the Livelihood Integration Unit of Federal Ministry of Agriculture and Rural Development in making use of its household economy approach (HEA) data for determining the proportions of PSNP beneficiaries requiring different durations of support. In collaboration of FSCD and Regional Food Security Case Teams monitor the implementation of the variable levels roll out plan. Provide a monthly report to Monitoring and Evaluation Technical Team on the implementation of the roll out plan. Prepare the final report and present the main experiences and way forwards in a federal level workshop to representatives of the FSCB, PSNP Donor organizations and selected woredas.

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5. Expected Outputs Review the variable levels piloting project terminal report and the targeting guideline. A revised variable levels support targeting roll out plan per region one weeks after commencement. Brief monthly progress reports, to be discussed in the METT. Variable levels support targeting guideline translated in to Amharic, Oromiffa and Tigrigna. A brief training material on the implementation of variable levels support. Training of zonal food security staff. A final report. 6. Experts profile The team of the consultant shall comprise of four experts. One of the experts shall act as team leader. The experts shall have a relevant university degree, with at least 10 years of relevant professional experience in Ethiopia. The experts are expected to have a sound understanding of the Productive Safety Net Programmed. The services of a qualified secretary/administrative assistant should be available to complement the experts. The secretary/administrative assistance shall have a minimum of 5 years relevant experience. All experts are expected to have an excellent command of English, including oral and written reporting abilities. The experts should have local languages of the region that they are assigned to provide the technical support. 7. Location and duration The consultant is expected to provide his/her services in Addis Ababa, Amhara, Oromiya,Tigray and SNNPR as required. The tentative starting date of the assignment is 01February 2010 and the expected end date is 01 June 2011. During this performance period the experts are expected to provide 120 days of input each. 8. Reporting The consultant will provide monthly progress reports to the METT 10 days after the end of each month The draft final report of the consultancy will be made available by 31 July 2011, with the final report being finalized by 01 August 2011. The consultancy report shall be in English and shall be submitted in both hard and soft copy. The consultant must submit three hard copies and one soft copy of the final report.

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The consultant will report to the METT, composed of members from the Federal Food Security Coordination Directorate and members of the PSNP donor group. The work will be managed under the guidance of the Director of the Federal Food Security Coordination Directorate. The consultant will be funded from the PSNP Multi-Donor Partnership Trust Fund. Annex: The variable levels roll out plan, 2010.

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