Full WaSH Implementation Framework WIF

FEDERAL DEMOCRATIC
REPUBLIC OF ETHIOPIA
The WaSH IMPLEMENTATION

FRAMEWORK
(Full document)
9th August 2011

Ethiopian WaSH Implementation Framework
WIF Pledge and Signature Page

We, the undersigned actors in the Ethiopian WaSH sector, recognize the importance of integration in
achieving our collective goals as outlined in the National Growth and Transformation plan, and herewith
wholeheartedly endorse the WaSH Implementation Framework (WIF). We pledge to structure our work
in accordance with this Framework and to jointly bring about a fully integrated and harmonized One
WaSH Program, beginning in EFY 2005.
In particular, we will create, empower and equip the necessary management and coordination
structures at all levels. We will put in place the planning, financial, procurement, implementation, and
monitoring mechanisms outlined in the Framework. We pledge to do our utmost effort individually and
jointly to achieve the WaSH GTP/UAP targets and meet the One WaSH Program target, i.e. One WaSH
Plan, one WaSH Budget and One WaSH Report.
Signatures:
For the Ministry of Water and Energy ____________________________________________
For the Ministry of Health ____________________________________________
For the Ministry of Education ____________________________________________
For the Ministry of Finance and ____________________________________________

Economic Development
Observers
For the DAG Water Technical Working ____________________________________________

Group
For the CSOs of the WaSH Sector ____________________________________________
Date: __/___/___ Addis Ababa
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WIF Preface
This WaSH Implementation Framework (WIF), prepared to achieve the targets of the Growth &
Transformation Plan, represents the collective efforts of the Ethiopian WaSH sector and will act as the
guiding document for all WaSH implementation. It has long been clear to all that the expansion of WaSH
services can be greatly accelerated by taking advantage of natural synergies and efficiencies offered by
moving from a plethora of implementation projects to a fully integrated and harmonized program. The
stakeholders of WaSH sector have therefore produced this Framework to define this integrated One
WaSH Program and to initiate collective transition towards it.
The concept of the One WaSH Program along with an initial draft of the Framework was first presented
by international consultants at the 3rd WaSH Multi-Stakeholders’ Forum (MSF) in October 2009. While
there was great enthusiasm about the idea amongst WaSH stakeholders, it was also immediately
obvious that the initial draft would require redrafting and careful consultation with all concerned
parties.
Incorporating comments and feedback from the major sector donors and Civil Society Organizations
(CSOs) present in the Ethiopian WaSH sector, a second draft of the Framework was produced and
presented at the 4th WaSH Multi-Stakeholder Forum in April 2011. By this time the need for integration
and harmonization had become much more pressing due to the challenging targets set by the National
Growth and Transformation Plan. The Forum endorsed the draft Framework and adopted a clear road
map for finalizing it.
The lead now passed to the Federal Government of Ethiopia, which took full ownership and
responsibility for the document. At the federal level a team of WaSH experts was assembled and tasked
with closely analyzing the document to ensure it is fit for purpose. At the same time a round of
consultations was launched to garner feedback from Regional Governments and City Administrations.
No substantive changes were requested during these consultations.
The team of federal experts produced a final draft version, which was sent to sector stakeholder for final
comments. These were incorporated into the document which is now in its final form. It should be made
clear that a document is complex and wide-ranging as the WIF will always evolve with the sector
program it describes. As we continue to innovate and find more efficient and effective ways of providing
WaSH services, so will the WIF be adapted. Let us therefore always maintain the spirit of partnership
and cooperation which has given us this Framework, and which will allow us to overcome the challenges
which lie ahead.
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Table of Contents
WIF Pledge and Signature

WIF Preface
1 Introduction .......................................................................................................................................... 1
2 The Overview of the National WaSH Program (WaSH GTP/UAP)......................................................... 3
2.1 The Foundation ............................................................................................................................................3
2.2 Features of the National WaSH Program (WaSH GTP/UAP) ........................................................................3
2.2.1 Integration ........................................................................................................................................................... 3
2.2.2 Harmonization ..................................................................................................................................................... 6
2.2.3 Alignment ............................................................................................................................................................ 7
2.2.4 Partnership .......................................................................................................................................................... 7
2.2.5 The Community Development Fund (CDF) Approach Mainstreamed in Rural WaSH .......................................... 8
2.2.6 CSO/NGOs in the National WaSH Program ........................................................................................................ 12
3 Institutional Arrangements ................................................................................................................. 18
3.1 Memorandum of Understanding ...............................................................................................................18
3.1.1 Common Responsibilities of WaSH Sector Ministries ........................................................................................ 18
3.1.2 Major areas of cooperation ............................................................................................................................... 19
3.2 WaSH Structures ........................................................................................................................................20
3.2.1 National WaSH Structures ................................................................................................................................. 20
3.2.2 Regional WaSH Structures ................................................................................................................................. 25
3.2.3 Zonal WaSH Structures ...................................................................................................................................... 29
3.2.4 Woreda WaSH Structures .................................................................................................................................. 29
3.2.5 Kebele WaSH Structures .................................................................................................................................... 31
3.2.6 WASHCOs (Community WaSH Committees) ...................................................................................................... 32
4 Urban WaSH ........................................................................................................................................ 33
4.1 Introduction ...............................................................................................................................................33
4.1.1 Basic Principles .................................................................................................................................................. 33
4.1.2 Categories of Towns .......................................................................................................................................... 33
4.1.3 Urban WaSH Program Components .................................................................................................................. 34
4.2 Urban WaSH Intervention Identification Process ......................................................................................34
4.2.1 Improved Urban Water Supply Services for a Whole Town as per the UAP Minimum Standard and Liquid
Waste Management Services ................................................................................................................................................ 34
4.2.2 Hygiene and Sanitation Promotion and Sanitation Facilities Construction for Institutions and low income
communities ......................................................................................................................................................................... 36
4.3 The Urban WaSH Program Implementation Modality ...............................................................................37
4.3.1 Improved Urban Water Supply and Sewerage Management Services: ............................................................. 37
4.3.2 Hygiene and Sanitation Promotion and Sanitation Facilities construction for Institutions and Low Income
Communities ......................................................................................................................................................................... 41
4.4 Urban WaSH Structure ...............................................................................................................................42
4.4.1 Town/City Level WaSH Structure ....................................................................................................................... 42
5 Section 5: Rural WaSH Program .......................................................................................................... 49
5.1 Introduction ...............................................................................................................................................49
5.2 Alternatives ................................................................................................................................................49
5.2.1 Community Managed Projects (CMPs) .............................................................................................................. 50
5.2.2 Woreda Managed Projects (WMPs) .................................................................................................................. 50
5.2.3 NGO Managed Projects (NGO-MPs) .................................................................................................................. 51
5.2.4 Self-Supply Projects (SSP) .................................................................................................................................. 51
5.3 Woreda WaSH Organization ......................................................................................................................51
5.4 Woreda WaSH Planning & Management ...................................................................................................54
5.4.1 WaSH Planning ................................................................................................................................................... 54
5.4.2 WaSH Management ........................................................................................................................................... 54
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5.5 Implementation – the WaSH Cycle ............................................................................................................56

5.5.1 Woreda Preparation .......................................................................................................................................... 56
5.5.2 Kebele WaSH...................................................................................................................................................... 58
6 Pastoralist WaSH ................................................................................................................................. 71
6.1 Introduction ...............................................................................................................................................71
6.2 Special Features of WaSH in the Pastoralist Region ..................................................................................73
6.3 WaSH Program Alternatives in a Pastoralist Region ..................................................................................74
6.3.1 Non-pastoralist Kebeles ..................................................................................................................................... 74
6.3.2 Pastoralist Kebele without NGOs Activities or Livelihood Projects .................................................................... 74
6.3.3 Kebele with NGO and/or Livelihood Programs .................................................................................................. 75
6.4 WaSH Program Cycle ..................................................................................................................................75
7 Financial Management & Procurement .............................................................................................. 79
7.1 Introduction ...............................................................................................................................................79
7.2 WaSH Funding Arrangements ....................................................................................................................80
7.2.1 Fund Flow .......................................................................................................................................................... 80
7.2.2 Fund Allocation .................................................................................................................................................. 83
7.2.3 Disbursements & Replenishments ..................................................................................................................... 85
7.3 Budget & Budget Control ...........................................................................................................................88
7.3.1 Budget Control ................................................................................................................................................... 89
7.4 Responsibilities for Financial Management ...............................................................................................90
7.4.1 Federal Level ...................................................................................................................................................... 90
7.4.2 Regional Level: ................................................................................................................................................... 91
7.4.3 Sectoral Bureaus (RWMUs and Support Units) .................................................................................................. 92
7.4.4 Zonal level .......................................................................................................................................................... 93
7.4.5 Woreda Level ..................................................................................................................................................... 93
7.5 Procurement ..............................................................................................................................................94
8 WaSH Planning & Budgeting ............................................................................................................... 95
8.1 Planning......................................................................................................................................................95
8.1.1 The Overall Planning Framework ....................................................................................................................... 96
8.2 WaSH Strategic Plans .................................................................................................................................97
8.2.1 National Level .................................................................................................................................................... 97
8.2.2 National Strategic Planning Steps of the NWCO: ............................................................................................... 98
8.2.3 Regions, Special Zones, Woredas & Towns/Cities ............................................................................................. 98
8.2.4 Kebele Level ....................................................................................................................................................... 99
8.3 Annual WaSH Plans & Budgets...................................................................................................................99
8.3.1 WaSH Annual Planning in Context ..................................................................................................................... 99
8.3.2 Annual Planning Sequence .............................................................................................................................. 103
8.3.3 Town Level Planning ........................................................................................................................................ 106
8.3.4 Planning Assistance.......................................................................................................................................... 106
8.4 Budgeting .................................................................................................................................................107
8.4.1 National Budgeting .......................................................................................................................................... 107
8.4.2 Regional Budgeting .......................................................................................................................................... 108
8.4.3 Special Zone Budgeting .................................................................................................................................... 109
8.4.4 Woreda Budgeting ........................................................................................................................................... 109
8.4.5 Budgeting Assistance ....................................................................................................................................... 109
9 Capacity Building ............................................................................................................................... 110
9.1 Introduction .............................................................................................................................................110
9.2 Background ..............................................................................................................................................110
9.3 Who are the Participants for Capacity Development?.............................................................................111
9.4 Who are the Capacity Builders? ...............................................................................................................113
9.5 Capacity Building Needs ...........................................................................................................................115
9.6 Principles and Strategies for Capacity Building ........................................................................................117
9.7 The Cascading Model ...............................................................................................................................118
9.8 Minimum Capacity Building Requirements ..............................................................................................119
9.9 Range of Training Materials .....................................................................................................................120
9.10 National Capacity Building Resources ......................................................................................................121
9.10.1 Support to Private Sector Service Providers .................................................................................................... 122
9.10.2 Involving NGOs as Capacity Builders ................................................................................................................ 122
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9.10.3 Monitoring of Capacity Development .............................................................................................................. 122

9.10.4 Practitioners’ Groups ....................................................................................................................................... 123
10 WaSH Monitoring & Evaluation ........................................................................................................ 124
10.1 WaSH M&E Rationale ...............................................................................................................................124
10.2 WaSH M&E Challenges.............................................................................................................................124
10.3 WaSH M&E System Overview ..................................................................................................................125
10.3.1 Who manages WaSH M&E? ............................................................................................................................. 125
10.3.2 What is monitored in WaSH? ........................................................................................................................... 126
10.3.3 What are the sources of M&E data? ................................................................................................................ 126
10.3.4 How are WaSH M&E data obtained? ............................................................................................................... 128
10.3.5 Who does what in WaSH M&E? ....................................................................................................................... 130
10.3.6 Reporting Frequencies ..................................................................................................................................... 132
10.3.7 WaSH Progress Review Meetings .................................................................................................................... 132
11 Recommendations on the National WaSH program implementation.............................................. 133
11.1 Core Process .............................................................................................................................................133
1.1.1 134
1.1.1 135
1.1.1 136
11.2 Comment on Selected Activities ..............................................................................................................137
11.2.1 National ........................................................................................................................................................... 137
11.2.2 Regional ........................................................................................................................................................... 138
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Acronyms
AA Addis Ababa
AfDB African Development Bank
AMCOW African Ministers Council of Water
AWP Annual Work Plan
BoFED Bureau of Finance & Economic Development
CB Capacity Building
CDF Community Development Fund
CF Community Facilitator
CFT Community Facilitation Team
CHP Community Health Promoters
CLTS Community Led Total Sanitation
CLTSH Community Led Total Sanitation & Hygiene
CMP Community Managed Project
COWASH Community-Led Accelerated WaSH
CSA Central Statistics Authority
CSO Civil Society Organization
CWA Consolidated WaSH Account
DA Development Agent
DAG Development Assistance Group
DFID Department for International Development
E Education
ESMP Environment & Social Management Plan
EWTEC Ethiopian Water Technology Centre
FED Finance and Economic Development
FGE Federal Government of Ethiopia
FMP Facilities Management Plan
FW Field Worker
GTP Growth & Transformation Plan
H Health
HDW Hand-Dug Well
H.E. His Excellency
HEW Health Extension Worker
H&S Hygiene & Sanitation
HWTSS Household Water Treatment and Safe Storage
IBNET International Benchmark Network for Water & Sanitation Utilities
ISIP Immediate Service Implementation Plan
JICA Japan International Cooperation Agency
JMP Joint Monitoring Program
JTR Joint Technical Review
KDC Kebele Development Committee
KWT Kebele WaSH Team
LSP Local Service Provider
MCFT Mobile Community Facilitation Team
MDG Millennium Development Goal
M&E Monitoring & Evaluation
MIS Management Information System
MoE Ministry of Education
MFI Micro Finance Institution
MoFED Ministry of Finance & Economic Development
MoH Ministry of Health
MoU Memorandum of Understanding
MoWE Ministry of Water & Energy
MSF Multi-Stakeholder Forum
MST Mobile Support Team
NCBSU National Capacity Building Support Unit
NGO Non-governmental Organization
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NGO-MP NGO managed Project

NWCO National WaSH Coordination Office
NWSC National WaSH Steering Committee
NWTT National WaSH Technical Team
ODF Open Defecation Free
O&M Operation & Maintenance
PASDEP Plan for Accelerated and Sustained Development to End the Poverty
PCDP Pastoralist Community Development Project
PEHSP Pastoralist Extension Health Service Program
PHAST Participatory Hygiene and Sanitation Transformation
PoA Plan of Action
PPWSS Participatory Plan for Water Supply and Sanitation
Q Quarter
RCBSU Regional Capacity Building Support Unit
R-WaSH Rural WaSH Program
RWCO Regional WaSH Coordination Office
RWMC Regional WaSH Management Committee
RWSC Regional WaSH Steering Committee
R/Z Region/Zone
Sc/KDC Sub-city/Kebele Development Committee
SNNPRS Southern Nation & Nationalities Peoples Regional State
SPM Strategic Plan and Management
SSP Self-Supply Project
T/CWB Town/City Water Board
T/CWSC Town/City WaSH Steering Committee
T/CWTT Town/City WaSH Technical Team
TSA Town Support Agent
TVETC Technical Vocational & Educational Training College
TWB Town Water Board
TWU Town Water Utility
UAP Universal Access Plan
U-WaSH Urban WaSH Program
UWS-OTR Urban Water Supply - One Time Report
UWS-AR Urban Water Supply – Annual Report
W Water
VHEW Veterinary Health Extension Worker
WaSH Water, Sanitation & Hygiene
WASHCO WaSH Committee (community level)
WaSHVols WaSH Volunteers
WCBU WaSH Capacity Building Unit
WDC Woreda Development Committee
W/HEW Water/Health Extension Worker
WMP Woreda Managed Project
WMU WaSH Management Unit
WRDF Water Resource Development Fund
W&S Water & Sanitation
WSA Woreda Support Agent
WSS Water Supply and Sanitation
WSSU Water Supply & Sewerage Utility
WWT Woreda WaSH Team
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1 Introduction
The Ethiopian Water Resources Management Policy and development Strategy stipulate to develop a
Framework for Community-Government-Private sector-External Support Agencies Partnership. The
purpose of this document is thus to provide the framework and guidelines for implementing the
Ethiopian National WaSH Program – undertaken by rural and urban communities throughout Ethiopia
and supported and facilitated by governmental agencies, civil society organizations, the private sector
and international donors.
It has been prepared in advance of the inception of the fully harmonized and integrated Program. It
anticipates how WaSH will be structured, how it will be funded and how it will be implemented when a
single Consolidated WaSH Account (CWA) is operational, when coordination structures are in place and
when the key sectors and the Non-Governmental Organizations (NGOs) are integrated in planning,
implementing and reporting one WaSH Program. It is fully expected that as the Program evolves in its
earliest years much that is in this Framework will need to be revised in order to address constraints and
opportunities not apparent at this time. For the present, it is intended to provide a platform for
immediate action and a solid structure into which those completing parts can be fitted.
To achieve the ambitious goals laid out in the Growth & Transformation Plan for safe water and
improved hygiene and sanitation, the Federal Government of Ethiopia has developed this National
WaSH Implementation Framework for the National Water Supply, Sanitation & Hygiene (WaSH) Program
(WaSH GTP/UAP). The WIF aims to create an integrated One WaSH Program, led by the government of
Ethiopia, to ensure that the targets, set out in the Growth and Transformation Plan (GTP) (98.5% water
supply and 84% improved sanitation access coverage by the end of year 2015), are achieved.
The present drafts of the Universal Access Plan for Water and National Hygiene and Sanitation Startegic
Acton Plan should be finalized and compiled to be one National WaSH Stategic Plan in order to achieve
GTP targets. The Framework recognizes that safe water and improved sanitation and hygiene are not
separate pursuits. It recognizes that coordination of effort is required among governmental agencies,
donors, civil society organizations and the private sector if targets are to be achieved. It recognizes that
those results represented by those targets will only be sustainable if responsibilities and resources are
devolved and communities are empowered to manage their own transformation.
The Framework incorporates the lessons learned from a number of water, sanitation and hygiene
projects implemented in Ethiopia over the past decade and builds on the foundations these projects
have laid. An example of this is the application of the highly decentralized Community Development
Fund (CDF) approach that empowers communities to manage funds and to directly manage the
construction of water points and school and health post sanitation facilities.1 It also engages NGOs as
partners in WaSH ensuring that their overall contribution including their experiences working with the
people imbues the program as a whole.2
As per this Framework the major feature of the National WaSH Program (WaSH GTP/UAP) is that it has
the leadership of four government Ministries that are pledged, through a Memorandum of
Understanding to support an integrated WaSH program that addresses the needs of individuals,
communities, schools and health posts more holistically and reduces bureaucratic compartmentalization
of services.
A further feature of the National WaSH Program (WaSH GTP/UAP) is the harmonizing of donor and
Federal Government of Ethiopia inputs in terms of programming and financial support. Major donors
1
See sub section 2.1.6 on Mainstreaming CDF
2
See subsection 2.1.7 on CSO/NGO Partnership in WaSH
1
have agreed to support one program rather than a variety of time and geographic specific projects, with
the objective of harmonizing their financial contributions through a single Consolidated WaSH Account
allowing greater flexibility in planning and budgeting and greater efficiency in financial management.
Perhaps the most significant feature of the National WaSH Program (WaSH GTP/UAP) designed to be
implemented within this Framework is its degree of coherence – with many participants, many
implementers, many partners and many contributors – but a single, national program that all can own
and support and through which all can achieve their objectives.
This document is introducing WaSH for all, which also includes disabled, disadvantaged and low-income
communities. This means that these groups’ needs should be addressed in all the steps of implementing
the National WaSH Program.
2
2 The Overview of the National WaSH Program (WaSH GTP/UAP)

2.1 The Foundation
The foundation of the National WaSH Program (WaSH GTP/UAP) is the Memorandum of Understanding
(MoU) signed in 2011 by:
 The Ministry of Water & Energy
 The Ministry of Health
 The Ministry of Education
 The Ministry of Finance & Economic Development
The stated intent of the MoU is:
“….to establish a harmonious working modality between the four Ministries, donors and other partners
active in the implementation of WaSH activities to realize the full benefits of the WaSH Program…”
The rationale provided for the signing of the MoU included the recognition that:
“ access to clean water and improved sanitation is basic right of the individual...and the provision of
safe water, improved sanitation and hygiene education has far reaching health benefits when provided
as a package rather than separately...”
2.2 Features of the National WaSH Program (WaSH GTP/UAP)

Four of the significant features of the National WaSH program (WaSH GTP/UAP) as per this Framework
are:
i. Integration iii. Alignment
ii. Harmonization iv. Partnership
2.2.1 Integration
WASH is designed to integrate:

 Water Supply (urban, rural and pastoralist)
 Hygiene and Sanitation
 WaSH in Schools and Health Facilities
This integration is not intended simply as an institutional arrangement to achieve greater efficiency and
effectiveness – though that is one objective. The primary objective is to foster integrated behaviour
among community members in which:
 safe use of water,
 healthy hygiene practices
 regular use of improved sanitation facilities
are naturally and instinctively combined into the pattern of daily living.
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2.2.1.1 Integrating Structure
The structural arrangements recommended for WaSH and diagrammed in Table 1 (below) are designed
to build synergy among the sectors through coordinated and collaborative planning, implementation,
monitoring, reporting and evaluation of program results.
The recommended WaSH organizational structures are intended to provide for effective:
 Governance
 Management
 Implementation
 Coordination
It is recognized that the recommended structures may not be appropriate in all situations.
In particular, variations may evolve at the Regional level out of specific circumstances and practical
experience.
Local variations are acceptable. For instance, some Regions may conclude that both a Steering
Committee and a Technical Committee are not necessary or that the function of the WaSH Management
Unit (WMU) can best be served by a single focal person rather than by a group. It is not the structure
itself that is important but the function the structure is designed to provide. Regional variations are
encouraged so long as they adequately provide for and promote:
 integration – of water supply, sanitation, health and education
 harmonization – of diverse projects into a single program
 alignment – of the program with the priorities, policies and procedures of the three ministries
 partnership – among the public and private sectors and civil society
The appropriateness of any WaSH organizational structure or institutional arrangement will be
measured by its effectiveness in achieving these four objectives.
Mandatory Structures:
 The national WaSH structures have been mandated by the MoU.
 At the woreda level the Woreda WaSH Team is a mandated structure.
 At the community level there is a requirement that WASHCO be formed to manage and
maintain each water scheme. Accordingly, the WASHCO is a mandatory structure. WASHCOs
benefit greatly if they are a legal entity. All Regions are urged to press for and facilitate the
legalization of WASHCOs.
The MoU presupposes:
 a regional WaSH structure for technical overview and approval – referred to in this document
simply as the Regional WaSH Management Committee (RWMC) and…
 a structure for program coordination to ensure intersectoral convergence – referred to in the
document as the Regional WaSH Coordination Office (RWCO).
Specific and well defined structures for management and coordination are essential to the success of
the WaSH Program.
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Table 1. Recommended and mandatory WaSH Organizational Structures as per the MoU
Level Governance Oversight & Program Program Coordination

& Guidance Management Implementation
National National WaSH National WaSH National National WaSH Coordination

Steering Committee Technical Team WaSH Management Units Office
(WMUs)/Focal person
MoFED
H
W E
Regional Regional WaSH Regional WaSH Regional WaSH Regional WaSH Coordination
Steering Committee Technical Team Management Units Office
(WMUs)/Focal Person
BoFED
H W E
Special Zonal WaSH Management Team Zonal WaSH Management Zonal WaSH Coordination
Zones Units – or Focal Office
Persons
(or others Zones (Water, Health, Education)
where applicable)
H W E
Woreda Woreda Woreda WASH Team

WaSH Steering Committee
(Woreda Cabinet)
WoFED
H W E
Other desks
Town/City Town/City WaSH Steering Committee (Town Town/City WaSH Technical Team
Cabinet) Municipality
Health Desk
Education Desk
Town Water Board
Town Water Utility
Kebele & Kebele Administration Kebele WaSH Team

Community (Manager) Health Extension Workers
Water Extension Workers/Technicians1
Development Agents
Kebele Development Committee School Teachers
Others as relevant
Community WASHCOs
1
Water Extension Workers and/or Technicians are assigned to Kebeles where low-cost household and community level
technologies are being widely implemented by community members.
5
Even though Multi-Stakeholder Forum (MSF) and possible Regional Multi-Stakeholder Forums are not
part of the WaSH organizational structure, they will have major role in governance and guidance of
WaSH The forums will have annual meetings to discuss and evaluate the overall progress of WaSH in the
country/region focusing on the status of the implementation of the undertakings agreed by the forum.
In this regard, the NWSC/RWSC are required to report to the MSF/regional forums on the overall
implementation status of WaSH in general and the agreed undertakings in particular.
Moreover, in the implementation of the program National Consultants and Technical Assistance,
National and Regional Capacity Building Support Units, Woreda Support Agents (WSAs), Town Support
Agents (TSAs) and Community Facilitation Teams (CFTs) at national, woreda, town and community
levels, respectively could provide technical assistance.
2.2.2 Harmonization
A second feature of the WaSH program as per the Framework is harmonization.

In the past and currently, much of the work in the WaSH sector (combined sector from Water, Health,
Education and Finance sectors of water, sanitation, hygiene and finance) has been undertaken on the
basis of discrete, time-framed projects that have been largely donor-designed and donor-driven. This is
also reflected in the organizational structures of the sector offices (ministries and bureaus). There have
been some initial advantages in this. It has allowed government to work with donors to assess a variety
of approaches to program implementation and mechanisms for program support. There have also been
some major disadvantages. At the national level it has worked against comprehensive and strategic
planning and effective program execution. It has made difficult:
 assembly and analysis of essential planning data
 definition of expected outcomes
 mobilization and allocation of resources
 establishment of management systems
 coordinated capacity development
 measurement of progress and of results
 communication and accountability
At the sub-national level the management of diverse projects has placed an inordinate burden on
generally under-capacitated implementing agencies and, at the community level, it has resulted in
segmentation, gaps and overlaps in service delivery.
Government and donors together have recognized the need for greater harmonization and to achieve
this have agreed to move from a -
project to a program approach.
Ideally, this would lead to:
One WaSH Plan
One WaSH Budget
One WaSH Report
Simply put – One WaSH Program (One WaSH GTP/UAP).
Movement toward this ideal will be incremental, provide many challenges and offer many lessons to be
learned. Nevertheless, the transition has begun and, in partnership government and donors have agreed
to work toward:
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one planning system - with linked strategic and annual WaSH plans at each level
one budgeting system - reflecting all WaSH-related investments and expenditures
one financial management system – with consolidated accounting and reports
one procurement system – with common standards and procedures
one information system – with essential data updated and accessible at each level
one monitoring & evaluation system – with common indicators and consolidated analysis
Finally, but not least, one consolidated WaSH fund is envisaged into which all donor and government
WaSH contributions are deposited – and from which all WaSH activities and investments are supported.
2.2.3 Alignment
The third new WaSH program (WaSH GTP/UAP) feature as per this Framework, closely related to
harmonization, is alignment.
Major donors and the government have agreed that the WaSH program (WaSH GTP/UAP) will be aligned
with:
 the policies, priorities and strategies of the pertinent Ministries as outlined in their respective
Sector Development Plans and with…
 the administrative systems, standards and procedures of the Federal Government of Ethiopia
This means that the goals, objectives and development indicators of WaSH are directly linked and
contribute to those of the partner Ministries. It also means that, as far as possible, WaSH management
systems and procedures follow and tie into the established government systems, standards and
procedures for:
 Planning
 Financial Management
 Procurement
 Reporting
 Monitoring & Evaluation
The purpose is not simply conformity – or efficiency. It is to ensure that WaSH is recognized and
affirmed as an integral, ongoing component of the Government’s broader developmental program.
WaSH responsibilities are incorporated in the established process streams and the job descriptions of
the four sector agencies’ staff at all levels. This signals to WaSH implementers within the government
structures that their WaSH activities are not “added on” responsibility in support of donor projects - but
a core responsibility in government service.
The purpose is also internal alignment – that is, alignment within the program itself. Vertical alignment
means that activities, resource use and program results at the community level are directly linked to
those at the woreda, regional and national levels – and vice versa. Horizontal alignment means that
expertise and inputs of the various implementers at each level (e.g. WMUs & Woreda Offices) are
coordinated, complementary and mutually reinforcing.
2.2.4 Partnership
The fourth feature of WaSH as per this Framework is partnership. Partnership is not a new feature – but
it is an evolving feature in terms of scope and level of commitment. The scope has been enlarged to
7
include the four Ministries and the commitment has been increased to engage with Civil Society
Organizations and the Private Sector as significant partners. The Framework recognizes that each of
these partners has an essential part to play in successfully scaling-up WaSH, improving performance and
ensuring the sustainability of program results.
2.2.4.1 CSOs/NGOs as Partners in WaSH
Civil Society Organizations/NGOs are one of the WaSH actors in Ethiopia. They have expertise that
enables them to effectively implement WaSH. Moreover, CSO/NGOs bring additional and alternative
experience to WaSH and can contribute substantially to lessons learned and the achievement of best
practices.
The role of the CSO’s/NGOs as Partners in WaSH Program (WaSH GTP/UAP) focuses on common
approaches to local capacity building, empowerment and planning, common standards relating to WaSH
infrastructure, the harmonization of reporting results – not least in relation to the WaSH Inventory- and
ensuring that the financial contributions to the Program are recognized and recorded in WaSH financial
reporting. Details of this important partnership are elaborated in the sub-section 2.2.6 below.
2.2.4.2 Private Sector
Private sector involvement in WaSH is essential to the sustainability of the community-led and
community-managed development that is promoted by WaSH. When communities do not have ongoing
access to reliable maintenance and capacity building services their good initiatives frequently falter and
fail. As per the Water Resources Management Policy, the private sector has substantial role as a WaSH
service provider. Thus, National WaSH Program encourages the private sector to assume this role and
offers opportunity for public-private partnerships in the delivery of goods and services and in the
building of stakeholders’ capacity.
2.2.5 The Community Development Fund (CDF) Approach Mainstreamed in Rural WaSH
The CDF approach, pioneered and developed in Amhara and Benishangul-Gumuz Regions is being
mainstreamed into the National WaSH Program (WaSH GTP/UAP) for its wider application.
2.2.5.1 Features of the CDF Approach
 Fund Transfer: The unique and innovative feature of the CDF approach is that funds for the
physical construction of water schemes are transferred directly to the community by way of a
micro credit institution.
 Community Financial Management: The communities, through water and sanitation
committees (WASHCO), are responsible for the full development process through planning,
financial management, implementation and maintenance. The unique feature in CDF
community management is that the WASHCO manages not only community-generated funds
but the government subsidy provided for capital expenditures.3
 Procurement: A further aspect of community management is that the WASHCO is directly
responsible for procuring the goods and services required for water scheme construction and
installation.
2.2.5.2 Background and Rationale for Mainstreaming
3
Funds provided through the regular Grant Agreements with WASHCOs, by contrast, are managed by the Woreda. Accordingly, that funding
mechanism is called Woreda Managed Projects (WMP).
8
The Finnish-Ethiopian bilateral Rural Water Supply & Environmental Programme (RWSEP) began support
for rural water supply in Amhara Region in 1994. Between 2003 and 2006 the programme progressively
introduced the Community Development Fund as an innovative mechanism for the funding and
management of community water schemes. In 2009 the CDF mechanism was extended to, and adapted
in, the WaSH program of Benishangul-Gumuz Region. Evaluation of the CDF conducted in 20104 strongly
recommended that the CDF be mainstreamed into the one National WaSH Program as an alternative
funding mechanism for community managed projects.
The rationale offered for this recommendation was that there was clear evidence that a number of
lessons had been learnt from the use of the CDF mechanism that could assist Ethiopia in the pursuit of
the UAP/GTP goals and targets – especially with respect to implementing policies on the use of low cost
technology and mass mobilization. Benefits that could be realized under suitable conditions5 included:
 a more rapid rate of implementation due to simplified procedures and decentralized
management by trained community groups (WASHCOs)
 effective control of unit costs due to tight local controls and local accountability
 high degree of functionality and sustainability associated with higher community responsibility
and skills
Following the evaluation, representatives of the Ministry of Water Resources and the Ministry of
Finance participated in a CDF Exposure Visit to Amhara. In a Joint Report they concluded that:
 the fact that in CDF communities coordinate and manage the resources enhances their sense of
ownership
 the water points were well constructed and protected and the rate of functionality was very
high
 CDF shows cost-efficiency in real terms
 outsourcing fund transfers to a financial intermediary, and management of water point
construction to the community, leads to a reduced administrative burden in the regional and
woreda offices
 government procedures are effectively used in CDF
 woreda and community level control mechanisms are not only sufficient but effective
The Joint Report further concluded that outsourcing fund transfer management to a financial
intermediary did not appear to pose a regulatory problem for scaling up and/or replication in other
regions – and that, with minor modifications, CDF procurement and financial manuals could be
mainstreamed with government procedures.
In a signed statement the MoWE and MoFED participants recommended that relevant WaSH partners
should immediately engage in dialogue with a view to the adoption of CDF as funding mechanism within
the one National WaSH Program wherever it is feasible – also recognizing it is not the only answer to the
sector’s challenges.
4
Mainstreaming The Community Development Fund Financing Mechanism – Final Evaluation Report, April 2010 conducted by WSP-Africa
9
2.2.5.3 Steps in Mainstreaming
Integration: In this National WaSH Implementation Framework the principles and basic procedures of
the CDF approach are built into the WaSH program as part of the Community Managed Project6 (CMP)
funding mechanism. It is presented as alternative funding mechanism to the existing Woreda Grant
which is hereby known as the Woreda Managed Project (WMP) funding mechanism which includes
regional and national managed projects on behalf of Woredas or towns. If the existing Woreda Grants
are channelled to the community and community is managing the projects and funds, then this part of
the Woreda Grant funding mechanism belongs to the category of Community Managed Projects.
The provision of the Community Managed Project mechanism is, essentially, demand-driven. However,
in order to foster this demand it is necessary for regions and woredas to include the introduction and
application of CMP in their strategic planning and to undertake a program of CMP awareness building.
As CMP is “taken up” and appears in Woreda WaSH Annual Plans, the Region will transfer the required
funds to the intermediary finance institution from the investment budget line (CDF approach) or the
Region/Woreda transfers the investment funds to the community directly. Where pre-conditions are
met communities/Kebeles are free to choose which funding mechanism they wish to adopt. The
preconditions, however, are considerable and include:
 that the region and the woreda have negotiated fund transfer arrangements with an established
financial intermediary at both levels
 that the region and the woreda have put in place the necessary capacity building and technical
assistance provisions to equip and backstop WASHCOs and to train and support woreda and
finance institution personnel for the special requirements of CMP
 that hydro-geological conditions permit low cost technologies
 that there is reasonable expectation that a sustainable supply chain for local procurement can
be developed
 that there are a sufficient number of communities in the region/woreda selecting CMP to make
it a viable option
 that the applicant communities are sufficiently cohesive to undertake community project
management and later to sustain management of operations and maintenance
 that the cost and complexities of the preferred or required technologies and the project size fit
within the parameters of the CMP
Awareness & Capacity Building and Technical Assistance: Recognizing that the pre-conditions set out
above could be prohibitive – especially in fast tracking the wider adoption of CMP - provision has been
made within the National WaSH Program to:
 build awareness among all partners and other stakeholders of the advantages of the CMP for
potential scaling up where it is viable;
 integrate into WaSH capacity building materials, manuals and training curricula for all WaSH
actors the values, skills, practices, tools and procedures required for the effective application of
the CMP mechanism;
 ensure that in the first years of CMP expanded application special provision is made for
technical assistance to the WaSH Management and Coordination Offices at the national and
6
The nomenclature Community Managed Project was selected for several reasons. The first reason was to de-link it from association with a
specific project/donor/ region and to promote its broader application. Secondly, to make it descriptive of what it is – a mechanism for funding a
project managed by the community. Third, to make it clearly distinguishable from the alternative – a Woreda Managed Project.
10
regional levels to successfully promote and widely implement the CMP mechanism (National
and Regional Capacity Building Support Units).
It is expected that National WaSH Partners invest on CMP capacity building support at National and
Regional levels. To these end, COWASH Project7 has already been established to provide a team of CMP
experts working within the national WaSH capacity-building and technical assistance structure to assist
in:
 developing and implementing strategies, with attendant materials, to promote CMP at all levels
 developing generic operational guidelines for CMP implementation
 integrating CMP requirements, as appropriate, into all standardized WaSH capacity building
activities and materials – and preparing CMP-specific events and materials as required
 integrating CMP requirements into standardized WaSH management systems and procedures
including:
o planning, budgeting and reporting
o financial management and accounting
o inventory and management of information
o monitoring & evaluation
 researching the adaptation of the CMP modality for wider application
 supporting regional offices to:
o establish Regional Capacity Building Support Units
o introduce and promote CMP
o prepare region-specific guidelines for CMP implementation
o carry out capacity assessments and develop capacity development plans for the region -
and organize training accordingly
Harmonization of Support: With CMP as an integral part of the one National WaSH Program and with
the harmonization of donor contributions in support of that program through the Consolidated WaSH
Account – donors will and have, effectively, become supporters of CMP.
The CDF approach is no longer donor or region-specific. It is an integral, expanding and evolving
component of the one National WaSH Program.
7
A Finland-Ethiopia bilateral project initiated in 2011 prior to the full implementation of the One WaSH Program
11
2.2.6 CSO/NGOs in the National WaSH Program
2.2.6.1 Introduction
CSO/NGO in the context of this document refers to international, national or region/local-based non-
governmental relief and development organizations (including faith-based, professional or other
associations) that have legal identity in the country, registered and licensed by the Federal Charities and
Societies Agency or regional Bureaus of Justice under any of the categories of Charities and Societies
(Ethiopian, Resident, Foreign), operating at national, regional or local levels and engaged in any WaSH
related service delivery, research, advocacy, networking, capacity building, or in financing WaSH
activities of national/local non-governmental and/or governmental partners, as a separate intervention
or as part of a broader development program/project. They are required to have approved project
agreement with relevant government bodies and submit physical and financial reports including audit
reports accordingly.
CSOs/NGOs have a history of delivering service to the peoples of Ethiopia. Over the years they have
made progress in their number and diversity as well as in addressing the country’s complex
development agenda. In the WaSH sector, various CSOs/NGOs have built up valid development
experience, especially in working with poor and underserved communities in ways that are
complementary to the activities of the government and other actors. As a result, the Ethiopian
Government recognizes NGOs/CSOs as important WaSH partners.
CSOs/NGOs fill a range of roles in the WaSH sector. They can contribute to the sector in the areas of:
 service delivery in marginalized communities
 piloting and testing of different water and sanitation technologies
 introducing different participatory approaches to improve community mobilization, the
management of WaSH facilities and the promotion of improved hygiene
 raising awareness and empowering local communities to sustainably use and manage water and
sanitation services
 building local government capacities
 research and policy dialogue
 program monitoring & evaluation
 mobilizing additional financial and human resources e.g. volunteer management
 building coalitions and networks for enhanced civil society coordination and impact
In the National WaSH Program (WaSH GTP/UAP) implementation, CSOs/NGOs are engaged; inter alias,
in delivering services especially in marginal areas; capacity building of local governments and
communities; and in piloting innovative approaches and technologies.
Productive partnerships between governmental agencies and NGOs require that each party retains its
organizational integrity and that all parties are able to contribute and to gain through the relationship.
From the CSO/NGO perspective, the partnership with government provides an opportunity to scale-up
the impact of their projects. From the perspective of the government, the partnership offers program
enrichment from CSO/NGO’s field experience; a significant contribution to GTP targets and increased
credibility in the donor community.
As per this Framework, CSO/NGOs are required to harmonize their intervention in WaSH with that of
other implementers and align their operations with the basic principles and procedures set out in the
12
Framework. At the same time they are retaining their organizational autonomy and maintaining space
for variation and innovation.
CSOs/NGOs are not expected to harmonize their financial contributions with those of international
donors that channel their funds through the Consolidated WaSH Account. CSO/NGO financing is “off
budget” from the government’s standpoint. Nevertheless, CSO/NGOs’ financial investments are
anticipated in the WaSH’s composite plans and budgets and their expenditures and outputs are included
in WaSH’s composite financial and physical reports. CSO/NGOs are full partners in the one National
WaSH Program.
Just as CSO/NGOs retain control of their own funds so to they maintain their own governance and
management systems. As partners, however, they do align themselves to interface with government
systems, standards, practices and procedures. Specifically to:
 Ensure that their programs/projects are compatible with the policies and priorities of the
partner ministries and that they work in concert with government structures at all levels
 Link their interventions with the strategic and annual WaSH plans of the regions and woredas in
which they operate
 Ensure that their inputs are coordinated with and complementary to government efforts; and
that their activities and results at lower levels are directly linked to those at higher levels
 Integrate water supply with hygiene and sanitation in all interventions (rural, urban, pastoral)
and to include the education sector in all projects where relevant
 Include gender, water source protection and capacity building as crosscutting issues in project
design and implementation
 Pilot, test and share the experience of addressing the WaSH need for marginaliged members of
communities
 Contribute to the Annual WaSH Inventory and provide M&E data relative to nationally
established indicators
 Ensure that WaSH-related investments and expenditures are included in the composite WaSH
plans, budgets and reports
 Ensure there is consistency in community capital cost-sharing and subsidization; construction
standards and in the formation and capacity building of WASHCOs
2.2.6.2 CSO/NGOs Participation and Roles in WaSH Structures
Significant interface between government and CSO/NGO partnership is realized through the latter’s
formal participation in WaSH structures at the national, regional and woreda levels.
CSOs/NGOs are represented in the following structures on invitation:
 National WaSH Steering Committee & the Multi-Stakeholder Forum
 Regional WaSH Management Committee & Regional Multi-stakeholders Forum
 Woreda WaSH Team
 Town WaSH Technical Team
CSO/NGOs jointly select their representatives and ensure their participation.
The number of CSO/NGO representatives in specific WaSH structures is established through consultation
between the respective committees and the CSOs/NGOs. The CSO/NGOs take responsibility for
13
determining the criteria and procedures for nominating their representatives and defining their
responsibilities vis a vis their constituency. CSO/NGOs are not represented by selected individuals but by
selected organizations. The individual representing the CSOs from the selected organization should be
the legal representative of the selected CSOs/NGOs, e.g. the Country Representative/Director. Persons
in this position are accountable to the Chair as members of the committee and to his/her constituency
as their representative. They represent the views and interests of CSOs/NGOs and serve as
intermediaries between the government and CSOs/NGOs. Specifically, they will have the following key
responsibilities:
 to ensure that CSO/NGO contributions, activities and outputs are adequately reflected in composite WaSH
plans, budgets and reports
 to advocate for a more enabling environment for CSO/NGOs, and to promote a positive image
 to advise on policies and strategies particularly relevant to CSOs/NGOs roles and their effectiveness
 to raise for discussion and resolution strategic, operational and coordination hurdles faced by CSOs/NGOs
 to provide field level feedback on the functioning of the WaSH M&E and make proposals for
improvement
 to share lessons from CSO/NGO WaSH programs/projects
 to attend all scheduled and extraordinary meetings of and participate in the annual Multi-Stakeholder Forum
 to communicate decisions of the Committees and undertaking of the MSF to their constituencies and to
report on their participation
Specific tasks at the woreda level include:
 providing the WWT with information, reports and action plans on their inputs and results and
integrating their plans with woreda WaSH plans
 coordinating activities with woreda sector activities
 assisting woredas in the formation and functioning of WWT and KWTs
 supporting woredas in WaSH priority setting, planning, and reporting
 assisting the WWT in conducting capacity needs assessment and annual WaSH inventory
 assisting WWT in maintaining woreda WaSH information system
Overall, CSOs/NGOs representation in the WaSH structures ensure that their programs/projects
integrated with those of the government sectors; are aligned with the policies and priorities of the
partner ministries; and are coordinated with the actions of other WaSH implementers. In addition, they
provide forums for experience sharing and facilitate CSOs/NGOs dialogue with other actors. Apart from
this, CSOs/NGOs coordinate among themselves through their existing structures such as the WaSH
Forum and other forms of alliances and networks.
2.2.6.3 Planning and Implementation
CSOs/NGOs support/implement activities within the framework of the woreda’s strategic and annual
WaSH plans. The role and responsibilities of CSOs/NGOs will vary according to the type of activities and
local arrangements. Their intervention may be triggered by community or woreda requests, their own
needs assessments or donors’ call for grant proposals. Their WaSH projects may be implemented as
discrete WaSH intervention or in the context of a broader community development program. They may
be implemented in a one year or in multi-year period - and their planning and implementation period
may not correspond to that of their partners. They may work only in few Kebeles or in all Kebeles of a
woreda or a town. However, all their investments, activities and results serve the purposes of the WaSH
Program and contribute to achievement of the GTP targets.
14
Design and planning of their projects are based on participatory needs identification and analysis and a
planning process that involves the WWT and target communities. Their project proposals are appraised
and endorsed by the WWT.
Once project finance has been confirmed, they sign agreement with WaSH at regional or woreda level
depending on the size, scope and complexity of the project/program. Actual implementation of projects
is preceded by joint detailed action planning involving the appropriate WaSH structure and
orientation/familiarization sessions with the target community or institutions.
In each participating community (village or Kebele), the implementing NGO/CSO:
 conduct hygiene and sanitation promotion among the beneficiary community and Kebele
 facilitates formation of community management and participatory structures (WASHCO)
 signs an implementation agreement with user groups and obtains commitment of beneficiaries
 facilitate community WaSH plan preparation by the beneficiary community appraised and approved by WWT
which will serve as a basis for the project implementation
 ensures that community cash contribution is in place and in-kind contributions are committed
 build planning, implementation, monitoring and evaluation, reporting and operation and maintenance
capacity of the beneficiary community and Kebele
In the course of implementation, CSOs/NGOs are responsible for continuous internal monitoring of
activities while concerned sector offices supervise the technical qualities of activities. Beneficiary
communities are also engaged in the implementation of projects as a signatory party of the contract for
the project implementation (tripartite agreement between contractors, CSOs/NGOs, and beneficiary
community) and take part in the supervision activities. CSOs/NGOs are required to submit quarterly
narrative and financial progress reports to the relevant regional bureaus and/or the WWT. At mid-term
and end-of-term, their projects are also evaluated jointly by a team of experts drawn from relevant
sector bureaus/offices. The implementing NGO may also commission an external mid-term review and
final evaluation as per the requirements of their donors. Results of such evaluations are shared with
their regional and woreda partners.
CSOs/NGOs ensure that schemes/facilities are fully operational and that user management systems are
properly functioning and they formally hands over the completed works to user group for full
ownership8, management and maintenance.
2.2.6.4 Capacity Development
CSOs/NGOs are capacity builders especially at woreda and community levels. In this sphere they make a
significant contribution to the whole WaSH program by sharing the lessons of their extensive experience
in working with communities, in piloting innovative approaches and in building capacities of their
partners.
As capacity builders, they facilitate and/or support the establishment of Kebele and woreda WaSH
structures especially in areas where government capacity is low and where there are no other agencies
or experts to serve as Woreda Support Agents. They may also assist the WWT implement the WaSH
Inventory, conduct needs assessment and prepare Strategic and Annual Plans and budgets.
CSOs/NGOs may also provide training and other support to WASHCOs, WaSHVols, School Clubs,
management boards, water technicians/caretakers, motor operators, fee collectors, communal latrine
user associations, artisan societies, peoples with special needs etc. CSOs/NGOs provide training for
8
If, however, the project is being implement by way of the CMP modality no handover is involved since the ownership of the project is with the
community from the beginning.
15
woreda and Kebele government staff and officials (including Kebele administrators, sector office staff
members, HEWs, DAs, school teachers, etc) on topics relevant to the mandates of respective groups. As
a minimum requirement, CSOs/NGOs follow the WaSH Program’s capacity building principles and
strategies described outlined in Section 9. Specifically, trainings provided by CSOs/NGOs are demand
driven and participatory. They cover essential topics defined by the government, follow a common
delivery format, use standard training materials, etc. However, this does not preclude the organization
of supplementary programs, adding new topics or using alternative delivery methodologies and custom
made materials.
In addition to formal training delivery, CSOs/NGOs organize experience-sharing or exposure visits to
places, in-country or overseas as funds and opportunity permit. In some projects, CSOs/NGOs provide
physical and institutional capacity strengthening supports in the form of tools, equipment, office
materials, etc and in systems and procedures development. The basis for all CSOs/NGOs interventions
including capacity building activities is the approved project document which serves as a basis for the
agreement with the Ethiopian Government. Thus, all intervention activities of CSOs/NGOs are required
to be in compliance with the project agreement and the relevant Ethiopian law.
Strengthening the capacity of CSOs/NGOs themselves is also important under the WaSH Program of this
Framework. The national WaSH Capacity Building Plan includes orientation and training for NGO/CSOs
to make them aware of WaSH standards and requirements and enable them to interface with WaSH
structures and participate as full partners.
2.2.6.5 Monitoring and Reporting
CSOs/NGOs provide the WWT and/or the Regional WaSH Management with:
 copies of their program/project documents and implementation agreements
9
 extracts from annual action plans and budgets
 extracts from quarterly and annual physical and financial reports
 reports of studies and researches findings
CSOs/NGOs contribute to the implementation of the WaSH M&E system. Apart from their internal M&E
system and requirements by their funding partners, they facilitate joint M&E of their programs/projects
coordinated by the government through field visits, periodic review meetings and progress reports, mid-
and end-of-term evaluations. To serve these, they are required to establish baseline information at the
beginning of their interventions and provide monitoring information on agreed indicators to the WWT
and/or the RWMC.
CSO/NGO reports their WaSH-related expenditures. This is not for audit purposes but to allow for the
aggregation all relevant financial data of all implementing partners. The reporting forms provided by the
Coordination Office request only the data that are pertinent to the recording and analysis of WaSH costs
for future projections and planning. Reporting tools and procedures are kept as simple as possible to
avoid an unnecessary administrative burden.
CSOs/NGOs continue their annual WaSH Forum report – more detailed than that required for WaSH
Program statistics. The Forum report is widely distributed and is available on the web.
2.2.6.6 Financial Management
9
The National Coordination Office provides formats for NGO information sharing and reporting. The Coordination office needs only selected
data and items of information from plans, budget and progress reports.
16
NGOs are one of the main contributors to the financing of the WaSH program (WaSH GTP/UAP), but
while their budget and expenditures are taken into account in planning and reporting, they are not
required to harmonize their inputs/financial contributions and channel funds through the CWA.
CSOs/NGOs – especially International NGOs may contribute to the CWA if they wish. The general
practice is, however, for them to directly finance work at the field level and manage project funds as
well as activities by themselves. They continue with their own management systems and procedures
and handle matters in accordance with the CSO law and with the applicable directives/guidelines of the
country – along with any contractual obligations they may have with their donors and regional/local
government authorities.
Outside the CWA, bi-lateral and multilateral donors may directly engage in individual or otherwise
contracts with CSOs/NGOs for specific projects and continue financing CSO/NGO operations. Similarly,
international NGOs may choose to play the role of funding partners with national NGOs or engage in
operational activities. NGOs solicit funds by themselves from domestic and/or international sources to
finance their organizational overhead and their program activities as per the Ethiopian law.
If it is included in the approved project document, National or international CSOs/NGOs may finance
specific community groups, community management organizations such as rural or peri-urban water
boards or private sector groups such as artisan cooperatives to implement specific activities or to build
their capacities by providing them with start-up capital or grants for the purchase of equipment. They
may subsidize user groups and institutions (such as health facilities, schools, Kebele Administration, and
DA offices) for approved water point and sanitation facility constructions. They may also administer
external funds on behalf of communities or channel external resources through intermediary institutions
for activities implemented by community groups. Whatever the type of assistance or form of fund and
project management is, however, CSOs/NGOs encourage self-help initiatives; do not subsidize
household sanitation facility construction/rehabilitation and community self-supply; require appropriate
level of community investment; promote community management in line with the national WaSH
strategies; and ensure that their contributions and results are duly recorded and reported.
17
3 Institutional Arrangements
3.1 Memorandum of Understanding
The institutional arrangements for the WaSH Program at the national level derive from the 2011
Memorandum of Understanding signed by:
 The Ministry of Finance and Economic Development
 The Ministry of Water Resources & Energy
 The Ministry of Health
 The Ministry of Education
The purpose of the MoU is to bring the main partners of the WaSH sector together to facilitate their
cooperation in joint:
 planning
 implementation
 monitoring & and evaluation
 reporting
…of water supply, sanitation and hygiene education in communities, schools, health posts and other
institutions.
3.1.1 Common Responsibilities of WaSH Sector Ministries
In the Memorandum of Understanding the four sector Ministries have committed themselves to:
 Assign an appropriate official to the National WaSH Technical Team (NWTT)
 Establish a WaSH Management Unit (WMU) and designate a WaSH focal person to liaise
between the WMU and the National Coordination Office (NWCO)
 Implement in their respective Ministry decisions of the of the National WaSH Steering
Committee (NWSC) and the NWTT and provide feedback on status
 Evaluate the WaSH performance of their respective Ministry in their regular sector performance
evaluation and provide a report to the NWTT and the NWSC
 Closely monitor, evaluate and support the Regions in WaSH planning, implementation and
reporting
 Incorporate WaSH in the regular performance evaluation of individuals assigned and designated
 Prepare and submit to the NWCO an annual WaSH Plan of Action including budget
 Prepare and submit to the NWCO federal-level quarterly, semi-annual and annual physical and
financial reports
 Advise and assist respective Bureaus in the establishment of appropriate WaSH structures at the
Regional and Woreda level
18
3.1.2 Major areas of cooperation
Recognizing the importance of the sector, the parties have agreed to work closely in areas of water
supply, sanitation and hygiene at communities and institutions level to:
 Regularly follow progress to ensure that the National WaSH program is moving in line with the
new National Growth and Transformation Plan and is contributing its share to other MDGs in
general and MDG 2, MDG 4, MDG 5 and MDG 6 in particular
 Joint preparation of integrated short and long term WaSH plans, with a vision of one plan, one
budget and one reporting principle of the WaSH program
 Ensure that communities, health facilities and primary schools are beneficiaries of the WaSH
funded programs
 Advocate, prepare proposals for increased funding of WaSH programs at national and
international forums
 Ensure the WaSH funded program by partners is fairly distributed among/between WaSH
sectors
 Establish strong relationships with WaSH partners (bilateral donors, multilateral donors, CSOs ,
private sector organizations, etc) and encourage their full involvement to support in achieving
GTP WaSH targets
 Incorporate WaSH in school curriculum /or as part of school activities and WaSH clubs that are
formed in all schools
 Monitor and ensure that funds allocated for the WaSH program are transferred on time, utilized
for the intended purpose only and liquidated on time
 Monitor and ensure progress reports are produced and forwarded to the concerned authorities
on time
 Exchanging of information and acting together before, during and after emergencies
 Jointly mobilize resources during emergencies that have public health significance
 Establishing National WaSH Technical Committee comprising of relevant directors /
representatives from each WaSH ministries and follow their accomplishments
 Ensure WaSH structures are established and made functional in all administrative levels;
 Jointly organize and attend annual MSF meetings, national and international conferences and
meetings and follow the progress and recommendations given
 Jointly organize events that have high health impact such as “World Water Day, Hand Washing
Day” etc
 Jointly undertake and support operational research that has a high impact on the WaSH sector
 Undertake WaSH inventories in communities, schools and institutions on a regular and
continuous bases
 Ensure water for drinking and domestic use meets drinking water guidelines and jointly or
separately undertake water quality surveillance and exchange information on the outcomes. In
line with meeting he draft national guideline drinking water guidelines ensure jointly that
affordable and replicable household and community level defluoridization techniques are in
place
19
 Ensure that Water and sanitation schemes and facilities are properly designed and constructed
not to pose health risk to the consumers
 Ensure the WaSH Implementation Framework and strategy of the country is properly followed
by all WaSH players
3.2 WaSH Structures

3.2.1 National WaSH Structures
The National level WaSH structures are:

 The National WaSH Steering Committee (NWSC)
 The National WaSH Technical Team (NWTT)
 National WaSH Program Management Units – 4 (WMUs)
 The National WaSH Coordination Office (NWCO)
The composition of these structures together with their respective duties and responsibilities are set out
in the tables that follow.
20
3.2.1.1
National WaSH Steering Committee (NWSC)
Composition: Role:
NWSC provides overall guidance and direction for WaSH Program
Chair: implementation.
H.E Minister of Water & Energy Duties & Responsibilities:

 Approves funds allocated from partners for sector ministries
Members and regional states
 Ensures fund allocations to sectors for WaSH implementation
State Ministers of: is based on agreed modalities and arrangements with partners
 Finance & Economic  Reviews and endorses the National WaSH Strategic Plan and
Development consolidated Annual WaSH Plans
 Water & Energy  Oversees the proper functioning of the M&E of the WaSH
 Health Program
 Education  Ensures the establishment and functioning of WaSH structures
at all levels
 Ensures that the National WaSH Implementation Framework
Secretary:
is updated every three years
 Reviews and approves the annual budget of the National
Director of Water Supply & WaSH Coordination Office (NWCO) proposed by the National
Sanitation at MoWE WaSH Technical Team (NWTT)
 Advocates the MoU to the Council of Ministers to get
On invitation, representatives recognition and support for the same
from:
 Decides on matters relating to WaSH submitted by the NWTT
 Development
 Represents Ethiopia in international WaSH forums and
Assistance Group -
advocates for WaSH funding
Water
 Resolves differences that may arise among WaSH partners and
 Civil Society
actors through cordial discussion
Organizations
 Ensures the annual Multi-Stakeholder Forum is conducted and
 Others (e.g. Ministry of
follows up on the implementation of undertakings
Federal Affairs in case
of discussion on 
pastoralist issues) as Meetings: Quarterly - and when deemed necessary a signatory
appropriate member may propose an urgent meeting be convened.
Decisions are achieved through consensus
NWSC reports to National MSF
3.2.1.2
21
National WaSH Technical Team (NWTT)

Composition: Role:
NWTT provides managerial oversight of the integrated, harmonized WaSH
Directors assigned by their Program
respective Ministries:
 Finance & Economic Duties & Responsibilities
Development
 Facilitates inter-ministerial communication and cooperation
 Water & Energy (Chair)
 Reviews and submits Strategic Plan and Annual Plans to the NWSC
 Health for approval
 Education
 Implements strategic decisions and direction of the NWSC
 Women, youth and
 Liaises with donors and seeks program support
children affairs
 Seeks new funding sources
 Women’s Affairs
Directorate of the  Ensures financial disbursements are made in accordance with NWSC
MoWE decisions
 Development Assistance  Promotes and advocates Regions to have their own WaSH
Group-Water Memorandum of Understanding
representative  Ensures WaSH structures are established and maintained
 Civil Society  Regularly monitors program implementation, provides guidance and
Organizations reports progress and results to NWSC
representative
 Designs programs for experience-sharing within and outside the
 Coordinator of NWCO country
(Secretary)
 Staffs, equips, supports and supervises the NWCO
 Establishes and assigns responsibilities to task groups as may be
As per the meeting agenda NWTT required
may invite others also to
participate in the meeting.  Designs and manages the MSF and other review meetings and
follows up on the implementation of undertakings
 Ensures timely submission of PoA of funded programs of respective
Ministries and Regional States
 Ensures timely transfer and settlement of funds to and from regions
 Organizes JTR and MSF in collaboration with development partners
and obtains budget approval
 Communicates NWSC discussions and decisions to respective
Ministries and follows-up on implementation
 Prepares the agenda for NWSC meetings in consultation with the
Chair and forwards same to members in advance of meeting
 Ensures the WaSH Impementation Framework updating once every 3
years or as the need arises
 Executes all assignments given by the NWSC.
Meets monthly – and as required
Accountable to the NWSC
22
3.2.1.3
National WaSH Management Units (WMUs)
Composition: Role:
WaSH Program Management National WMUs ensure that Regional WMUs, Woreda Sector Offices and
Units/Focal persons will be Town Water Boards have the directions, information, systems, skills and
established within an appropriate resources necessary to carry out their WaSH mandate and achieve expected
Directorate in each of the four program results.
Ministries:
 Ministry of Finance and
Economic Development
(MoFED) Duties & Responsibilities
 Ministry of Water and
Energy (MoWE)
 Ministry of Health (MoH) Each Unit:
 Ministry of Education  Ensures that the WaSH-related inputs and activities of its respective
(MoE) Ministry are effectively implemented and integrated into the WaSH
Program at all levels
Contracted professional staff –  Contributes to the preparation of consolidated national WaSH plans
including National Capacity and budgets
Building Support Unit may
 Ensures that program strategies, activities and results are
provide technical assistance
monitored, evaluated and reported within the WaSH framework
and systems
 Assists the Regions identify their program gaps and management
deficits and provides them with the technical assistance and/or
capacity development they require
 Builds linkages with and among regions – sharing information,
progress reports and best practices
 Demonstrates and fosters the integration and harmonization of the
WaSH Program
Accountable to the respective Directorate of the Ministry
23
3.2.1.4
National WaSH Coordination Office (NWCO)
Role
Composition:
NWCO ensures that National WaSH Program plans, reports, monitoring &
evaluation and capacity building are coordinated, harmonized and aligned by
 Coordinator
all WaSH stakeholders.
 Focal persons assigned from
the four Ministries: Duties & Responsibilities of the Office
 Ministry of Finance and  Ensures that the policies, strategies plans and decisions of the NWSC
Economic Development and NWTT are effectively communicated at all levels
(MoFED)  Assists the regions in preparing and implementing WaSH MoUs
 Ministry of Water and appropriate to their respective contexts
Energy (MoWE)  Supports the establishment of Regional WaSH Coordination Offices in all
 Ministry of Health (MoH) Regional States and ensures their proper functioning
 Ministry of Education  Provides continuous support to the Regional WaSH Sector Bureaus and
(MOE) Regional WaSH Coordination Offices in planning and implementing the
WaSH Program
 Prepares and recommends to NWTT consolidated Strategic and Annual
Contracted professional staff –
Work Plans and budgets
including National Capacity
Building Support Unit may  Designs and implements a National Capacity Building Program –
provide technical assistance including preparation of manuals, guidelines and generic training
materials
 Consolidates and submits to the NWTT national WaSH physical and
financial reports annually and semi-annually
 Makes recommendations to the NWTT on strategies and
implementation arrangements based on the analysis of M&E reports
and other data
 Follow-ups on WaSH cash transfers and liquidations all levels to
promote timeliness
 Conducts regular field visits to monitor the activities of WaSH program
and provide feedback to sector bureaux
 Organizes JTR, MSF and other meetings in collaboration with
development partners
 Ensures regions have consolidated WaSH plans
 Convene meetings of RWCO staff and WaSH focal persons
 Prepares and updates various compiling and reporting formats
 Facilitates experience-sharing within and outside the country
 Maintains national WaSH management systems and records
 Promotes and facilitated national networks among WaSH actors
 Recommends updates for WaSH Implementation Framework once in
every 3 years or as the need arises
The NWCO is accountable to the NWTT
24
3.2.2 Regional WaSH Structures
Regions have the authority and the responsibility to establish institutional arrangements at the regional
and zonal levels that are best suited to their particular needs and circumstances. However, regional
arrangements are expected, to a large extent, to correspond with those at the national level to ensure
effective linkages.
Whatever the variations, the structures that are established must:
 promote and support an integrated program
 ensure program coherence and consistency in terms of objectives, priorities, standards
and procedures
 provide for the aggregation of data and the consolidation of plans and reports
throughout the system;
 facilitate communication among partners and from one level of operation to another
 ensure clear accountability of all WaSH players for actions and results
The National Memorandum of Understanding explicitly anticipates that in each Region the pertinent
regional bureaus will negotiate and sign their own Memorandum of Understanding to serve as the basis
for collaboration in implementing the WaSH program.
The NWCO is mandated to assist the Regions in this process.
The National WaSH MoU will serve the Regions as a model but it is not to be regarded as a fixed
template. Regions will take into account a number of variables such as their size, geography, diversity,
resources available etc. that will influence the institutional structures they establish.
The process of working through to a distinctive MoU is a creative process and one that enables partners
to:
 evolve a common understanding of the program
 develop clear expectations of one another
 establish mutual accountability for results
 build shared ownership and trust
Regions will design their WaSH structures to address the need for:
 Program oversight and accountability to the Regional State Council.
 Planning and management of an integrated multi-sector program.
 Provision of specific sector inputs.
 Coordination of activities and the consolidation and communication of plans and reports.
 In the national structures these four broadly defined functions are assigned to four distinct
entities:
25
Table 2. Functions of the WaSH structures
Function Entity
Program Oversight & Accountability Steering Committee
Planning & Management Technical Team
Sector Inputs Sector WMUs
Coordination & Consolidation Coordination Office
This same breakdown may - or may not - well serve a particular Region.
For instance, some regions have found value in conflating the responsibilities of the steering committee
and the technical team and assigning them to a single entity. The advantage in this is simplification - a
reduction in the “layers” of management decision-making and communication. The potential
disadvantage is responsibility overload and a reduction in performance.
Each region will need to work out how best to combine and assign the following essential
responsibilities to achieve maximum results.
3.2.2.1 Responsibilities
Program Oversight & Accountability

 Oversee the regional WaSH program and be accountable to the Regional State Council for
performance and results
 Delegate program management responsibilities
 Review and approve WaSH plans, budgets, physical and financial reports, resource allocations
and replenishment requests
 Review and analyze M&E reports and make decisions for improved performance as may be
required
 Foster relationships with, and elicit support from, development partners including CSO/NGO,
donors and WaSH-related private sector
Planning & Management
 Provide direct supervision and direction for the planning and implementation of the Regional
WaSH Program
 Negotiate regional WaSH targets with the NWTT
 Negotiate allocation of targets and resources with zones, woredas and towns/cities
 Prepare, recommend and implement WaSH plans and budgets (strategic and annual)
 Review and submit consolidated physical and financial reports
 Review, analyze and make recommendations on Inventory and M&E reports
 Assist zones, woredas, towns/cities establish and capacitate WaSH structures
 Provide and/or procure training & technical assistance for zones, woredas, towns/cities as
required
26
Sector Inputs
Generally, the sectors…..
 Contribute to the preparation of the integrated regional WaSH Plan of Action (PoA) and budget,
monitoring & evaluation and regular physical and financial reports
 Provide woreda sector offices and town water boards the information, directions, systems, skills
and resources they need to carry out their WaSH-related activities and achieve their targeted
results at the local level
Specifically, the sectors…..
 Prepare the Annual WaSH Plans and budgets for all sector specific WaSH activities
 Manage budget and procurement plan for sector specific WaSH activities
 Select/recommend woredas for CMP promotion, capacity building and funding10
 Collaborate with BoFED in negotiating agreements with micro-financing institutions for CMP
support
 Prepare and submit on-lending application to WRDF on behalf of Towns
 Prepare and submit quarterly physical & financial reports to BoFED/WaSH management
together with replenishment requests
 Assist woredas and towns identify program implementation and management gaps and provide
training and technical assistance as required
 Procure works, goods and services on behalf of towns/woredas when complexity or critical mass
so require
 Build linkages to and among woredas and towns to share information, reports on progress and
best practices
 Demonstrate and foster integration and harmonization in the WaSH program
Coordination & Consolidation
Generally, the sectors…..
 Provide the RWMC with information and analyses required for strategic management decisions
 Facilitate coordination among the four Program Management Units
 Maintain WaSH management systems and database – linked to national
Specifically, the sectors
 Communicate, within the region, national and regional WaSH policies, plans, strategies and
decisions
 Prepare and propose to regional WaSH management consolidated strategic and annual WaSH
plans and budgets
 Consolidate physical, financial and monitoring reports from woredas, towns and WaSH sector
bureaus and forward to regional WaSH management – with analysis and recommendations
 Provide woredas, towns, and WaSH sector bureaus with regional WaSH status reports
10
Specifically a water sector responsibility
27
 Implement regional WaSH M&E

 Identify and address need for program-wide capacity building – especially manuals and
guidelines in translation
 Promote and facilitate regional practitioner networks and foster the participation of CSOs/NGOs
and the private sector
 Design and facilitate regional WaSH forums and review meetings
3.2.2.2 Composition of Regional WaSH Structures
Regional authorities will decide the composition of WaSH structures depending on the size of the region,
the scope of the program and the availability of human resources.
3.2.2.2.1 Oversight and Management
Generally, the entity or entities providing oversight and/or management functions for integrated
program will have a membership of 6 to 10 persons with representation from:
 BoFED*
 Water & Energy Bureau*
 Health Bureau*
 Education Bureau*
 Agriculture Bureau
 CSOs/NGOs (on invitation)
3.2.2.2.2 Sector Input
The entities providing sector input to regional WaSH plans, budgets and reports will be comprised only
of persons from each of the (4) key sectors*. Entities from these sectors may be a unit of several
persons – or simply a focal person – depending upon the magnitude and nature of the particular sector’s
input to the program. The units are generally called WaSH Management Units (WMUs) – formerly called
PMUs.
3.2.2.2.3 Coordination & Consolidation
The National Coordination Office is mandated by the MoU to support the establishment of Regional
WaSH Coordination Offices (RWCOs). RWCO duties will mirror those of the NWCO from a regional
perspective and will include the establishment of a Regional Capacity Building Support Unit. The
Coordinator/unit head will also be a member of the WaSH management entity often serving as
secretariat.
3.2.2.2.4 Civil Society Organization & Private Sector Participation
Civil Society Organizations (NGOs) are partners in the WaSH program in a variety of roles: policy and
strategy advisors, financial contributors, program implementers, researchers for innovations, etc. At the
28
federal and regional levels selected NGOs serve on WaSH Steering Committees and Technical Teams11
on invitation. It is essential that they also be fully integrated12 into the WaSH structures at the regional
level where policy is established, priorities set, allocations are made, plans are laid, progress is
monitored and results are assessed.
Private sector consultants, trainers, facilitators, suppliers, contractors and artisans are also essential
partners in WaSH programming. Their participation in WaSH is increasingly important as government
moves back from the service-provider role to an enabling role. Many private sector entities may be
restricted from participating directly in WaSH decision-making bodies due to potential conflicts of
interest. However, it is essential that private sector be constantly consulted and built into practitioners’
networks and forums.
3.2.3 Zonal WaSH Structures
Each region will decide what, if any, specific WaSH structures are required at the zonal level and what
their functions and responsibilities will be. In larger and special zones it is likely that zonal structures will
be designed replicate those at the regional level and these zones will have an important intermediary
role between the Region and the towns and woredas for purposes of planning, monitoring, reporting,
disseminating information and providing technical assistance.
3.2.4 Woreda WaSH Structures
3.2.4.1 The Woreda WaSH Team (WWT)
The national WaSH strategy posits a Woreda WaSH Team (WWT) in each and every woreda. The role of
the WWT is to prepare and manage a Woreda WaSH Program integrating and coordinating the inputs of
the Sector Offices and those of participating NGOs. The WWT has both a coordinating and a
management function.
The WWT is accountable to the Woreda Council, through the Woreda Cabinet, for the achievement of
WaSH targeted outputs.
3.2.4.1.1 Duties & Responsibilities
 Prepares consolidated Woreda WaSH plans and budgets (strategic and annual) for Cabinet review
and recommendation and Council approval
 Prepares and submits consolidated woreda WaSH physical and financial reports quarterly
 Prepares and submits replenishment requests and facilitates the flow of WaSH funds
 Manages annual WaSH Inventory and M&E system and maintains woreda database/information
system and ensures its annual update
 Reviews and prioritizes WaSH plans proposed by Kebeles for incorporation into Woreda WaSH Plan
 Receive, apprise and decide on community applications submitted by the community with the
endorsement of the Kebele WaSH Team
11
NGOs are selected and invited by the Steering committee on the basis of their level of involvement in the WASH sector
activities.
12
NGOs providing contracted services to WASH would forgo participation in management and coordination bodies.
29
 Plans and manages the training and deployment of extension workers to support
Kebele/community/institutional WaSH activities
 Signs and manages WMP Grant Agreements and CMP Financial Agreements with WASHCOs as
applicable
 Prepares and manages a WaSH procurement plan
 Contracts and supervises training and technical services if and as required – e.g. Community
Facilitators, Woreda Support Groups etc
 Supporting WASHCOs to become legal entities
 Actively supports the emergence, training, equipping and engagement of artisans and other service
providers in the private sector – and the establishment of a viable supply chain
 Ensures sustainability of WaSH services in collaboration with KWT.
In woredas where Community Managed Project (CMP) funding is applicable the WWT will have the
following additional responsibilities:
 Open a CMP account at MFI sub-branch
 Approve opening of WASHCOs’ CMP Accounts
 Draft implementation schedule with WASHCOs
 Authorize release of funds into WASHCOs’ CMP Accounts
 Ensure provision of adequate capacity building and technical support
To ensure that these and other tasks specifically relating to CMP are effectively carried out the WWT
may assign lead responsibility for them to a CMP Supervisor – or to the WWT Coordinator if one is
appointed.13
3.2.4.1.2 Composition of the WWT
The WWT is established by the Woreda Administration. Membership includes:

 The Woreda Administrator or his/her designate (chair). The designated chairman is required to be
either the Woreda water office/desk head or the Woreda health office/desk head as the water or
health sectors are the key role players of the program.
 The Heads of:
 WoFED
 Water Desk
 Health Desk
 Education Desk
 Agriculture Desk
 NGO Representative(s) of the Woreda (on invitation)
13
For greater detail on CMP see Section 5 of the document
30
WoFED appoints an accountant/clerk to attend fulltime to WaSH’s financial records and requirement.
Where need and resources exist the Woreda will engage a fulltime WaSH Coordinator who will carry
forward the day-to-day implementation of the WaSH program and will report directly to the Woreda
Administrator and WWT.
3.2.5 Kebele WaSH Structures
The Kebele WaSH structure is established under the authority and direction of the Kebele Manager by
the Kebele Administration and is subsidiary to the Kebele Development Committee.
The arrangements for WaSH management at the Kebele level vary in accordance with the needs and
resources – particularly the human resources - of the Kebele. The default arrangement is, however, as
follows:
3.2.5.1 The Kebele WaSH Team (KWT)
The Kebele Administration establishes the Kebele WaSH Team (KWT)14 under the direction of the Kebele
Manager assigning it responsibility to:
 Plan and manage the annual WaSH Inventory
 Share and analyze the resulting data with the wider community and take measures to improve
coverage and sustainability of WaSH services in collaboration with WWT
 Promote WaSH activity and encourage households, user groups and institutions to submit
proposals for inclusion in the annual Kebele WaSH Plan
 Support the WaSH input of the water, health and agricultural extension workers, WaSH
Volunteers and teachers
 Support the input of Community Facilitators and other service providers when applicable
 Receive and assess community WaSH proposals
 Prepare an annual Kebele WaSH Action Plan and budget for KDC and Kebele Administration
review and WWT approval
 Support WASHCOs in addressing the marginalised groups of the society
 Supporting WASHCOs to become legal entities
 Monitor WaSH activity and share issues and achievements with the wider community
 Prepare and submit physical and financial reports to the KDC/Kebele Administration and the
WWT
 Ensures sustainability of WaSH services in collaboration with WWT
14
The Kebele administration may choose to select an exiting Kebele organization, such as a health committee, to additionally serve as the
Kebele WaSH Team – avoiding organization overlap and the overload of limited human resources
31
3.2.5.2 Composition of the KWT
The Kebele WaSH Team will be composed of representatives of:

 elders and community leaders
 youth
 extension workers (HEW, WEWs, DAs)
 teachers
 volunteers
both genders – in balance
3.2.6 WASHCOs (Community WaSH Committees)15
The national water management policy requires decentralized management of rural water supply
schemes by the user community. Accordingly, household clusters using the same water point establish
WASHCO by electing members among the users. Health posts, schools and other public institutions,
churches and mosques, market associations, etc. Building and using water supply schemes for these
institutions may establish WASHCO through election among the users or appointment by the pertinent
institution.
The responsibilities of the WASHCOs are to:
 plan and promote WaSH activities
 mobilize user resources including skills, funds and in-kind contributions
 manage funds
 manage and maintain facilities
 seek and secure training and technical assistance
 procure goods and services as required
 complete and submit inventories, physical and financial reports
 prepare and implement water safety plans
 develop mechanism of addressing the disabled and marginalised groups of the community
 organize themselves to become legal entity
WASHCOs are accountable to the communities they serve and to the Kebele Administration. WASHCOS
receiving grants through either the WMP or CMP mechanisms are directly accountable to the Woreda
by way of Grant or Financial Agreements.
15
See Section 5 for a more complete description of the role and responsibilities of WASHCOs
32
4 Urban WaSH
4.1 Introduction
Urban sanitation includes solid and liquid waste management. However, the WaSH program envisages
integration of the liquid waste management component of the urban sanitation to the program. The
liquid waste management aspect mainly focuses on safe transportation (conveyance) and disposal of the
waste. As low income areas of towns are usually densely populated with poor or no latrine facilities, the
WaSH program also give due attention to this problem. Nevertheless, this does not exclude the
possibility of integrated planning, implementation and monitoring of solid waste management within
the framework of the WaSH management of a town.
4.1.1 Basic Principles
The basic principles of the Urban Water, Sanitation and Hygiene Education (U-WaSH) Program are:
Demand Responsive: Towns/cities will receive assistance in response to demand for

improved water supply and sanitation systems and
demonstrated readiness to participate;
Performance-Based Stepped Towns/cities will be assisted progressively, step-by-step, on the

Approach: basis of performance to build their overall capacity, prepare
service improvement plan, study and design and for
construction.
Cost Recovery and the right to The Water Development Strategy states “ ….tariffs in urban
access: areas, aim at total cost recovery through time (which covers
operation & maintenance costs, depreciation and debit
servicing)”. Thus, Towns/cities recognize access to water as a
fundamental right and as an economic good and pursue its
development on step by step cost-recovery basis;
Cost effective design: Towns/cities undertake U-WaSH programs that avoid over-
design in order to provide affordable and sustainable services.
4.1.2 Categories of Towns
For the urban WaSH program towns are those settlements defined as towns by CSA. However, based on
their water supply provision and management status these towns could be classified into three
categories as follows:
Category 1: Towns/cities having utilities managed by Water Board
Category 2: Towns/cities having utilities but not managed by Water Board
Category 3: Small towns having water supply system managed by WASHCOs or towns
without water supply system at all
All these three categories of towns are addressed by the urban WaSH program through various levels of
interventions based on need assessment.
33
4.1.3 Urban WaSH Program Components
The Urban WaSH Program has two components:

a) Improved Urban Water Supply services for a whole town as per the UAP minimum standard and
Liquid Waste Management Services:
This component provides selected towns with technical assistance through grants and /or loans to
support:
 The formation and capacity building of water boards
 The design of water supply systems or liquid waste management systems integrated with
sanitation promotion and hygiene education
 The preparation of business plans, performance agreements and contracts
 Facilities construction and construction supervision
 System expansion or development
The program doesn’t finance from the CWA expenditures for investment of urban storm water
management facilities. However, the activities could be included in the composite WaSH plan and report
of the town and coordinated by the same WaSH coordinating structures of towns.
b) Hygiene and Sanitation Promotion and Sanitation Facilities Construction for Institutions and low
income communities
This component will target communities/households in low-income areas – particularly where the large
majority of households (including elders and street children) have poor or no latrine facilities, schools
and health institutions. Their problem associated with safe water supply is deemed to be addressed by
the first component of the urban WaSH intervention as the whole town will be planned to get water
supply as per the UAP minimum standard. Thus, low income areas, schools and health institutions will
be supported in community wide sanitation and hygiene promotion and improvement of latrine facilities
(for sustainability these latrines could include bio-gas, public showers and cloth washing facilities when
feasible) using such as communal latrines.
4.2 Urban WaSH Intervention Identification Process

4.2.1 Improved Urban Water Supply Services for a Whole Town as per the UAP Minimum
Standard and Liquid Waste Management Services
Primary planning for improved water supply and liquid waste management is at the regional level. The
Regional Water WMU will be responsible for the preparation of the Regional Plan. The WMUs will be
responsible for introducing and managing those activities and investments that relate directly to their
sector.
34
Regional planning involves the following steps:
Assessment of Determining Selection of

Goal setting
regional needs number of towns towns
Assessment of regional needs

The Regional Water WMU working with the planning and programming departments/sections of their
respective Bureaus, and drawing on data from the WaSH inventory and other surveys and studies, will
assess the need to;
 construct new water supply and/or sewerage system
 rehabilitate or expand existing systems
 improve system operation and maintenance
The need assessment is required to ensure that a whole town (irrespective of living standards) is
provided with water supply at least fulfilling the minimum standard of the UAP.
Goal setting
The Regional Water WMU will propose goals for the annual plan based on the need assessment, the
availability of resources and target ranges provided by the NWTT. Goals will relate to increased access
to and use of sustainable clean water supply and liquid waste management systems and improved
operation and maintenance of the systems and positive response among users to hygiene and
sanitation promotion. Goals will be defined in terms of established M&E indicators.
Determining the number of towns for grants and/or loans
 As per the Water Resources Management Policy and Strategy urban (town) water supply investment
intervention aims to cost recovery through time. Thus it is recommendable to plan towns to acquire
financial assistance blending grant and loan in such a proportion based on their repayment
capacities. This will be more in line with the policy objective and at the same time assist towns to
exercise loan management and working with loan financing institutions and enable to utilize the
loan fund effectively by revolving it as the towns will be able to repay it. Thus, Regional Water WMU
will propose towns for blended financing (grant and loan with different proportion) based on a cost-
benefit analysis of what level of investment and types of activities, in how many towns, will produce
maximum results with the resources available.
 The Regional Water WMU requests towns for grant and/or loan proposals clearly indicating the
selection criteria.
 The grant and/or loan proposal application is prepared by the town’s water supply and sewerage
service, endorsed by the town water board, reviewed by the town WaSH Technical Team, and
approved by the WaSH steering committee (town/city cabinet) and forwarded to the Regional
Water WMU and Regional WaSH Coordination Office. The proposal should clearly state how much is
the grant and how much is the loan and demonstrate the creditworthiness.
 Towns which had previously implemented step-1 activities through grant from the common WaSH
account, from any other financial assistance or from their own financial source could apply directly
for step-2 financial assistance meeting the requirements.
35
Determining the types of interventions

The Regional Water WMUs through RWCO will, together, determine what kinds of activities and
investments need to be undertaken for institutions and in low income areas in order to increase access
to improved sanitation and effect positive change in hygiene and sanitation behavior.
Selection of towns/cities:
In drafting the U-WaSH annual plan the RWCO and the WMUs will propose specifically which towns will
receive what assistance. Selection will be made on the basis of publicly announced criteria and rules of
engagement. The criteria will be region specific and approved by the Regional WaSH steering
committee. The criteria could include among others:
 the extent of the problem of water supply and/or liquid management of the town,
 the willingness to pay for water,
 financial capacity for cost recovery of the loan component of the financial assistance,
 cost effectiveness and technical viability of the proposed system,
 current and future economical and political status of the town,
 population, etc
There may be also some additional criteria for the loan component on the basis of WRDF eligibility
criteria for credit worthiness.
4.2.2 Hygiene and Sanitation Promotion and Sanitation Facilities Construction for
Institutions and low income communities
Once the WaSH budget that goes to the town is decided by the regional WaSH Steering committee the
Town/city WaSH cabinet as the WaSH steering committee of the town will be fully responsible for the
overall U-WaSH program planning and management.
The planning process at town level involves steps shown below ---
Assessment of Determining type Selection of

Goal setting
regional needs of intervention activities
Assessment of town needs

T/CWTT assesses the extent and kind of need of schools, health institutions and low income
communities in terms of sanitation facilities and hygiene education.
Goal setting
The T/CWTT set the town/city’s goal in terms of the level of increase in awareness of hygienic practice
and improved sanitation facilities. As well, it reviews and endorses the town/city’s goal set by the town
water board.
Determining type of intervention
The T/CWTT list the kind of activities that could take place in terms of improving sanitation facilities and
hygienic practice amongst low income communities and institutions. It also participates in the appraisal
of the town’s water supply improvement study and design ensuring that the project has properly
addressed low income communities, schools and health institutions.
36
Selection of activities
The T/C WaSH Steering Committee prioritizes from the list of activities that could be financed first and
send the proposal to the RWCO.
4.3 The Urban WaSH Program Implementation Modality

4.3.1 Improved Urban Water Supply and Sewerage Management Services:
U-WaSH program is designed to reflect the policy objectives of decentralization to lowest possible level
and to involve all stakeholders in the process. To achieve this, the implementation modalities are
classified in two steps. The first step is planning and preparatory of the projects and the second step is
implementation. The steps are used in the urban water supply and sewerage management component
that allows each town to move at its own pace and receive assistance incrementally as capacities are
developed and results that meet established criteria are achieved.
4.3.1.1 Urban Water Supply and Sewerage Intervention Steps
Urban water supply and sewerage intervention has two steps:

The steps are taken progressively by town/cities:
 The first step is planning and preparatory works, which are mainly focused in formation and
strength of TWB and TWU, capacity building and study, water source confirmation and design of
water supply and sewerage facility including Bid document preparation;
 The second step is construction phase including procurement and further capacity building of
town water board and town water utility.
In both steps, technical assistance is provided by national consultants and/or private sector consultants.
Step 1: Planning and preparatory Phase:
Building the capacity of T/CWBs in the overall management where an autonomous Town/City Water
Board with appropriate enabling legislation and membership is not already in place, assistance is
provided to establish a Board as per the proclamation and criteria set by the region.
Key utility staff with required qualification related to the post need be in place for capacity building
carries out baseline study. Scope of baseline survey should be for preliminary situation analyses (base
line report should be produced), for data inputs to feasibility study, for data inputs to business plan and
for baseline data establishing for use in performance M&E. But the detail socio economic survey and
other water demand and cost recovery analyses should be executed under feasibility study &
preliminary design and during business plan preparation identifying and implementation of immediate
need for, and initiating, repairs to improve existing service.
Capacity building of town water board and utility staffs
a. Capacity building at Town Water Board level shall focus on the following areas:
- Planning cost effective town water supply systems and sewerage management – design
and feasibility of initial construction, rehabilitation or expansion and business planning
for sustainable service provision, longer term planning for expansion;
- Contracting with utility operator for day-to-day operations and for professional
technical support;
- Monitoring utility performance - customer service, operational efficiency and tariffs
b. Capacity building for utility operators will focus on:
37
- Customer billing &collection with software

- Operations and maintenance
- Financial management
- Data base management system
- Monitoring and evaluation
Furthermore, the following are also conductd in Step 1:
 Carry out feasibility study and preliminary Design for water supply and sewerage
 Water supply source confirmation
 Prepare business plan
 Prepare Detail Design
 Prepare Environmental and Social Management Plan (ESMP)
 Prepares bid documents
 Prepare and facilitate contract performance agreement between TWB & TWU
Stakeholder consultations held regarding program requirements, estimation of costs, tariffs &
contribution required in all planning and preparatory phase.
Generally, Stakeholder Consultation needs to be included under this phase like:
 Establishment of TWB (elections from communities, …)
 Appointment of consultants (TSA) if possible
 Key-staffing of TWU
 Sensitization on baseline study purposes & scope
 Immediate Service Improvement Plan (ISIP) Presentation
 Community Contributions for implementing the ISIP
 Feasibility Study Presentation
 Water Source confirmation Presentation
 Business Plan processes consultation
 Discussion on Draft Business Plan
 Community Contribution for program implementation
 Right of Way sensitization
Before proceeding to Step 2 an application proposal to be prepared by the Town/City and submitted to
the Regional WMU (Water) along with the investment study document. Regional WMU (Water) will
appraise the document and forwards it for National WMU (Water) and WRDF approval. The basic key
appraisal criteria for Sep 2 are that Step 1 has been fully and successfully completed and that the
proposal should be credit worthy for the loan portion.
The activities above can be undertaken simultaneously over a period of approximately 8 months.
38
Step 2: Implementation Phase:

Towns appraised to get financing for Step 2 will carry out the following activites in Step 2:
 Procuring works, goods, and services
 Construction and supervision of water supply and sewerage management system
 Updates Business Plan and Preparation of appropriate Performance Contract to be entered into
by the Town Water Boards (TWB) and Town Water Utilities (TWUs) and assisting the signing of
these documents
The scope of update should include:
 Update the business plans to reflect current conditions and revised forecasts of
demand, production, sales, collections, project expenditures, staffing levels, operating
efficiency, operating expenses, into consideration. The Business Plan to be updating
shall among others include proposed tariff structure, projected cash flow, balance sheet,
profit and loss account, and sensitivity analysis
 Recommended implementation strategies
 Come up with a Tariff Structure to assist the Board achieve economic, financial, social
and equity objectives in order for the Board to provide effective service to its existing
and prospective customers. The Consultant should relate the investment to revenue
enhancement and achievement of performance targets
Moreover, capacity building of TWB and TWU continues simoulteneously with the construction works
and they are provided support particularly in procurement and contract management.
The activities above can be undertaken simultaneously over a period of approximately 14 months.
The Regional Water Bureau will, with the Board and utility staff, monitor construction to ensure
consultants, contractors and suppliers deliver in accordance with their contracts.
Monitoring generally will include:
 Systematic review of periodic progress reports and identification of deviations in schedules,
methods or budgets.
 Site visits during construction, testing for commissioning, training sessions.
 Periodic quality control on works being constructed and completed.
The TWB and the utility should have to be supported to be engaged actively as owners of the project in
the planning and implementation phases, namely:
During planning Phase
- TWB need be participate during appraisal of proposal and business plan;
- Engage the TWU and TWB in B-Plan consultation processes;
- Engage the TWU and TWB in tender document preparation and tendering processes to
familiarize with Tender document preparation and tendering processes.
During Implementation Phase
- TWB need to participate in supervision activities during controlling quality, time and cost
like approval of payment Certificate for material supply and construction works
39
Figure 1. Typical Schedule for the Stepped Implementation Modality
40
4.3.1.2 Financial Modality
As per the water resources Management Policy and Strategy urban (town) water supply investment
intervention aims to cost recovery through time. Thus it is recommendable to plan towns to acquire
financial assistance blending grant and loan in such a proportion based on their repayment capacities.
This will be more in line with the policy and strategy objectives and at the same time assist towns to
exercise loan management and working with loan financing institutions.
All selected towns will get grant from the common WaSH account to undertake the preparatory and
planning step (Step-1). With a successful transition from Step 1 to Step 2 (construction phase),
towns/cities get blended grant and loan financial assistance for the investment (Step-2) from the
common WaSH account and from WRDF respectively in a proportion (loan/grant) to their capacity for
loan repayment verified by the project study.
Towns/cities file applications to their respective regional water bureaus for grant assistance for Step 1
and blended grant and loan financial assistance for Step-2 with a total amount of up to $70 per-capita
ceiling. The Regional WaSH Coordination Office facilitates appraisal of applications by the WMUs and
WRDF. Funding of the Grant component will be from the WaSH common account and will follow
channel 1b. The fund will be directly transferred to the beneficiary town or to the Regional Water
Bureau from BoFED if it is delegated to manage the project by the town on its behalf.
Towns/cities file applications to the Water Resource Development Fund (WRDF) for the loan component
of the financial assistance through the Regional Water WMU fulfilling all eligibility requirements of the
financing organization. The WRDF appraises applications, approves the loans and administers the funds.
Donors provide contributions to the WRDF directly and through the Ministry of Water Resources.
WRDF transfers the loan component of the financial assistance directly to the town or to the Regional
Water WMU if it is delegated to manage the project by the town on its behalf.
4.3.2 Hygiene and Sanitation Promotion and Sanitation Facilities construction for
Institutions and Low Income Communities
These interventions target low income communities, schools and health institutions. The interventions
are implemented by Urban Health Extension Professionals and WaSH volunteers are selected and
trained among the community members, school children and teachers, and health institution staffs for
hygiene and sanitation promotion providing the required support.
Moreover, low income communities (including disabled and people with special needs), schools and
health institutions are also assisted to improve their sanitation facilities. Thus, low income communities
will be provided with communal latrines (for sustainability these latrines could include bio-gas, public
showers and cloth washing facilities when feasible) clustering themselves in neighbourhood households,
and health institutions and schools with institutional/school latrines. Their water demand is envisaged
to be addressed through component one of the urban WaSH intervention under the Town’s Water
Board responsibility.
The Town/City WaSH Technical Team (T/CWTT) has direct responsibility for the implementation of this
urban WaSH component.
41
4.3.2.1 Implementation Modality
This component is also implemented in two steps as of component one.

Step 1: Planning and Preparatory
The following activities are implemented at this step:
 Low income communities, health institutions, and schools to be assisted are identified by the
Kebele WaSH Team or Kebele Development Committee
 Hygiene and sanitation promotion is conducted in the program intervention areas
 Beneficiaries file application for assistance fulfilling the required conditions to T/CWTT through
the KWT/KDC
 If the beneficiaries application is accepted by T/CWTT, WaSH volunteers are selected trained,
and deployed
 Study for sanitation facilities intervention is conducted
Step 2: Construction
The following activities are implemented at this step:
 The T/CWTT or the town’s health office conducts tender for construction,
 The T/CWTT or the town’s health office conducts construction supervision and contract
management,
 Sanitation facilities management committee is elected among the beneficiaries, trained and
deployed,
 Constructed sanitation facilities are handed over to the beneficiaries
4.3.2.2 Mode of Financing
This component is financed from the grant portion of the town as per the approved financing plan of the
town. The fund will be managed directly by the T/CWTT or the relevant sector office of the town with
the guidance of the T/CWTT.
4.4 Urban WaSH Structure

4.4.1 Town/City Level WaSH Structure
Generally, towns/cities will have the following (Fig. 2) urban WaSH management structure. Oversight
and guidance of the program is conducted by the town WaSH steering committee. In case of
towns/cities having local government status the town/city cabinet will be the town/city WaSH steering
committee. In case of towns not having local government status the woreda cabinet will be the WaSH
Steering Committee for the whole woreda including the towns in the woreda.
There are two managerial bodies under the town/city WaSH steering committee responsible for each
urban WaSH components and overall coordination of the urban WaSH In this regard, the town Water
Board is responsible for component one, i.e. water supply and sewerage services and the town/city
WaSH technical team for component two (H&S promotion and improvement of sanitation facilities for
low income communities, schools and health institutions) and overall WaSH coordination of the town.
42
The water supply and sewerage service is under the management of the town Water Board while WaSH
teams are established at sub-city/woreda and Kebele levels under the town/city WaSH Technical Team.
The responsibility of each is discussed below.
Figure 2 Town/City level WaSH Structures
WaSH Steering Committee

(City/Town Cabinet)
Town Water T/CWTT

Board
Town water supply Sub-city/Woreda

and sewerage WaSH Team (WWT)
service
KWT or KDC
Hierarchy
Membership
43
4.4.1.1
Town/City WASH Steering Committee (T/CWSC)
Composition: Role:
The Town/City cabinet serves as

the WaSH Steering Committee. Provides managerial oversight for the overall WaSH
activities in the town/city.
Duties & Responsibilities:

 Defines WaSH priorities and objectives for the
Town/City
 Establishes the board of management for the
water supply and liquid waste management
system
 Appoints members of town/city WaSH technical
team (T/CWTT) from different sectoral offices.
 Monitors the performance of the Water Board
(T/CWB) and T/CWTT
 Reviews and provides comment on consolidated
financial, physical and M&E reports
 Endorses T/CWTT and T/CWB requests for funds
 Ensures timely, efficient and effective logistical,
administrative and financial support to the
T/CWTT and T/CWB.
 Submit WaSH plan and budget for the city council
for approval
44
4.4.1.2
Town/City Water Board (T/CWB)
Composition:
Role:
The T/CWB is established as per

regional proclamations and Plans and manages the water supply and sewerage service
functions as the board of activities in the town/city as per the proclamation of its
management for town/city establishment.
water supply and sewerage
(liquid waste management) Responsibilities:
services. It will have duties and responsibilities provided by the
regional proclamations:
This may include:
 Review, endorse and submit the town’s water supply and
In most instances, the Utility sewerage utility strategic and annual plans and budget to
Manager is a member of the the WaSH steering committee through the T/CWTT
Board and serves as Board
Secretary  Review, endorse and submit the town’s water supply and
sewerage utility physical and financial reports to the
WaSH steering committee through the T/CWTT
 Ensures the town’s water supply and sewerage utility
strategic and annual plans are integrated to the overall
WaSH plan of the town
 Ensures the town’s water supply and sewerage utility
reports are integrated to the overall WaSH report of the
town
 Applies for grants and loans for improvement of the
town’s water supply and sewerage services
 Actively participates in the technical assistance provided
for the preparation of project proposal and capacity
building particularly in the improvement of water supply
and/or liquid waste management services
 Reports in case of loan to WRDF on improvement of
water supply and/or liquid waste management services
implementation
 Monitor and evaluate town’s water supply and sewerage
utility plan implementation and take measures to
improve the performance
Serves as a member of the T/CWTT
Accountable to the pertinent authority as per the regional
proclamation of its establishment
45
4.4.1.3
Town/City WaSH Technical Team (T/CWTT)
Composition:
Role:
Oversight and coordinate the overall WaSH activities in the
The T/CWTT is established by
town with due focus on WaSH activities in low income
the town/city administration or
areas.
town/city WaSH steering
committee and consists of
Duties & Responsibilities:
mainly representative from the
town/city administration  Ensures WaSH is properly promoted and advocated in
(municipality), the Water Board, the town,
Town’s Finance and Economic  Prepares strategic and annual consolidated WaSH plan
Development, utility for WSS, and budget of the town and submit to the town/city
health and education desk WaSH Steering Committee
personnel. Chairman is
 Consolidate and submit town’s WaSH physical and
designated by the establishing
financial reports quarterly and annually to the WaSH
authority
steering committee,
 Monitor and evaluate physical and financial
implementation status of WaSH activities in the town
and provide recommendation for improvement,
 Ensures WaSH activities are integrated and harmonized
in the town,
 Promote and facilitate networks among WaSH actors in
the town and outside and search for funds for WaSH
financing,
 Assesses the extent and kind of need in terms WaSH in
low-income areas, health and schools and facilitate
provision of required assistance.
 Identifies low-income Kebeles in the town.
 Facilitates the flow of funds in support of WaSH
operation in low-income areas, health and school
institutions.
 Provide guidance and technical assistance to the Sub
city or Kebele Development Committee or Kebele WaSH
Team.
 Monitors the overall WaSH implementation in low-
income areas, schools and health institutions.
Accountable to the WaSH Steering Committee
46
4.4.1.4
Water Supply and Sewerage Utilities (WSSU)
Composition:
Role:
Provides clear and adequate water service to the
The WSSU is an existing institution
residents, institutions and commercial centres using the
that is responsible for the day-to-
revenue it generates from different sources.
day operation and management of
water supply systems and liquid Manages and regulates liquid waste generated in the
waste management systems. town/city by residents, institutions and commercial
. centres.
Responsibilities:
 Operates, maintains and manages day-to-day water

supply systems and liquid waste management
systems.
 Provides water supply and sewerage services to
residents, commercial and institutional centres.
 Collects and manages as per the tariff, tariff and
other revenues of water and sewerage services
 Produces and reports to the T/CWB on the
performance.
 Responsible for the overall technical,
commercial/customer service and financial and
administrative aspects of the utility.
 Contracts and manages consultants, contractors and
suppliers for the improvement of water supply
and/or liquid waste management services.
Accountable to the Water Board
47
4.4.1.5
Sub City WaSH Team and/or Kebele WaSH Team or KDC
.
Composition:
Role:
The Sc/KDC is an existing

institution that will be engaged in Plan and manage the WaSH activities in a sub-city/Kebele
WaSH activities that would takes with due focus on WaSH activities in low-income areas,
place in its respective Sub-city or school and health institutions.
Kebele. If such institution is not
available in a sub-city/Kebele, Sub-
city or Kebele WaSH Team is Duties & Responsibilities:
established.
Composition:
 Representative of Kebele  Identify communities that would benefit from low-
administration, income areas intervention.
 Health Extension Worker,  Identify intervention in school and health institutions
 School community and low-income communities.
members,  Management of construction of communal toilets
 Representatives of youth and public showers
and women associations  Engage in promotion of hygiene promotion in its
 etc respective Sub-city/Kebele.
 Inform and provide assistance to beneficiary
communities through procurement of CFTs.
 Monitors the WaSH implementation in low-income
areas, health and institutions.
Accountable to the Town/City WaSH Technical Team
The Ethiopian Water Resources Development Strategy stipulates ensuring transparency, fairness,
responsibility and accountability in the utilization and management of the Water Supply and Sanitation
funds through consumers’’ council for urban water supplies. Thus, in addition to the above mentioned
formal urban WaSH organizational structures, consumers’ (customers’) council or forum has to be
established and supported to serve as a link between the service provider and the service recipient (the
people). Meetings of such forums could be organized once or twice in a year. The forums could serve as
a platform for discussion on the need, role and responsibilities of the customers and the service
provider. As well it will serve as a platform for performance evaluation of the service provider. T/CWTT
will prepare the detail regarding the forum and get approved by T/CWSC.
48
5 Section 5: Rural WaSH Program

5.1 Introduction
In the Rural WaSH Program community members - in their households, schools and health posts:
increase their use of safe water
 upgrade and use their sanitation facilities
 adopt healthier hygiene behaviours
Communities:
 plan and manage their own WaSH activities
 contribute cash, labour, and materials to improve their WaSH facilities
 measure their own performance and evaluate what they are achieving
 work to sustain and expand what they have accomplished.
This section of the WaSH Implementation Framework outlines:
Alternatives for funding and managing community WaSH projects
Structures at the woreda, Kebele and community levels to promote and support WaSH activity
Steps in WaSH planning
Phases in implementing the WaSH Program Cycle
5.2 Alternatives
The full Rural WaSH Program, as noted above, involves a wide range of ongoing community activities to
increase access to safe water, to upgrade and increase the use of sanitation facilities and to improve
hygiene practices. Thus, in principle, based on the water resources management policy and strategy
objectives, all rural WaSH interventions are anticipated to be community managed (CMP) including
finance and procurement. Government Implementing Agencies at region, zone and woreda levels and
the community will be encouraged and capacitated towards this goal. However, currently capacity at
community and woreda levels and absence of properly established and tested community financing
mechanism through the government financial system will be the limitations to consider CMP as the sole
financing mechanism from CWA for rural WaSH. Thus, in parallel working on establishing proven system
of community financing through the government financial system, Woreda Managed Project (including
region managed projects) on behalf of the community will be the alternative option for rural WaSH
implementation along with the CMP through financial management of MFIs which evolved from CDF
financing mechanism as discussed in the above sections.
49
Accordingly, there will be four alternative modalities for financing and managing water point and
institutional (school) sanitation projects in the WaSH program:
 Community Managed Projects (CMPs)
 Woreda Managed Projects (WMPs) including regional managed projects on behalf of the WWT
 NGO Managed Projects (NGO-MPs)
 Self-Supply Projects (SSPs)
These project modalities are briefly outlined below.
5.2.1 Community Managed Projects (CMPs)
In the CMP, the representative of the user-group (WASHCO or Institutional WaSH Committee) – i.e. the
Community is the Project Manager. Allocated funds are transferred to a special CMP account through a
financial intermediary (e.g. micro-finance institution) with WWT authorization, are withdrawn by
community signatories for approved expenditures on water point construction/upgrading. The WASHCO
is directly responsible for contracting, procurement, quality control and financial accountability – to the
community and to the Kebele and Woreda Administrations. There is no hand-over. The user-community
“owns” the project from the beginning. CMP funding mechanism can also include community financing
mechanism through the government financial system once properly and successfully tested.
The fund flow (disbursement, settlement and replenishment) mechanism to the community through the
government financial system is also the other option for community financing in CMP which requires
developing and testing.
The CMP/WMP financing mechanisms are illustrated in the figure 3 below.
Figure 3: CMP/WMP financing mechanisms
Regional Consolidated
WaSH Account
CMP investment WMP account & CMP

account CB account
This still to be tested
MFI (Financial GoE finance GoE finance

intermediary) office office
Artisans Suppliers
WASHCO WASHCO
Handed over to
WASHCO
Artisans Suppliers Artisans Suppliers
5.2.2 Woreda Managed Projects (WMPs)
The distinguishing feature of WMPs is that the woreda (WWT) retains responsibility for administering
the funds that are allocated to a Kebele (community) through a Grant Agreement for capital
50
expenditures on water supply or sanitation. Although the Kebele Administration, WASHCOs and
institutional WaSH committees are directly involved in project planning, implementation, monitoring
and signing-off the project, the WWT is the Project Manager and is responsible for contracting,
procurement, quality control and hand-over to the community.
The constructions of WaSH facilities are supervised by relevant experts from the relevant office to
monitor cost and ensure quality and sustainability.
5.2.3 NGO Managed Projects (NGO-MPs)
Non-Governmental Organizations are major stakeholders in the National WaSH Program as donors,
implementers and innovators. Their funding and project management arrangements with communities
vary considerably. However, in concert with national WaSH principles and practices, they foster
community initiative, develop community leadership and require community investment in water point
projects. In some instances, the supporting NGO administers external resources on behalf of the
community (as in WMPs). In other instances, they make external resources available to the community
directly or through a micro-finance institution16, for user-group project management (as in CMPs).
NGOs have flexibility and are able to pioneer other possibilities for increasing community initiative,
ownership and accountability.
5.2.4 Self-Supply Projects (SSP)
Increasingly, householders and community groups are constructing and maintaining their own water
supply systems and sanitation facilities out of their own resources. These projects are “off-budget”.
They are, however:
 documented in the WaSH Inventory
 integral to Kebele/woreda WaSH plans and outputs
 supported by WaSH training and technical assistance
5.3 Woreda WaSH Organization

The Woreda WaSH Structure
In order to successfully implement WaSH at woreda level as indicated in the woreda structures, WaSH
has been fully integrated into the sector process streams.
16
NGOs may participate in a government-MFI arrangement – or establish a separate arrangement.
51
Figure 4. Woreda WaSH structure
Woreda Cabinet = WaSH Steering Committee
Water Health
Desk Desk
Woreda WaSH Team

&
WaSH Coordinator
(CMP Supervisor) Education
WoFED
Desk
Women’s Rural Dev.

Affairs Desk
NGOs (on
invitation)
The Woreda Cabinet

The Woreda Cabinet effectively functions as the Woreda WaSH steering committee. Its main function is
oversight and guidance of the Woreda WaSH program. Its responsibilities include but not limited to:
 defining WaSH priorities and objectives for the woreda
 establishing the Woreda WaSH Team
 approving WaSH plans and budgets
 confirming fund transfer arrangements with Woreda Finance Office or local Micro Finance
Institution
 receiving, approving and forwarding WaSH reports
 requesting/receiving WaSH funds
 conducts regular performance review of the WWT and its member offices and the program
implementation in the Woreda
 advocates the WaSH Program
 ensures that the WaSH strategic and annual plan and budget is approved by the Woreda council
The Woreda WaSH Team:17
The Woreda WaSH Team is established by, and reports to, the Woreda Cabinet. The Team is made up of
representatives of relevant woreda offices – including Water, Health, Education, WoFED, Rural
Development, and Women’s Affairs. Woreda-based NGOs that are engaged in WaSH activities are asked
to provide a representative to serve in the Team on invitation basis.
17
For a more detailed description of WTT responsibilities see Section 3
52
The Woreda Administrator officially appoints members to the WWT by letter and provides a written
description of the roles and responsibilities of each participating office.
The WWT meets at least monthly under the chairmanship of the Woreda Administrator (or his
designate) to:
 plan and coordinate activities
 assess progress against plans and budget
 complete Grant Agreements of Community Financing Agreements
 approve WaSH project applications, request replenishments and authorize withdrawals
 resolve difficulties being encountered in program implementation
Quarterly the WWT:
 prepares and submits physical and financial reports
 requests WaSH account replenishment
If a need arises, a full time WaSH Coordinator is engaged by WWT on a contract basis to manage the
day-to-day implementation of the WaSH program.
The Woreda WaSH Coordinator
Given the frequent turn-over in woreda personnel (and therefore in WWT membership) the role of the
Woreda WASH Coordinator is important. The Coordinator reports to the Woreda Administrator and/or
to WWT and is responsible for:
Generally -
 Coordinating the implementation of the WaSH Program Cycle
Specifically -
 convening regular meetings of the WWT (no less than monthly) under the authority of the
Woreda Administrator
 coordinating the preparation of Woreda Strategic and Annual WaSH Plans
 managing the annual WaSH Inventory throughout the woreda
 managing and maintaining the woreda WaSH database
 facilitating review of Kebele WaSH plans and Kebele WaSH reports
 preparing and administering Kebele Grant Agreements
 facilitating CMP procedures18;
 coordinating the preparation, analysis and submission of quarterly WaSH financial & physical
reports
 maintaining liaison with NGO partners
 working with private sector partners to establish supply chains and other services
 expediting WaSH procurement (through the Woreda Procurement Committee for WMPs) and in
support of CMP and Self Supply procurement
18
These procedures are outlined….. In some woredas this facilitating function may be assigned to a CMP Supervisor.
53
 administering the WaSH Monitoring & Evaluation system

 coordinating the selection, training, deployment and oversight of WaSH service providers –
governmental and private sector
5.4 Woreda WaSH Planning & Management

5.4.1 WaSH Planning
The WWT prepares:

 WaSH Strategic Plan
The Strategic Plan sets out woreda strategies, targets and schedules for achieving WaSH coverage over a
5 year period.
 WaSH Annual Plan - and budget
The Annual WaSH Plan sets out the specific activities, outputs and expenditures for the year ahead.
There is only ONE woreda Annual WaSH Plan and ONE woreda WaSH Budget.
The Annual WaSH Plan incorporates the planned WaSH activities, investments and targets of all WaSH
implementers – including other government programs, such as the Productive Safety Net Program, and
the programs of NGOs that are active in the sector.
The Woreda WaSH Budget includes all funds coming to, or allocated by, the Woreda Administration for
WaSH activities.
NGO funds committed to WaSH activities are not part of the official woreda WaSH accounting system.
However, they are reported, recorded and recognized as civil society’s contribution to the composite
WaSH budget19.
WaSH plans and budgets are approved by the Woreda Council and constitute a component of the
official Woreda Development Plan.
5.4.2 WaSH Management
In addition to planning the WWT has a number of ongoing management functions for which the entire
team is responsible. They include:
Information Management
 Maintaining a WaSH inventory through annual updates
 Ensuring information flow among stakeholders
 Advocating and promoting WaSH – especially Self Supply
 Advocating and promoting CLTSH
Human Resource Management
 Selecting, training, contracting, deploying and supervising WaSH service providers – especially in
support of local and low-cost technologies
 Selecting, motivating, and supporting WaSH volunteers
19
See Section 9
54
Materials Management
 Procuring goods for water point and institutional latrine construction and hand washing facilities
– as may be required
 Identifying and sourcing local materials for low-cost construction
 Building a viable supply chain
Financial Management
 Preparing and controlling budgets
 Reporting financial transactions and status of accounts
 Overseeing community contributions – rates, compliance and security
 Overseeing funding for CMP
Quality Management
 Setting and applying standards – e.g. construction, water quality, catchments area protection,
sanitary surveillance – e.g. Open Defecation Free status
 Monitoring and evaluating
 Reporting results
Capacity Development20
 Capacity needs assessment
 Planning and implementing training activities
Specific Assignments
In the Annual WaSH Plan the WWT assigns specific program activities and outputs to each of the
member offices (i.e. Health, Education, Water etc). These activities and outputs are not additional to the
regular responsibilities of the sector offices – but are integral to them. WaSH assignments are
documented in the annual plans of each of the member offices. Performance Reviews of individual
WWT members will take into account the quality of their participation on the Team and the extent of
their contribution to WWT outputs.
NGOs
 One WaSH Plan
Water
 One WaSH Budget
 One WaSH Report
SafetyNet
ONE
- Common Agenda
Health - Specific Assignments
- Shared Responsibility
Education
20
Some woredas have available the services of WSAs that have a major role in training and capacity development of community of
implementers and service providers. WWTs, along with regional authorities, ensure that the WSAs work is well planned and executed and is
effective. Where and when WSAs are not available the WTT is directly responsible for WASH staff development and for the delivery of training
and capacity-building at the Kebele/community level.
55
The table below gives examples of specific assignments to WaSH member offices.
Table 3: Member Office WaSH Assignments
Member Office Example Assignments
Water  Provide support for planning and construction of community water systems
Resources
 Provide technical advice on the construction of school water facilities
 Promote and provide training and technical assistance for self-supply (water)
 Train area mechanics, technical service providers and community caretakers
 Help to establish systems for repairs and the supply of spares
 Assembles data from Kebeles to prepare Woreda WaSH database (Inventory)
Health  Plan and lead Community Led Total Hygiene & Sanitation (CLTSH)
 Organise the construction of demonstration latrines in health posts
 Facilitate hygiene and sanitation promotion/education in communities
 Promote and provide training and technical assistance for self-supply (sanitation)
 Provide advice/support for H&S promotion/education in the schools
Education  Organise the construction of water and sanitation facilities in schools
 Provide WaSH training for school directors, teachers, Parent Associations
 Provide classroom WaSH instruction and establish school WaSH clubs
 Promote hygiene in Mini Media
Rural  Facilitate PSNP inputs to WaSH in concert with the Water Desk
Development
 Support self-supply - household H&S promotion and latrine construction
 Participate in the monitoring of H&S behaviour change
 Provide technical support for latrine construction
 Facilitate Kebele WaSH planning
Women’s  Promote the full involvement of women (and men) in the planning, implementation,
Affairs decision-making and training on WaSH
 Foster gender responsive planning, implementation, and monitoring
Finance and  Coordinate production of woreda WaSH budget
Economic
 Allocate funds for different activities according to the budget
Development
 Account for the funds spent
 Ensure integrated implementation of WaSH
5.5 Implementation – the WaSH Cycle

5.5.1 Woreda Preparation
As may be required and requested the Region supports Woreda Preparation by providing training to
Woreda through regional level specialists. For the preparations Woreda may hire a Woreda Support
Agent (WSA)21 and/or other regional-level expertise. This preparatory phase includes:
21
The term Woreda Support Agency includes WSAs as well as NGOs, consultants or other agencies that may be contracted by Woreda to supply
services to the WWT.
56
Orientation & Advocacy – a series of meetings to familiarize cabinet members, other woreda leaders
and administrative staff with the principles, objectives, scope and nature of the WaSH program –
including CMP if the woreda has been selected for Community Managed Projects - and to advocate for
WaSH and build consensus for support.
Stakeholder Analysis – a pre-planning exercise to determine who the major woreda WaSH stakeholders
are, what their stake in the program is, what results/benefits they might expect, what contributions they
could make, and how the program might be adversely affected if that contribution is missing?
Resource Mapping - a pre-planning exercise to determine what financial and other resources might be
available from all sources to support the WaSH program in the woreda. This will include negotiations
with regional authorities (on allocations and possible Productive Safety Net Program investments) and
consultations with woreda-based NGOs on anticipated WaSH inputs over the 5-year strategic planning
period.
Inventory Analysis – a study of woreda-based data from the National WaSH Inventory to: a) determine
the woreda’s “starting point” toward achieving WaSH targets within the GTP and b) establish priorities
on the basis of need.
Strategic Planning - the preparation of a 5-year plan (based on the above analysis) that sets out woreda
strategies, targets and schedules for achieving WaSH objectives over the longer term and provides the
context for annual planning.
Annual WaSH Planning – the preparation of an Annual WaSH Plan that will include:
o Assigned Activities, Tasks, and Output Chart
o Activities Schedule and Milestones
o Budget
o Procurement Plan
o Capacity Development Plan
o Monitoring Framework
o Reporting
o Framework
Staff Preparation – the orientation, training and equipping with tools and materials of all woreda staff
who will manage/implement any aspect of the woreda WaSH program.
57
5.5.2 Kebele WaSH
5.5.2.1 Overview
The Kebele is where Rural WaSH happens.

All WaSH policies, strategies, structures and resources at national, regional and woreda levels exist to
foster and support WaSH activity in the community and in the household
Kebele WaSH has a three-fold purpose:
1. to increase access to, and use of, safe water supply
2. to improve the quality and use of sanitation and hand washing facilities
3. to bring about positive change in hygiene behaviour – household water treatment and safe
storage
Kebele WaSH focuses on:
 User Groups – generally gotts or sub-gotts that organize primarily to construct or improve
communal water points and household or public latrines
 Institutions – including schools and health posts that organize to improve water and
sanitation facilities and to carry out related educational and awareness building activities
 Households – where positive change in hygiene behaviour is crucial; and where potential
lies for self-supply of safe water and improved sanitation
Currently, WaSH policy provides for:
 Subsidies to User Groups for approved water scheme construction – but not for sanitation
facilities;
 Subsidies to Institutions for approved water scheme and/or sanitation facilities construction.
 Support for planning, triggering and post-triggering follow up of CLTSH
These subsidies may be administered as:
i. Woreda Managed Projects (WMPs)
ii. Community Managed Projects (CMPs)
iii. NGO Managed Projects (NGO-MPs)
Subsidies are not provided for household Self-Supply water points or sanitation facilities.
Training and technical assistance is provided by the WWT to support all Kebele WaSH activity.
58
Figure 5: Kebele WaSH intervention structure
Kebele administration
Kebele Development Kebele WaSH Team

Committee
One Kebele WaSH Plan
1. 2.
User-Group WaSH Institutional WaSH
School Other
Health
Gotts post/centre
 Safe Water Supply (Subsidized) 3.  Safe Water Supply (Subsidized)

Household WaSH
 Improved Sanitation Facilities  Improved Sanitation Facilities
(Not subsidized) (Subsidized)
 Community-Led Total Hygiene &  Education, Awareness, Modelling

Sanitation (CLTSH)  Community-Led Total Hygiene &
Sanitation (CLTSH)
 Community-Led Total Hygiene

& Sanitation (CLTSH)
 Self-supply water-sanitation
(Not subsidized)
5.5.2.2 Kebele Preparation
Kebele Orientation & Promotion – The WWT organizes orientation/ promotion sessions providing the
Kebele Administrator and Manager and Kebele stakeholders (HEWs, DAs, teachers, community elders
and community volunteers) with information on the WaSH program – its opportunities and
requirements. Optionally or additionally the woreda may contract the services of Community Facilitators
(CFs) to help facilitate the process.
59
Kebele Organization – The Kebele Administration establishes a Kebele WaSH Team22 (KWT) to
coordinate planning and implementation of the Kebele program and to report on the status of WaSH on
the basis of the annual inventory. The Kebele Administration may assign the KWT responsibility to an
existing Kebele organization such as a Health Committee. The health, water and development extension
workers essentially constitute the Kebele WaSH Team.
WaSH Proposals – The gotts, schools and health centers in the Kebele, with the help of Health Extension
Workers and Development Agents together with Women’s Development Armies, prepare and submit
proposals23 for WaSH activities and investments24 for the year ahead. Proposals include not only
projected communal activities but also projected household self-supply activities (water supply,
sanitation and hand washing facilities construction or upgrading and achievement of ODF status). These
are critical data since they present the full scope of WaSH plans/targets and have a direct impact on
WWT budget and training plans.
Kebele WaSH Plan - on the basis of proposals submitted the KWT proposes a Kebele WaSH Plan to the
Kebele Administration for a) approval; b) inclusion in the Kebele Development Plan; c) submission to the
WWT.
In each Kebele there is one overall Kebele WaSH Plan, approved by the WWT and coordinated
by a Kebele WaSH Team or some other body assigned with that responsibility.
All Kebele WaSH Plans make provision for:
 promotion and use of improved sanitation and hand washing facilities
 positive changes in hygiene behaviour – (Household Water Treatment and Safe Storage
(HWTSS)
 improved access to and/or maintenance of safe water supply
Note: Not all annual Kebele WASH Plans will include subsidized capital
investments for the construction of water/sanitation facilities. In any
given year such investments may not be required – or available.
Appraisal of Kebele Plans – The WWT assesses proposed Kebele WaSH Plans on the basis of need,
balance25, viability and affordability within the framework of the Woreda Strategic Plan and projected
allocations. The WWT validates proposals with the Kebele and negotiates an acceptable number of
activities, depending on the funds available.
Subsidy Agreements – When construction subsidies are included in an annual Kebele WaSH Plan a
decision26 is required as to whether the subsidy will be extended as:
 a grant to the Kebele administered by the woreda (WMP)
 a transfer of funds to the project holder – e.g. WASHCO (CMP)
 contribution from an NGO (NGO-MP)
22
The Kebele Administration may mandate an existing committee or community organization (such as a Kebele health committee or a school
parents’ group) to take the lead.
23
The NWCO will provide a proposal form with guidelines for completion.
24
Capital investments will not be possible in all kebeles every year. The WWT will advise kebeles in advance on the availability of funds for
rehabilitation and/or construction.
25
Integration of water supply, hygiene and sanitation and servicing of school and health centre requirements.
26
Criteria and procedures for making this decision or set out in……….
60
The WMP modality requires the signing of a Grant Agreement between the Kebele Administration and
the WWT. CMP modality requires Financing Agreements signed between the WWT and the project
holders. The third modality requires a Letter of Agreement between the NGO, the WWT and the Kebele
Administration.
In all modalities subsidies are dependent upon up-front community contributions in cash, labour, and/or
in-kind contribution of no less than 15% of the estimated capital cost of the project. Exception to this
may be made in the case of projects supported through the Productive Safety Net Program. In CMP
projects Woreda has the authority to decide up-front cash contribution amount (usually from 1,000-
3,000 Birr/project) to ensure full priority and ownership from the community.
Capacity Development – The WWT trains and deploys field workers to assist kebeles/communities
organize, mobilize their resources and develop the skills required to successfully implement their plans.
WaSH field workers include the Artisans, Health Extension Workers, Water Extension Workers27 and
Development Agents already living in the target Kebele – and, in some instances, Community Facilitators
(CFs) contracted by the woreda to provide additional support.28 All field workers are trained for
responsibilities that are specific to the WaSH program. Training is provided by Woreda personnel and/or
by a Woreda Support Agent (WSA) contracted by the WWT or in some cases RWTT on behalf of one or
several woredas.
5.5.2.3 Kebele WaSH Implementation in Community Led Total Sanitation & Hygiene (CLTSH):
Planning Phase
 Health Desk leads rapid assessment of H&S situation and drafts CLTSH plan for the woreda
 Supervisors, HEWs, WEWs and DAs are trained and deployed for data collection;
 WWT analyses baseline data
 WWT conducts stakeholders’ meeting to share information/analysis and gain commitment to
CLTSH
 Health Desk further develops CLTSH plan and budget and submits for inclusion in Woreda WaSH
Plan
Implementation Phase
 HEWs, WEWs & DAs conduct commitment building & planning meeting with Kebele WaSH
Team, NGOs, and latrine artisans
 HEWs, WEWs & DAs facilitate selection and training of Community Health Promoters (CHPs)
 HEWs, WEWs, DAs, and CHPs meet with community leaders to plan CLTSH ignition
 HEWs, DAs, and CHPs facilitate ignition process, using community, small group meetings, and
participatory CLTSH tools to build commitment to faeces free community
 CHPs, supported by HEWs, WEWs and DAs, conduct household/institution visits to negotiate do-
able H&S behaviours
 HEWs show CHPs and gott leaders how to construct latrines with Hand Wash (HW) facilities and
attain ODF status
27
WEWs will not be available to every Kebele but will be deployed to in kebeles where substantial Self-Supply activities
28
CFT’s will be deployed to Kebele/communities with approved plans for capital expenditures.
61
 Each community/institution, with the support of HEWs, WEWs, DAs, & CHPs, develops its CLTSH
plan with monitoring indicators.
 Reports on the behaviour change indicators in the Annual WaSH inventory submitted to the
Woreda
5.5.2.4 User Group WaSH and Institutional WaSH
User Group WaSH and Institutional WaSH are presented in the table below with comparison between
the WMP and CMP processes.
62
USER GROUP WaSH
Kebele Administration and WWT determine which modality will be used in the Kebele for financing and managing WaSH construction projects - WMP or CMP. The detail
description hereunder discussed CMP financing mechanism to the community through MFI only. If any other financing mechanism to the community through the
government financial system is developed and tested it will be then incorporated into this framework.
Preparation Phase
o KWT informs community about WaSH program and invites members to participate and make proposals.
o User Groups (existing or potential) indicate interest and may request assistance to form or strengthen their WASHCO and prepare a WaSH Plan.
29
o WWT selects, hires , and arranges training of field workers (FWs) to facilitate community (WASHCO) planning
o WASHCO and the User Group members prepare a WaSH Action Plan to:
- improve their access to safe water
- upgrade and increase their use of sanitation and hand washing facilities
- achieve total behaviour change in hygiene and sanitation
30
If the User Group WaSH Plan includes a Water Point construction project………………………..
Woreda Managed Project Community Managed Project

Preparatory Phase Preparatory Phase
o WASHCO, with and on behalf of, the User Group prepares and submits a o WASHCO with, and on behalf of, the User Group prepares and submits a
Facilities Management Plan (FMP) to the KWT that includes technology choice, preliminary CMP Application to the KWT that includes technology choice,
proposed siting, estimated costs, community contribution, tariff and O&M proposed siting, estimated costs, community contribution, tariff and O&M
arrangements. arrangements.
o WASHCO raises community contribution to capital costs – cash and in-kind o WASHCO raises community contribution to capital costs – cash and in-kind
equivalent to no less than 15% of estimated investment required – and deposits equivalent to no less than 15% of estimated investment required – and
29
Some woredas may choose to contract Community Facilitation Teams
30
Construction may include well re-location or rehabilitation as well as new well construction.
63
cash contribution in a WASHCO account opened either in Bank or in MFI Sub- deposits cash contribution in a WASHCO savings account opened in MFI sub
branch branch
o KWT reviews the User Group’s proposal, among others, and drafts a Kebele o KWT reviews the User Group’s application, among others, and drafts a Kebele
WaSH Plan incorporating FMPs and reflecting other needs and interests of the WaSH Plan incorporating CMP applications and reflecting other needs and
whole community – User Groups, Schools and Health Posts and Householders interests of the whole community – User Groups, Schools and Health Posts and
o Kebele Administration reviews and validates the draft Kebele WaSH Plan and Householders
forwards it to the WWT for initial approval and inclusion in the draft Woreda o Kebele Administration reviews and validates the draft Kebele WaSH Plan and
WaSH Plan. forwards it to the WWT for initial approval and inclusion in the draft Woreda
o The WWT trains adequate number of artisans before implementation phase to WaSH Plan.
provide construction support to communities o The WWT undertakes desk and field appraisals of each CMP Applications.
Subject to final Woreda approval of the Kebele WaSH Plan… o The WWT trains adequate number of artisans before implementation phase to
provide construction support to communities
 the Kebele Administration signs Grant Agreement with WWT
Subject to final Woreda approval of the Kebele WaSH Plan and positive appraisal
 WWT reviews the FMPs in the Kebele WaSH Plan and verifies each with a
of User Group’s Application….
site visit.
 The WASHCO signs a Funding Agreement with the WWT
Subject to approval the WASHCO FMP…
 Based on a letter from the WWT the WASHCO will open a special Project
 the WASHCO, Kebele Administration & the WWT sign a tri-partite Project Account with the FMI sub branch into which the MFI will deposit the
Agreement. investment funds
 The WWT authorizes WASHCO withdrawals from the CMP account based
on an approved Implementation Plan.
Implementation Phase Implementation Phase

31 33
o Community Facilitators (CFs) and Water Extension Workers (WEWs) continue o WWT, Community Facilitators (CFs) and Water Extension Workers (WEWs)
to train WASHCO for project management under WMP protocols - and for continue to train the WASHCO for project management under CMP protocols -
subsequent O&M responsibilities and for subsequent O&M responsibilities
32 34
o The WWT (or RWTT) secures services of artisans/contractors for construction o The WASHCO secures services of artisans/contractors for construction and
35
and procures necessary tools and equipment, such as hand pumps, as well as procures necessary tools and equipment, such as hand pumps, as well as
building materials not supplied by the community. building materials not supplied by the community.
31
Community Facilitators may be contracted from the private sector, drawn from woreda/Kebele personnel or assigned by an NGO
64
o WASHCOs assemble local materials and mobilize community labour and services o WASHCOs assemble local materials and mobilize community labour and
(e.g. site clearance, equipment storage) in accordance with terms of the Project services (e.g. site clearance, equipment storage) in accordance with terms of
Agreement. the Implementation Plan.
o Contractors/artisans construct – WWT and the sector offices supervise and o Contractors/artisans construct, in collaboration with, and under the
WASHCO monitors. supervision of, the WASHCO – WWT and the sector offices provide back-up
o Caretakers, selected by the WASHCO, are trained for preventive maintenance technical assistance and is responsible for quality control.
and minor repairs by contractors/artisans and/or woreda personnel o Caretakers, selected by the WASHCO, are trained for preventive maintenance
o Contractors/artisans collect and send water samples to MoH laboratory for and minor repairs by contractors/artisans and/or woreda personnel
quality testing and analysis. o Contractors/artisans collect and send water samples to MoH laboratory for
o WASHCO and WWT “sign off” on completed work and authorize final payments. quality testing and analysis
o Woreda Administration, the sector offices and WWT “handover” the completed o WASHCO fully accounts for funds withdrawn from the CMP account - providing
project to the User Group. the WWT with original receipts for authorized expenditures
o WASHCO “signs off” on completed work, make final payments and with WWT
concurrence closes the CMP account at project end
o No “handover” is required as WASHCO has been the “owner” throughout the
process
o Woreda Administration and sector offices and WWT members participate in
the completion ceremony organized and financed by WASHCO. In this
ceremony Public Audit is conducted by the community.
36
Post Implementation Phase Post Implementation Phase
(Not subsidized) (Not subsidized)
a) Financial Management a) Financial Management
32
The Region may procure goods and services on behalf of the woreda to achieve economy of scale or provide expertise not locally available
33
34
Under CMP a WASHCO may contract out procurement services and/or request the WWT to undertake specific procurement/storage/transportation tasks on their behalf.
35
The WTT lends molds and some specialized construction equipment available to the WASHCO
36
KWT and WWT shall conduct update WaSH inventory and involve WASHCO into the inventry
65
 WASHCO continues to collect tariffs and manage funds  WASHCO continues to collect tariffs and manage funds
b) O&M Management b) O&M Management
 WASHCO carries out preventive and corrective O&M including the purchase  WASHCO carries out preventive and corrective O&M including the
of spare parts payment for major repairs purchase of spare parts payment for major repairs
c) Water resource protecition c) Water reseource protection
 Community carries out protection of the water reseource  Community carries out protection of the water resource
d) Water safety planning d) Water safety planning
 WASHCO prepares WSP and implements it accordingly  WASHCO prepares WSP and implements it accordingly
 WASHCO carries out sanitary surveys  WASHCO carries out sanitary surveys
e) Household and personal hygiene e) Household and personal hygiene
 Improvement of latrines  Improvement of latrines
 Personal hygiene promotion  Personal hygiene promotion
 Household water and waste water and solid waste management  Household water and waste water and solid waste management
 Safe water storage  Safe water storage
f) Nutrition and income generation f) Nutrition and income generation
 WASHCO promotes improved nutritional habits and household level income  WASHCO promotes improved nutritional habits and household level
generation income generation
 WASHCO plans, finances and implements projects on Multiple use of water  WASHCO plans, finances and implements projects on Multiple use of water
66
INSTITUTIONAL WaSH
(Health Posts, Health Centres & Schools)
Kebele Administration and WWT determine which modality will be used in the Kebele for financing and managing WaSH construction projects - WMP or CMP. The
detail description hereunder discussed CMP financing mechanism to the community through MFI only. If any other financing mechanism to the community through the
government financial system is developed and tested it will be then incorporated into this framework.
Preparation Phase
o KWT informs community about WaSH program and invites members to participate and make proposals
o Health and Education Institutions form WaSH Committees and may request WWT assistance in organizing and planning for WaSH activities
37
o WWT selects, hires , and arranges training of field workers (FWs) to provide this support
o The WaSH Committees prepare a WaSH Action Plan to:
- improve their access to safe water
- upgrade and increase their use of sanitation and hand washing facilities
- achieve total behaviour change in hygiene and sanitation within their respective Institutions.
38
If the Institution’s WaSH Plan includes a Water Point and/or Sanitation Facilities construction project
Woreda Managed Project Community Managed Project

Preparatory Phase Preparatory Phase
o The WaSH Committee (WC), drafts a preliminary Facilities Management Plan o The WC drafts a preliminary CMP Application that includes technology choice,
that includes technology choice, proposed siting, estimated costs, institutional proposed siting, estimated costs, institutional contribution, tariff and O&M
contribution, tariff and O&M arrangements. arrangements
37
Some woredas may choose to contract Community Facilitation Teams
38
Construction may include well re-location or rehabilitation as well as new well construction.
67
o The draft FMP is reviewed by the Institution’s governing body and if approved o The WC raises the Institution’s contribution to capital costs – cash and in-kind
o The draft is submitted to the KWT equivalent to no less than 15% of estimated investment required – and deposits
cash portion into Institutional savings account with the pertinent MFI sub
o The WC organizes the Institution’s contribution to capital costs – cash and in-
branch
kind equivalent to no less than 15% of estimated investment required – and
deposits cash portion into a special WaSH account o KWT reviews the Institution’s Application, among others, and drafts a Kebele
WaSH Plan incorporating CMP Applications and reflecting other needs and
o KWT reviews the Institution’s proposal, among others, and drafts a Kebele
interests of the whole community – other Institutions, User Groups and
WaSH Plan incorporating the Institution’s FMPs and reflecting other needs and
Householders
interests of the whole community – other Institutions, User Groups and
Householders o Kebele Administration reviews and validates the draft Kebele WaSH Plan and
forwards it to the WWT for initial approval and inclusion in the draft Woreda
o Kebele Administration reviews and validates the draft Kebele WaSH Plan and
WaSH Plan.
forwards it to the WWT for initial approval and inclusion in the draft Woreda
WaSH Plan o The WWT undertakes desk and site appraisals of each CMP Applications.
o The WWT trains artisans capable to support institutions in water supply and o The WWT trains artisans capable to support institutions in water supply and
sanitation facilities construction sanitation facilities construction
Subject to final Woreda approval of the Kebele WaSH Plan Subject to final Woreda approval of the Kebele WaSH Plan and positive appraisal
of Institution’s Application
o the Kebele Administration signs Grant Agreement with WWT
o The WC signs a Funding Agreement with the WWT
o WWT reviews the FMPs in the Kebele WaSH Plan and verifies each with a site
visit. o Based on a letter from the WWT the WC will open a special Project Account
with the MFI sub branch into which the CMP contribution is deposited
Subject to approval the Institution’s FMP…
o The WWT authorizes WC withdrawals from the CMP account based on an
o the Institution, Kebele Administration & the WWT sign a tri-partite Project approved Implementation Plan.
Agreement.
Implementation Phase Implementation Phase
39
o Community Facilitators (CFs) and Extension Workers continue to train the WC o Community Facilitators (CFs) and Extension Workers (EWs) continue to train the
for project management under WMP protocols - and for subsequent O&M WC for project management under CMP protocols - and for subsequent O&M
responsibilities responsibilities
40 41
o The WTT (or RWTT) secures services of artisans/contractors for construction o The WC secures services of artisans/contractors for construction and procures
42
and procures necessary equipment, such as hand pumps, as well as building necessary equipment, such as hand pumps, as well as building materials not
39
68
materials not otherwise supplied by the community. otherwise supplied by the community.
o The WC assembles local materials and mobilizes volunteer labour and services o WC assembles local materials and mobilizes community labour and services
(e.g. site clearance, equipment storage) in accordance with terms of the Project (e.g. site clearance, equipment storage) in accordance with terms of the
Agreement. Implementation Plan.
o Contractors/artisans construct – WWT and the sector offices supervise and the o Contractors/artisans construct – WC monitors and supervises and is responsible
WC monitors. for quality control – WWT provides back-up technical assistance.
o Caretakers, selected or recruited by the WC, are trained for preventative o Caretakers, selected or recruited by the WC, are trained for preventative
maintenance and minor repairs by contractors/artisans and/or woreda maintenance and minor repairs by contractors/artisans and/or woreda
personnel personnel
o Contractors/artisans collect and send water samples to MoH laboratory for o Contractors/artisans collect and send water samples to MoH laboratory for
quality testing and analysis. quality testing and analysis
o WC and WWT “sign off” on completed work and authorize final payments. o WC fully accounts for funds withdrawn from the CMP account - providing the
o Woreda Administration and WWT “handover” the completed project to the WWT with original receipts for authorized expenditures.
Institution. o WC “signs off” on completed work, makes final payments and, with WWT
concurrence, closes the CMP account at project end.
o No “handover” is required as Institution has been the “owner” throughout the
process.
o Woreda Administration and sector offices and WWT participate in the
completion ceremony organized and financed by WASHCO. In this ceremony
Public Audit is conducted
Post Implementation Phase Post Implementation Phase
(Not subsidized) (Not subsidized)
WC continues to manage the wider WaSH program educating, creating awareness, WC continues to manage the wider WaSH program educating, creating awareness,
training and fostering behavioural change as well as preparing and implementing training and fostering behavioural change as well as preparing and implementing
Water Safety Plan (WSP). Water Safety Plan (WSP).
40
The Region may procure goods and services on behalf of the woreda to achieve economy of scale or provide expertise not locally available
41
Under CMP a WASHCO may contact out procurement services and/or request the WWT to undertake specific procurement/storage/transportation tasks on their behalf.
42
The WWT lends molds and some specialized construction equipment available to the WASHCO
69
5.5.2.5 Self Supply
Self Supply in WaSH refers to the un-subsidised construction of a household water supply, or a water
supply shared by small number (typically 2-4) households. The technologies used vary. Water sources
include: hand dug wells; manually augered wells; and rain water harvesting using roof catchments.
Lifting devices include: rope & bucket with, or without, a windlass; simple bucket or rope and washer
pump; and, in some instances, more sophisticated diesel, electrical or solar powered pumps.
The responsibility for establishing a self-supplied water source lies with the household(s) involved.
Government involvement is limited to the provision of advice on technologies and water safety such
as:
 promoting well lining and other forms of protection
 advising householders on the risk of consuming microbial or chemically contaminated water
and on how to reduce the risk at the water source and the point of consumption
 in some instances, facilitating markets for the purchase of hardware and services
In general, the Government actively promotes the concept of Self Supply, noting these points about
quality and safety. As the investment and associated risks are borne by participating household(s), Self
Supply is unfettered by rules and regulations. The situation changes when water is sold to consumers,
however. In this case, Government policy and legislation apply in terms of licensing and water safety.
Although Self Supply projects do not draw on WaSH funds for investment they are an important and
integral part of the National WaSH program. The current status, future status and promotion of Self
Supply should be reflected in Kebele and Woreda WaSH Plans. To the extent possible, the National
WaSH Inventory captures Self Supply with results reported, recorded and tallied as achievements
toward the targets of the National WaSH Growth & Transformation Plan.
5.5.2.6 Non-Governmental Organizations as WaSH Implementers
A Non-Governmental Organizations support/implement the WaSH program in a number of Kebeles in

whole, or in part. This support is provided within the framework of the approved Woreda and Kebele
WaSH Plans. The role and responsibilities of NGOs will vary according to the project agreement signed
between the GoE and the pertinent NGO but all of their investments, activities and outputs are within
the context of the ONE WaSH Program in which they are major partners.
70
6 Pastoralist WaSH
6.1 Introduction
Pastoralists constitute more than 95% of the population in the Afar and Somali Regions. They also
represent a significant portion of the population in the Borana zone of Oromia and South Omo zone of
SNNPRS. The pastoralist areas cover about 61% of the total area of the country and represent 12-13 %
of the total population of the country, which numbers approximately 80 million in 2008.
In Ethiopia pastoralists are not fully nomadic. The elderly, children and women who are pregnant or
lactating remain in a permanent settlement. During the dry season, which lasts 3-4 months, the
stronger men and youths move out in search of water and grazing land.
The Ethiopian Government has prepared a pastoral community development policy and a department
to follow its implementation and established under the Ministry of Federal Affairs. The policy focuses
on a number of key elements related to the well-being of individuals and families as well as sustained
socio-economic development, including:
(a) Phased voluntary sedentarization along the banks of the major rivers,
(b) Community-based and integrated development with irrigation as the basis and livestock
production as the focus, complemented by access to social and public services,
(c) Promotion of integrated rural development and rural-urban link, through, amongst others, the
creation of small market centers,
(d) Reduction of vulnerability to disasters,
(e) Recognition of the clan:
 as a mobile social unit while the woreda is the static settlement,
 as the focal point of entry to introduce and foster development in pastoralist areas,
(f) Enabling environment for private sector and NGOs to play positive roles.
Strategies identified include:
 Provision of suitable social services to the pastoralists
 The expansion of infrastructure to improve livestock marketing
 Ensuring the participation and full consent of the pastoralists in government interventions
 Clan or a number of associated clans to be the entry point for any intervention
 Joint and coordinated effort of the federal and regional governments for all development
interventions
 Combining good governance and pastoral development
 Supporting the local government structure at the district level
Further, the Government’s Water Resources Management Policy and the water sector strategy treat in
a broader context the special needs of pastoral communities. The policy and the strategy give
emphasis to the inclusion of livestock water supply in every water development plan and activity in
ways and means deemed necessary. Thus, WaSH planning, implementation, operation and
maintenance and financing should have to take due consideration to include water supply for
livestock.
71
This section of the Implementation Manual concentrates on the management and implementation of
WaSH program in the pastoralist context – which includes:
 social structures at the sub-clan/village and clan/Kebele level
 extended family communities
 traditional clan leadership in administration, the judiciary and in conflict resolution43
 harsh weather/ long dry season
 livestock as the basic means of livelihood
A further feature of the current pastoralist context is the plethora of agencies and projects active in
attempting to address the specific and challenging needs of this segment of the rural population.
These include:
 Ministerial Board at Federal Level Concerned with pastoralist sustainable development
 Regional Bureaus specific to Pastoralist region (such as Regional Pastoralist and Rural
Development Bureau)
 Animal Extension Service Program
 Pastoralist Extension Health Service Program
 Alternative Basic Education Program
 Pastoralist Community Development Project based on the principles of:
- community demand driven
- participatory action learning
- decentralized risk management
- sustainable livelihood approach
The WaSH program must be adapted to effectively address the particular circumstances and
requirements of the pastoralists – and to work through, or in collaboration with, other programs active
in the area. Specifically, this means WaSH must be aligned with, and contribute to, the sustainable
livelihood approach or strategy that is common to the most successful initiatives in pastoralist
development44. WaSH will draw on the experience of other agencies – governmental and non-
governmental – and apply their lessons learned with respect to advocacy, capacity development, fund-
flow and community management.
Recent developments that support the implementation of WaSH in the pastoralist areas include:
 establishment of full-fledged woreda structures through to the Kebele level
 preparation of national hygiene and sanitation strategies and protocols
 training and deployment of Pastoral Health Extension Workers
 initiation of the Community-Led Total Sanitation (CLTS) Program
The objectives of the WaSH program in the pastoralist areas are:
 to improve access to safe water supply for domestic use including livestock;
43
Most commonly with respect to water and grazing land management
44
Pastoralist Community Development Project (PCDP) in particular
72
 to improve access to minimum standard latrine; and

 to promote hygiene practice for total community behavioral change.
To achieve these objectives pastoralist WaSH will need to be aligned with, and work through, existing
woreda, Kebele and clan structures and collaborate with, and learn from, other agencies,
organizations and projects successfully implementing development programs among pastoralist
communities – particularly with a sustainable livelihood approach.
It is expected that WaSH in the pastoralist areas will adhere to the same basic principles (see 7.3) as
WaSH in other areas of the country. However, it is also expected that each pastoralist region, woreda
and Kebele will develop implementation strategies that are appropriate to their specific needs,
circumstances and resources.
6.2 Special Features of WaSH in the Pastoralist Region

The WaSH (both rural and urban WaSH components) principles, objectives, planning, implementation,
financing, monitoring and evaluation procedures, and the institutional arrangements are substantially
the same as discussed in the respective sections of this Framework. The special features of the
pastoralist regions which require due attention in planning and implementation of WaSH in
pastoralists regions are:
 Occasional mobility of the community with their livestock,
 Provision of water supply for livestock (basic means of livelihood) along with the domestic use,
 Relatively Lower capacity at community and Woreda levels compared to the other non-
pastoralist regions,
 Federal Government’s special support to the regions,
 Clan/sub clan based community organization and community leadership,
 Government’s development effort to facilitate voluntary settlement of the community,
 Susceptibility for overgrazing in case of concentration of water points in limited areas of
grazing land,
 Relatively high investment costs of water supply infrastructures due to low accessibility,
remoteness of the regions from the center of the country and water scarcity.
Thus, the pastoralist WaSH has to take these special features into consideration. Accordingly, in
addition to what is discussed in each section, the following are to be considered for pastoralist regions:
 In the institutional arrangement, at federal level Ministry of Federal Affairs will be included in
the NWSC and NWTT on invitation basis on the discussions (planning, implementation and
M&E) of pastoralist WaSH issues
 In the institutional arrangements at region and Woreda levels pertinent government offices
responsible for the pastoralist communities will be included as members
 The WaSH intervention will consider both the mobile and non-mobile members of the pastoral
communities and their livestock
 The traditional clan community management structure will be used to mobilize the community
participation and ownership of the outputs of the WaSH intervention giving emphasis to
women empowerment
73
 In addition to CFTs for the WaSH intervention to the non-mobile pastoralist community
members, Mobile Community Facilitation Teams (MCFT) to the WaSH intervention for the
mobile members of the community will be considered at community level
 Relatively more capacity building intervention at community and Woreda levels will be
considered to enhance the existing low capacities
 The WaSH intervention will align with the government’s effort to facilitate voluntary
pastoralists’ settlement
 Improvement/upgrading of local traditional water supply schemes to ensure safe drinking
water supply and implementation of low cost technologies where they are feasible will be
given due attention for rural WaSH to cope with the higher investment costs
 As the rural pastoralist communities usually settle in the vicinity of towns to share the water
supply and other facilities of urban areas, this will be taken into consideration in urban WaSH
planning, implementation and management
 Water points for the mobile pastoralist community members and their livestock will be
constructed scattered avoiding concentration on limited grazing areas to avoid overgrazing
6.3 WaSH Program Alternatives in a Pastoralist Region

The assumption is that a woreda in a pastoralist Region may have a combination of Kebeles that
include:
 Non-pastoralist kebeles
 Pastoralist kebeles without NGO activities or livelihood projects
 Pastoralist kebeles with NGO activities and livelihood projects
In each instance the WaSH implementation strategy would vary.
6.3.1 Non-pastoralist Kebeles
The non-pastoralist Kebeles generally will have the institutional capacities (health facility and schools,
human resources and accessible water supply that will enable them to carry out the basic WaSH
program as outlined in the previous Rural WaSH Section 5.
6.3.2 Pastoralist Kebele without NGOs Activities or Livelihood Projects
Implementation of WaSH Program in these Kebeles will be the most challenging due not only to the
mobility of major segments of the communities but to the lack of other programs/activities with which
to collaborate. The implementation of WaSH program in these circumstances will focus on adapting
the regular rural WaSH program to meet the special requirements of the sedentary members of the
community or family – the women, children and the elderly that remain in place throughout the year.
Adaptations generally will involve incorporating into the regular program relevant features of the
sustainable livelihood approach being implemented elsewhere by PCDP and various NGOs. This
strategy would not only enhance the implementation of WaSH but it would enable WaSH to introduce
the sustainable livelihood approach where it is not already current. It would require regions to
coordinate exchanges among woredas, and woredas among Kebeles, to promote the spread of
innovative and best practices. It would also require wider exposure and supplementary training for
extension workers and local service providers to ensure that they have the perspective and skills
necessary to advance the more comprehensive approach.
74
Regions and woredas might consider concentrating allocation of WaSH resources to Kebeles that do
not have the benefit of other WaSH-inclusive programs and projects.
6.3.3 Kebele with NGO and/or Livelihood Programs
The basic strategy in these Kebeles will be to integrate WaSH into existing and ongoing development
activities rather than attempting to establish WaSH as a distinct program with separate structures.
Given the specific nature and needs of pastoralist communities most livelihood-oriented projects have
proportionately high investments in water supply - for both human and animal consumption. The
need, therefore, is not so much to raise awareness and demand for water supply as it is to ensure that
water supply investments are accompanied by activities directed toward positive change in hygiene
behaviour the use of improved sanitation facilities and reducing the burden of water collection and
transport on women and children. This is the “value added” that WaSH can bring to existing programs
and projects.45
In short, the proposed strategy for Kebeles with livelihood programs is;
 To make investments in water supply through existing Livelihood projects/programs
 To ensure that water supply is integrated with hygiene and sanitation
 To avoid overlap or duplication of services
This strategy could include WaSH funds being used to increase coverage and effectiveness of existing
programs through capital investments and/or support for advocacy and capacity building related to
hygiene and sanitation behaviour change. Ideally, WaSH will enhance and enlarge existing programs
and will, in turn, benefit from the momentum, the relationships and the best practices that other
projects and programs have established.
All WaSH activities, whether or not supported from core WaSH Funds, will need to be:
 included in Kebele WaSH Plans
 reflected in Kebele WaSH investments and expenditures (whether on or off budget)
 incorporated in Kebele WaSH reports
 monitored within the WaSH M&E system
Protocols and mechanisms will need to be developed to achieve this.
When/if projects or programs terminate or move on to other woredas/Kebeles the mechanisms they
have established for WaSH implementation will be, or may be, sustained directly by the WWT and the
Kebele Administration. Thus, WaSH program support will continue.
6.4 WaSH Program Cycle

The program cycle is based on a five years WaSH Strategic Plan toward achievement of PASDEP and
UAP targets. Strategic Plans are broken down into Annual Plans and Annual Plans are broken down
into quarters. Kebele WaSH program implementation will follow the 5 phases and 9 steps outlined
below in figure 6 and table 3.
Figure 6: Pastoralist WaSH outline
45
This applies not only to Livelihood programs but others that focus on water supply such as the Food Security (Productive Safety Net)
Program.
75
Community /
Region Woreda Kebele /
Sub clan /
Clan
Households /
Religious
leaders and
clan judiciary
Phase1: Base line survey, Advocacy and Consensus building
Phase 2: Action plan for WaSH program based on demand and

priority
Phase 3: Capacity building and Promotion
Phase 4: Implementation of planned activities and reporting progress

and outcomes
Phase 5: Monitoring and evaluation including periodical reporting

system
76
Table 4. : Woreda and Kebele/Sub Clan and Clan level WaSH Program
Step WaSH Activities Lead Responsibility Report to Supported by
1. Base line survey Collect relevant information on WaSH and livelihood PHEW KWT VEHW, Teachers, WWT
program
2. Advocacy and Advocate the community/households, government WSAs, MST
consensus building sectors at Kebele, clan leaders/judiciary WWT Woreda Cabinet
3. Coordination Establishment of KWT, Hiring of CFTs, TSA WWT Woreda Cabinet MST, WSA
4. Planning Plan based on priorities identified during advocacy KWT KDC WSAs, MST,
(Hard and soft ware)
5. Capacity building Training of WASHCO, CFTs, MOT, PEHWs, WSAs WWT WWT
ABEF/Teachers, VEHWs, TSA
6. Promotion Promotion of WaSH/community/ households WaSHVols KWT WSAs, CFTs, MST
7. Implementation Demonstration of water supply and latrine in schools, WWT Regional WMU WSAs, MST, MOT
health facility, veterinary post
Community water supply
Hygiene promotion households, schools WASHCO KWT
and health facility
Households latrine(managed by individual
households
8. Monitoring Regular report KWT, WWT WWT, Woreda VEHW, CFTs, WSAs, MST
Regular supervision and feedback WaSH program Cabinet
activities
9. Evaluation Periodically Program Evaluation Woreda WaSH Coordinator &WWT RWCO MST, WSAs
77
Pastoralist WaSH Structures from Region to Community Level
Regional WaSH Steering Committee,

Regional WaSH Technical Team,
Program Management Units (3), Note: These structures may be adapted to conform to the needs,
Regional WaSH Coordination Office resources and special circumstances at each level
Regional Level
(Woreda Support Groups – contracted at
regional level to serve woredas
Woreda Level Woreda Cabinet (serves as Steering & Technical Committees)

Woreda WaSH Team,
(Community Facilitation Teams – contracted at woreda level

to serve Kebeles and WASHCOs)
Kebele Administration (Manager),

Kebele Development Committee
Kebele Level Kebele WaSH Team - PEHWs,
Teachers, DAs,
Community Level WASHCOs

Clan/sub clan judiciary,
ABEF,
Religious leaders
78
National WaSH Implementation Framework (Summary)
7 Financial Management & Procurement

7.1 Introduction
Funds supporting WaSH activities come from several sources:
 The Federal Government of Ethiopia46
 External Financing Agencies (investors/donors)
 Non-Governmental Organizations (civil society)
 Participating Communities
Federal Government of Ethiopia:
Government financial support for WaSH is, for the most part, by way of the Block Grant that is
channelled from the Federal to the Regional governments for both recurrent and investment costs.
Due to the limited nature of treasury resources, capital budgets from the Block Grant are limited –
especially at the woreda level. Most of the government support is in the form of salaries for
government employees working in the WaSH program. These expenditures are not included in the
WaSH budget.
External Financing Agencies
Some donor contributions are made to support the WaSH program specifically. Other contributions
are made in support of more comprehensive development programs, such as Safety Net, that
include some WaSH activities and outputs. Donor contributions made specifically for WaSH
constitute the core (Consolidated WaSH Account) budget. Planned expenditures on WaSH by other
programs, such as Safety Net, are not a part of the CWA budget but are acknowledged as a part in
the overall contribution to WaSH and constitute a portion of the Composite WaSH Budget.
Non-Government Organizations
NGOs are major investors in, and implementers of, the WaSH program. Their funds, however, do not
flow through government channels and are therefore “off-budget”. However, NGO planned
expenditures on WaSH are also included in Composite WaSH Budget.47
Participating Communities
All communities undertaking WaSH construction projects, in any given year, make a cash/in-kind
contribution to construction/installation costs.48 These contributions are also “off-budget” but are
recorded and reported and included in the resource mapping that initiates annual WaSH budgeting
in the woredas. On an ongoing basis, WASHCOs receive and manage community funds, primarily
through tariffs, for purposes of operations and maintenance. Financial records are maintained by
the WASHCOs but these are not included in the national WaSH financial reporting system.
46
GoE supports WASH directly and indirectly through a number of channels. One of the most significant is the Food Security (Productive
Safety Net Program) that invests substantially in construction of WASH facilities. (PSNP funds currently are not administered through any
of the WASH accounts. They are, however, through “resource mapping” taken into account in the WASH planning and budgeting process.
47
NGO and PNSP outputs are included in national WaSH physical reports and are acknowledged for their contribution toward GTP targets.
48
PSNP communities may be exempt from this requirement.
79
7.2 WaSH Funding Arrangements

Donors’ contributions49 to WaSH:
 are transferred from a donor Foreign Special Accounts into the Consolidated
WaSH Account administered by MoFED and
 flow through Channel 1b to the governmental WaSH implementing agencies at
the national, regional, woreda levels – and, in some instances (CMP financing
mechanism using CDF approach) to communities through intermediary micro-
finance institutions (MFIs)
The balance of this section describes the flow of CWA WaSH funds and outlines the financial
management procedures by which WaSH financial transactions are recorded and reported by
implementing agencies at all levels in the National WaSH Program.
Details of the financial system are provided in the WaSH Program Financial Management Manual
(dated November 2007), which serves as the “how-to” handbook for WaSH accountants and
managers. What follows is an overview and outline of that system.
In general, the WaSH financial system is based on the FGE Accounting System’s policies and
procedures.
7.2.1 Fund Flow
Step I: From donors to the Consolidated WaSH Account

Each participating donor/financer negotiates a contribution agreement with the Federal
Government of Ethiopia that includes an arrangement to have their funds, along with those of other
donors, administered by MoFED out of a single Consolidated WaSH Account.
Donors deposit their initial (and subsequent) contributions into a Foreign Special Account opened by
MoFED in each of their names at the National Bank of Ethiopia.
Contributions are converted and transferred from the Foreign Special Accounts into the
Consolidated WaSH (Birr) Account that is managed by MoFED.
Foreign Special Accounts
Donor A €
BIRR
CONSOLIDATED
Donor B $
WASH
ACCOUNT
Donor C £
49
The possible inclusion of government WaSH investments being deposited into the Consolidated WaSH Account has not yet been
addressed.
80
When donors’ contributions are transferred into the Consolidated WaSH Account they become
indistinguishable. They constitute ONE account for WaSH. This is a major feature of harmonization
and radically affects the way in which funds are subsequently allocated, disbursed and accounted
for. The Financial Manual states “the distinction of revenue by source (donor) in all the implementing
agencies is irrelevant and impossible because transfer to the agencies will be made from one Birr
account……”
There are three important benefits of this arrangement for (governmental) implementing agencies:
o it increases their level of financial control and accountability
o it reduces complexity in financial reporting
o it reduces transaction costs
81
OVERVIEW OF FUND FLOW to/from CONSOLIDATED WaSH ACCOUNT

Donor Foreign Special Accounts
Donor CWA
Donor
Donor (Birr)
Donor
Note 1:
Donor funds are transferred to the Consolidated NGOs
WaSH Account (Birr) at the NBE dedicated to Safety Net MoFED
WaSH and administered by the MoFED. National
(WaSH)
allocates CWA funds according to formula.
Regions allocate WaSH funds to woredas in
response to woreda requests in the context of
Regional WaSH Strategic Plans.
Note 2:
Safety Net investments in WaSH are made at the
regional level. They are not made through the
Consolidated WASH Account. However, they will BoFEDs
be reflected in the RWTT’s resource mapping,
plans and reports and included in the Composite Regional
WaSH Budget. They will not offset the Regional MFI
WaSH allocation.
Note 3:
Funds budgeted for Community Managed
Projects (CPM) using CDF approach are
transferred by BoFED to a Regional Micro- WoFEDs
Finance Institution (MFI) and from there to MFI MFI Sub-
sub-branches to established WASHCO accounts branches
from which authorized withdrawals are made for
water point construction. Other possibilities of
CMP community financiang through the
government financial system will also be options
to be incorporated in the framework in the
future when the mechanism is developed and
tested.
Note 4:
NGO funds do not flow through government WASHCOs WASHCOs WASHCOs
channels. For the most part they are invested at (CMP) (WMP) (NGO)
the community level with, possibly, some
contribution to the Program at woreda, regional
and national levels. NGO investments are Note: A fund deviation may occur if a donor is
calculated in regional and woreda resource requested to retain some funds for the purpose of
mapping plans and reports and included in the directly procuring goods and/or services on behalf
Composite WaSH Budget. They will not offset the
of the Program. These funds would become part
woreda WaSH allocation and their
outputs/results are included in WaSH reports.
of the Composite Budget.
82
Step II: From the WaSH Consolidated Account to the Federal & Regional Implementing
Agencies
On instructions from MoFED, the NBE transfers funds CONSOLIDATED

Federally – into accounts opened for the NWCO and the WaSH ACCOUNT
four sectoral ministries (WMUs) for federal-level
expenditures
Regionally – to BoFEDs for onward transfer into accounts NWCO
MoFED WMU-W
opened for:
WMU-H
 the RWCO (for joint program support)
WMU-E
 the four sectoral Bureaux (for WMU-specific
WMU-FED
expenditures)
 transfer to Micro Finance Institutions (for
Community Managed Projects) RWCO
BoFEDs
Town/Zones/Woredas - The BoFEDs also opens accounts WMU-W
for, and disburses funds to: WMU-H
MFI
 the Z/WoFEDs for WWT expenditures and WMU-E
Kebele/community grants WMU-FED
 the participating towns (for the towns water Zones
supply and sewerage projects and other WaSH Towns
activities)
 transfers to Finance Institutions MFI WoFEDs
(for Community Managed Projects)
WoFEDs maintains an
Joint signatories of BoFED and account specifically for WWT
Z/WoFED officials will operate Regional/Zonal WASHCOs expenditures including grants
and Woreda accounts respectively. to Kebele/communities
In principle, BoFED has to disburse the grant component of the capital investment for water supply
and sewerage projects directly to the beneficiary town. However, if the town has delegated the
project management to the regional water bureau, the fund is transferred to the Bureau.
7.2.2 Fund Allocation
WaSH funds are allocated to the governmental implementing agencies as follows:

I. National level
The Annual (National) WaSH Plan & Budget specifies the amount of WaSH funds to be retained
at the national level for expenditures by the NWCO and by each of the four national WMUs
o expenditures on trans-sector national WaSH activities
It also specifies:
o the total amount to be allocated to the Regions
Allocation among the Regions is prescribed by the government’s Block Grant formula.
83
II. Regional level

The Annual (Regional) WaSH Plans & Budgets specify the amount of WaSH funds to be retained
at the regional level for:
i. expenditures by the RWCOs and by each of the three regional WMUs and other
established support units needed for CMP
ii. expenditures on trans-sector regional WaSH activities
iii. transfer to regional Micro Financial Institutions for investment in Community
Managed Projects
It also specifies:
iv. the total amount to be allocated to the woredas and towns/cities
Allocation among the woredas and town/cities are made by the Regional WaSH Management
Committee:
o on the basis of need/priority established in approved town/woreda Annual
WASH Plans
o within the framework of the Regional Strategic WaSH Plan
In allocation of regional WaSH funds to the woredas the RWSC (or RWMC) shall try to follow the
policy of 30 % for hyginene and sanitation and 70 % for water, but the actual annual budget at
woreda level will be defined based on the needs and demands during the annual planning stage.
III. Woreda level
The WWT’s Annual WaSH Plan & Budget specify the amount of CWA funds to be retained at the
woreda level for:
I. expenditures on trans-sector woreda WaSH activities
II. the total amount to be allocated as subsidies (WMP & CMP) to Kebeles/WASHCOs
Allocation among the Kebeles/communities will be recommended by the WWT to the Woreda
Cabinet for approval:
o on the basis of need/priority established in Kebele proposals and plans
o within the framework of the WWT’s Strategic WaSH Plan
Table 5. WaSH Fund Allocation
Allocated by… For….. Recommended by… Proposed by….
i) 4 National WMUs
I. NWSC ii) NWTT/NWCO NWTT NWCO
iii) Regions
i) 4 Regional WMUs
II. RWSC & State Council ii) RWTT/RWCO RWMC RWCO
iii) Town/Cities
iv) Woredas (WWTs)
v) Zones (ZWT)
i) Kebele/community grants
III. Woreda Cabinet (CMPs & WMPs) Woreda WaSH Team
84
7.2.3 Disbursements & Replenishments
7.2.3.1 Consolidated WaSH Account – disbursements/replenishments
At the commencement of the National WaSH Program:

 The donors’ initial deposits into their Foreign Currency Special Accounts with NBE
constituted their advances to the Program.
 Contributions were converted into Birr and transferred to the Consolidated WaSH Account
managed by MoFED.
 MoFED disbursed funds, as advances for the first six months of the Program, into WaSH
accounts established for implementing agencies at the national and regional levels. (see Q-1
& Q-2 in diagram below)
 On the basis of Q-1 reports50 MoFED, at the beginning of Q-2, requested replenishment from
the donors’ accounts funds to cover Q-3 less:
o the balance of 1st quarter funds - cash on hand and in the bank at the end of the
quarter and at all levels – woreda and town/city, regional and national
o any procurement in the budget that was to be made centrally from donors’ special
accounts
 MoFED continues, on the same basis, to make quarterly replenishment requests to the
donors three months in advance of scheduled expenditures.
 Upon receipt of replenishment from the donors MoFED immediately transfers funds to the
Implementing Agencies.
MoFED’s requests are supported by un-audited expenditure reports and physical reports for the
previous quarter.
7.2.3.2 Implementing Agencies’ Accounts– disbursements / replenishments
MoFED’s (and BoFEDs’) disbursement of funds to the WaSH governmental implementing agencies
follows the same pattern. Initially, each implementing agency received a 1st quarter and 2nd quarter
advance based on its approved Annual Work Plan and Budget. At the end of 1 st quarter the agency
prepared a report on expenditures together with, and a request for, replenishment to cover the
amount budgeted for the 3rd quarter less the amount of unexpended funds from the 1st quarter. This
“roll over” system means that implementing agencies always have, in hand, their budget for the
upcoming quarter.
50
Interim Finance Reporting
85
Figure 7. Reporting
Advance
Receive Q3
Q-1 Receive Q4
Q-2 Receive Q5
Q-3 Etc.
Report on Q-1 Q-4

Request Q-3
Report on Q-2 Q-5
Request Q-4
Report on Q-3
Request Q-5
Report on Q-1 Etc.
Request Q-3
Request/reports are vetted and approved at a higher level in each instance and consolidated into
the Quarterly Report and Request for Replenishment presented by MoFED to the Donors.
Specifically:
 WWT report/requests are approved by the Woreda Cabinet and submitted to WoFED;
 WoFED forwards report/request to BoFED and the RWCO;
 Water Board and TWTT report/request are approved by the Town Council and forwarded to
BoFED and the RWCO;
 ZWT report/requests are approved by the Zonal Cabinet and forwarded to BoFED and RWCO
The RWCO consolidates the report/requests of the woredas and the towns/cities;
 The RWCO prepares a comprehensive regional report/request that includes:
o results & requests of the RWTT and the 4 regional WMUs;
o consolidated results & requests of towns/cities
o consolidated results & requests of woredas
 The RWMC vets the comprehensive report/request and submits it to BoFED
 BoFED forwards the regional report/request to the NWCO and MoFED
 NWCO consolidates the regional report/requests and prepares a comprehensive national

report/request that includes the results and requirements of the NWCO and the 4 national
WMUs;
 The NWTT vets the comprehensive national report/request and forwards it to the NWSC for
approval;
 The NWSC forwards the approved document to MoFED and requests the necessary action;
 The MoFED requests the Donors to replenish the Consolidated WaSH Account and disburses
funds to the implementing agencies in accordance with the NWSC’s request.
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Note on Late Submissions:

Deadlines for quarterly reports/request are fixed and published a year in advance. If a woreda is late
in submitting its report /request it will not be included in the consolidated report and replenishment
request of the Region. It will be deferred to the following quarter. Similarly, a Region that is late in
making its submission will have its fund replenishment deferred until the next quarter – with
negative consequences for all woredas and their community programs.
Note on Funds for Community subsidies:
The Regional WMU-Water and RWMC recommend and the State Council (cabinet) approves (in the
Regional WaSH Annual Plan) the allocation of grant funds to woredas for:
 Woreda Managed Projects (WMP)
 Community Managed Projects (CMP)
Funds allocated for WMP are transferred to the Woreda WaSH Fund and replenished quarterly as
outlined above.
Funds allocated for CMP are transferred;
- by BoFED to a regional Micro Finance Institution (MFI) and
- by the regional MFI to sub-branches of the MFI
- into the CMP accounts of the participating communities
If any other financing mechanism to the community through the government financial system is
developed and successfully tested it will be then incorporated into this framework.
Funds are withdrawn from the CMP accounts by WASHCO signatories on authorization of the WWT -
for construction/contract expenditures (only).
Funds are replenished monthly within this CMP sub-system on the basis of scheduled
reports/requests approved by the WWT at the woreda level and by the RWMC at the regional level.
CMP funds are replenished at the regional level in regular quarterly replenishments as outlined
above. The Regional WaSH coordination office (RWCO) prepares and sends to the NWCO
consolidated financial report/request including the expenditure for CMP as it is outlined for WMP.
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Figure 8. Report request flow
Donor
Donor
Donor
Donor
NWTT reviews
NWCO consolidates & recommends NWSC MoFED
& prepares Regional Regional Cabinet confirms
Report/Request Report/Request approves forwards
RWMC reviews
RWCO consolidates & recommends Regional BoFED
& prepares Regional Regional Cabinet confirms
Report/Request Report/Request approves forwards
T/C Water
WTT prepares Woreda WoFED
Board prepares
Town/City & Woreda Cabinet confirms
Report/Request approves forwards
Report/Request
7.3 Budget & Budget Control

Provision is made in the WaSH structure for each of the governmental Implementing Agencies to
have their own accounting staff to administer WaSH funds on a full or part time basis. Accordingly,
 The NWCO and the RWCOs may have full time WaSH accountants on staff
 The National and Regional WMUs may have full or part time WaSH accountants depending
upon workload
 The WWTs will not have a WaSH accountant on staff – however, the WoFEDs may assign an
accountant to the WaSH account on a full or part time basis depending upon workload
The WaSH accountant assigned to WaSH at the Woreda level provides quarterly financial reports to:
 the WWT for management purposes
 the BoFED and the RWCO for review and consolidation into the Regional Report
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The RWCO provides the NWCO (and the BoFED) with:

 a consolidation of woreda reports
 the reports of the 4 regional WMUs and the RWCO
The NWCO provides the NWSC (and the MoFED) with:
 a consolidation of Regional reports
 the reports of the 4 national WMUs and the NWCO
MoFED, the BoFEDs and the WoFEDs are responsible for recording, maintaining and controlling
WaSH budgets at the national, regional and woreda levels respectively. MoFED ensures that
sufficient trained personnel are in place to handle the financial management requirements at each
level.
7.3.1 Budget Control
Budget control is exercised to ensure that WaSH funds are being spent as planned with respect to
categories, cost, timeliness and value for money. Primary responsibility for budget control in WASH
is with the WASH accountants. However, managers at each level (WWTs, RWTTs and the NWTT) will
review on a monthly basis the financial reports prepared by their respective budget sections and
take whatever action may be required to ensure effective budget control.
7.3.1.1 Budget Codes
One of the key mechanisms for budget control is the system of budget codes. Codes identify:
 the Public Body under which the budget is proclaimed (in this instance - MoWR)
 the Program (WaSH)
 the Program Component (e.g. Rural WaSH)
 the Sub-Agency (e.g. RWCO)
 the Sub-Program (e.g. Tigray)
 the Category of Expenditure (e.g. Works)
 the Type of Activity (e.g. construction of school water supply and sanitation facilities)
Each WaSH budget is identified with a specific code and that code appears on all transactions and
reports relating to that item.
MoFED provides the budget codes and these codes remain unchanged throughout the program:
 to ensure consistency in reporting
 to facilitate consolidation of reports
 to support the aggregation and analysis of data
Codes may be added or deleted by the MoFED as required. For example, a code has been added for
the transfer of funds to the MFIs to support the CMP modality.
7.3.1.2 Ledger Cards
WaSH accountants maintain a budget ledger card for each item of expenditure in approved budgets.
The purpose of the card is to maintain a continuous and updated record for each item of
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expenditure with respect to the approved budget and to provide information on the balances
available. Approval of the budget section is required before the accounts section is authorized to
make any payment. This is designed to prevent overspending.
7.3.1.3 Budget Tracking
The budget section at each level prepares a monthly tracking report from the ledger cards. The
report provides the uncommitted balance for each budget item. The balance is shown as normal or
under spent or overspent. The report is circulated to the procurement officer and to the appropriate
WaSH managers, e.g. RWMC, for review and any corrective action that may be necessary.
7.4 Responsibilities for Financial Management

7.4.1 Federal Level
7.4.1.1 MoFED
MoFED is responsible for the overall financial management of the WaSH program.
Specifically, MoFED:
 Opens foreign currency accounts for the donors and request and receives funds;
 Opens a Birr account and transfers donor funds into a Consolidated WaSH Account;
 Transfers funds, on the basis of approved plans, budgets and reports, to special accounts
opened by the NWCOs, the national WMUs and the BoFEDs;
 Ensures that adequate internal controls are in place and adhered to;
 Reports on the use of WaSH funds to government, donors and other stakeholders.
 Ensures timely replenishment of the consolidated WaSH account and fund disbursement
to the implementing agencies (NWCO, WMUs, and BoFEDs)
7.4.1.2 Sectoral Ministries
The sectoral Ministries have responsibility to report to MoFED and NWCO on all WaSH financial
matters
The Ministries, through their national WMUs:
 Collaboratively prepare a federal-level Annual Work Plan and Budget for WaSH
 Manage the WaSH funds transferred to them by MoFED
 Provide MoFED and NWCO with regular financial reports on WaSH activities
The NWCO coordinates trans-sector planning, budgeting and reporting.
7.4.1.3 The National WaSH Steering Committee (NWSC)
The NWSC:
 Approves WaSH budgets and resource allocations and submits them to MoFED
 Approves WaSH physical and financial reports from the regions
 Approves replenishment requests from the regions
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 Submits regular financial and progress reports to the partner Ministries and the donors
 Initiates financial and physical performance auditing
7.4.1.4 The National WaSH Technical Team (NWTT)
The NWTT:
 Receives and reviews WaSH budgets and resource allocations and makes
recommendations to NWSC for approval
 Receives and reviews WaSH physical and financial reports from the regions and makes
 Monitors fund flow and disbursements and addresses problems directly
 Receives and review replenishment requests from the regions and makes
7.4.1.5 The National WaSH Coordinating Office (NWCO)
The NWCO:
 Facilitates budgeting, fund transfers and financial reporting on behalf of the NWTT
 Proposes resource allocations to the NWTT
 Consolidates WaSH physical and financial reports and replenishment requests from the
regions and submits them to the NWTT
 Provides the NWTT with quarterly physical and financial reports and replenishments
requests for WaSH activity at the national level
 Collects, aggregates, records and communicates all financial data and information on
WaSH disbursement from the Ministries and the Regions
7.4.2 Regional Level:
7.4.2.1 The Bureau of Finance and Economic Development (BoFED)
BoFED has overall responsibility for the management of WaSH funds at the regional level.
Specifically BoFED:
 Opens a special account to receive WaSH funds from MoFED;
 Transfers funds, on the basis of approved plans and budgets, to special accounts opened by
the RWCOs, the 4 Regional WMUs and the WoFEDs;
 Opens and administers a Community Managed Project (CMP) account if a Region has so
requested;
 Prepares and signs a Fund Management Agreement with Micro Finance Institution(s) for
fund management of CMP where applicable;
 Monitors performance and receives reports from of Micro Finance Institution(s);
 Provides technical support to ensure that proper accounting systems and competent
accounting staff are established and maintained in each implementing agency;
 Provides internal auditing,
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 Ensures timely replenishment of the consolidated WaSH account and fund disbursement to
the implementing agencies (RWCO, RWMUs, WoFED and towns).
7.4.2.2 The Regional WaSH Management Committee (RWMC)
The RWMC:
 Recommends WaSH budgets and resource allocations to the Regional Cabinet for approval
 Reviews, approves and forwards to BoFED the physical and financial reports consolidated by
the RWCO
 Monitors fund flow and disbursements and addresses problems directly and ensures timely
flow of funds to towns and woredas
 Signs CMP agreements with MFIs and WMP Grant Agreements with the woredas
 Initiates financial and physical performance auditing
7.4.2.3 The Regional WaSH Coordination Office (RWCO)
The RWCO in collaboration with the 4 regional WMUs:

 Prepares and submits financial and progress reports to the Regional WaSH Management
Committee (RWMC) and to the NWCO
 Facilitates planning, budgeting, fund transfers and financial reporting on behalf of the
RWMC
 Proposes resource allocations to the RWMC
 Consolidates WaSH physical and financial reports and replenishment requests from the
woredas/towns and submit them to the RWMC
 Requests fund replenishments on the basis of approved quarterly budgets, work plans and
reports
 Provides the RWMC with quarterly physical and financial reports and replenishments
requests for WaSH at the regional level
 Collects, aggregates, records and share all financial data and information on WaSH
disbursements in the Region
7.4.3 Sectoral Bureaus (RWMUs and Support Units)
Through coordination of the RWCO, the sectoral WMUs and other regional support units:
 Collaboratively prepare a regional level annual work plan and budget for WaSH
 Manage the WaSH fund transferred to them by BoFED
 Provide BoFED and RWCO with regular financial reports on WaSH activities
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7.4.4 Zonal level51
The Zone Office of Finance and Economic Development (ZoFED) is directly responsible for
administering WaSH funds at the woreda level.
 Opens a special account to receive WaSH funds from BoFED
 Ensures that proper accounting systems and competent accounting staff are established and
maintained
 Assists the ZWT in the budgeting process
 Facilitates fund replenishment
 Provides the ZWT with regular financial reports
 Collects and aggregates required financial data and information and submits reports to the
BoFED each quarter
7.4.5 Woreda Level
The Woreda Office of Finance and Economic Development (WoFED)

WoFED is directly responsible for administering WaSH funds at the woreda level.
 Opens a special account to receive WaSH funds from BoFED
 Ensures that proper accounting systems and competent accounting staff are established and
maintained
 Assists the WWT in the budgeting process
 Facilitates fund replenishment
 Provides the WWT with regular financial reports
 Collects and aggregates required financial data and information and submits reports to the
Woreda Administrative Council (Cabinet) and BoFED each quarter
7.4.5.1 The Woreda WaSH Team
The WWT:
 Prepares and recommends WaSH budgets and grant allocations to the Woreda Cabinet for
approval
 Prepares and enters into WMP Grant Agreements with Kebeles/communities
 Submits quarterly WaSH physical and financial reports to the Woreda Cabinet
 Requests fund replenishment on the basis of approved quarterly reports and work plans
 Ensures timely flow of resources to Kebeles in accordance with grant agreements – including
transfers from Micro Finance Institutions to Community Managed Projects
 Prepares and enters into CMP financing agreement with WASHCOs (communities) and
ensures timely fund disbursement to the community as per the agreement
51
WaSH account in the zones is established when needed only (like in special zones and large zones, where zone iscarryoing out woreda
capacity building and monitoring)
93
 Ensures original receipts of authorized expenditures of CMP are appropriately handled and
maintained
7.5 Procurement
National WaSH Program follows the Procurement Proclamation issued by the Federal Government in
January 12, 2005 and the Procurement Directives released by the Ministry of Finance and Economic
Development. At Regional level the procurement code is enacted by the Region government and the
procurement directive is adapted to each Region based on the model prepared by the Federal
Government.
Financiers’ Procurement rules and regulations are aligned to the National WaSH Program
procurement. However, in order to accelerate the implementation to achieve the GTP targets the
procurement thresholds are modified as follows.
In National WaSH Program the “direct procurement” is established. The threshold for direct
procurement of goods, works and services at community, woreda, region and national levels is USD
50,000 or its equivalent in Birr. Above this threshold Government of Ethiopia procurement
proclamation and directives are followed.
The Ethiopian Procurement Agency standard bid documents and manuals will be used for all tenders
for procurement of goods and works under International Competitive Bidding (ICB) and National
Competitive Bidding (NCB). Domestic preference would be applicable under ICB.
According to the government’s policy to decentralize and devolve responsibility, WaSH procurement
is carried out, as far as possible, at the level where the goods are utilized and the services delivered.
Priority principle is to build capacity for local procurement to:
 Reduce delay and transaction costs
 Increase management capability and sense of ownership among beneficiaries
 Foster entrepreneurship and strengthen supply chains
 Advance O&M sustainability
To this end:
The CMP modality for community-managed procurement is actively promoted in which the
supply/procurement of materials and works required for water or sanitation projects construction is
carried out by the WASHCO
Self-supply is encouraged in which households directly provide or procure the labor and materials
for the construction or maintenance of hand dug wells and sanitation facilities
Procurement plan is an essential component in all Annual WaSH Plans at every level. Directions and
templates for the preparation of procurement plan is provided by the NWCO. Training and technical
assistance is to be made available to assist regional, town, woreda and community planners.
Procurement plans are consolidated by WWTs and regional and federal WaSH Coordination Offices.
Procurement action at all WaSH cost centers are reported quarterly.
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8 WaSH Planning & Budgeting

 Planning
o The Overall Planning Framework
 WaSH Strategic Plans
In line with the period of the country’s national development plan and targets
o National Level
o Regional (including Zonal level)
o Woreda Level
o Kebele Level:
 Annual WaSH Plans & Budgets
o WaSH Annual Planning in Context
o Two-Stage Annual Planning
o Annual Planning Sequence
o Planning Assistance
 Annual Budgeting
8.1 Planning
This section describes the WaSH Program’s planning and budgeting systems and how the plans and
budgets of the various implementing agencies are harmonized into one plan and one budget.
The One WaSH Plan is a composite plan. It is composed of:
1. CWA Plans: WaSH activities and investments planned on the basis of funding from the
Consolidated WaSH Account - plus, in some instances, allocations from the block grant;
2. NGO Plans: WaSH activities and investments planned by CSOs/NGOs active in the sector;
3. Safety Net Plans: Projections on Safety Net investments in WaSH through public works
Composite
One WaSH Plan
NGOs’ CWA
Safety Net
WaSH WaSH WaSH Plans
Plans
Plan
...for One WaSH Program
95
One WaSH Plan means that all major contributors (government, donors, NGOs and communities)
agree to be a part of a single comprehensive national WaSH program. One WaSH Plan means that all
major WaSH activities of all implementing agencies, at each level, are included in one composite
plan.
The Consolidated WaSH Account is central to the Composite WaSH Plan, which is built by the
woreda, regional and national WaSH structures.
8.1.1 The Overall Planning Framework
The One Plan is built out of:

Strategic Plans and
Annual Plans
those are developed at each level and are linked to one another.
Figure 9. Planning linking
National
WaSH
Strategic Plan
Regional/zon
al WaSH
Annual Strategic
Plan Plans Woreda
WaSH
Annual Strategic
Plans Plans
Annual Kebele
Plans Plans
Equals = One WASH Plan

Strategic Plans have time frame in line with the period of the national development plan of the
country and include goals, targets, strategies, resources and key activities.
Annual Plans have a one-year time frame that translate the priorities of the Strategic
Plan into a set of practical activities, detailed schedules, budgets and specific outputs or results’
directly relating to GTP targets. The Annual Plan is operational.
Both Strategic and Annual Plans are:
Linked to resource mapping – (of all anticipated financial and human resources)
Linked to other plans - (strategic-to-annual & from one level-to-next level)
Approved - by the relevant national/local government authority
Comprehensive – covering all WaSH activities of all implementers
Consistent - with the Strategic Planning & Management (SPM) approach.
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8.2 WaSH Strategic Plans

8.2.1 National Level
The National WaSH Strategic Plan is prepared by the National WaSH Coordination Office, reviewed
by the National WaSH Technical Team and approved by the National WaSH Steering Committee.
The National WaSH Strategic Plan is based on, and aligned with, the WaSH-related GTP targets,
priorities, strategies and activities of the Development Plans of each of the partner Ministries:
National
Water Sector Development Plan & UAP
WaSH
Strategic reflects... Health Sector Development Plan & UAP
Plan Education Sector Development Plan
The targets that prevail in the WaSH Program are those of the Growth and
Transformation Plan. These are calculated over a 5-year period in the Universal
Targets
Access Plans of the Water and Health Ministries. Targets are adjusted annually
based on data from the WaSH Inventory and the results of Resource Mapping i.e.
the availability of funds.
Achievement of WaSH GTP targets is directly linked to specific activities and outputs at the
community level. The National Strategic Plan makes these linkages explicit.
Local Activities & Outputs National
i. directly linked…to
Output A
ii. WaSH
iii. Output B GTP
iv. Targets
Output C
v.
A second critical step in planning is to establish a reliable baseline to determine, as

Baseline precisely as possible, what the current level of achievement is. Where we are now in
relation to the targets that need to be achieved?
What is the starting point in our Plan?
Baseline data is collected and organized using categories that are common to all WaSH
implementers (governmental and civil society). Common data are essential to building one plan.
They are also essential to the preparation of one consolidated report. Common data allow program
progress and results to be systematically documented, aggregated, analyzed, shared and
consolidated into a single report. These data are gathered in the Annual WaSH Inventory that is
implemented nationally in every Kebele and town and used for WaSH planning at every level.
97
A third essential planning step is mapping the financial resources that can be
reasonably expected to be available to support the WaSH program. This mapping
involves all funds from all sources that are committed, or likely to be committed,
to WaSH activities and investments. A major portion of these funds come donor
Resource contributions to the CWA and from government programs52 and grants53.
Mapping However, civil society organizations are also major partners in, and contributors
to, the WaSH program. It is essential that, in the resource mapping exercise, their
input is sought and their financial contributions are taken into account in program
planning. CSO/NGO contributions are “off budget” – i.e. they are not included in
the official WaSH accounting system. They are, however, recorded in the WaSH
reporting system so that the overall expenditure on WaSH can be calculated
annually.
8.2.2 National Strategic Planning Steps of the NWCO:
The National WaSH Coordination Office:

Step 1: Identifies which national priorities and GTP targets of the Water, Health and Education
sectors will be directly addressed in the WaSH program and incorporates these in the WaSH
Strategic Plan.
Step 2: Identifies and explicitly links the specific activities, investments and outputs at all levels
that will directly contribute to the achievement of the national WaSH UAP targets.
Step 3: Oversees a national baseline survey (the Inventory) gathering data which will be used as
the basis for measuring WaSH progress and results.54
Step 4: Completes a national level Resource Mapping exercise.
Step 5: Prepares a draft National WaSH Strategic Plan for the review of the NWTT and the
approval of the NWSC.
All of these steps are taken in consultation and collaboration with major stakeholders including:
 The NWTT
 National WMUs
 The Water and Sanitation (NGO) Forum
 Development Assistance Group (DAG) on Water
 Regional Representatives
8.2.3 Regions, Special Zones, Woredas & Towns/Cities
Regions, zones, woredas and town/cities also prepare Strategic Plans.

These Strategic Plans are linked to the National WaSH Strategic Plan – and linked to each other.
Strategic Plans:
52
Government programs such as the Food Security (Productive Safety Net) Program invest large amounts in WaSH activities. These
investments must be taken into account in WaSH planning and reflected in WaSH budgets.
53
Regions and woredas may choose to commit a portion of their block grant to the WaSH program.
54
The NWCO will also be responsible for establishing and maintaining a broader WaSH Management Information system (MIS) in which
M&E data is lodged and accessed.
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 are prepared at the regional level by the RWCO; at the zone level by the ZWT, and woreda
level by the WWT; and at the town/city level by the Water Board and T/CWTT - and
approved by the Regional, Woreda and Town/City Councils and Zonal Administrations
respectively
 are prepared according to a results-based approach in a common plan format provided by
the NWCO
 reflect national priorities and identify the local priorities that relate to them
 incorporate a negotiated share of national targets
 include an analysis of the locally relevant data from the WaSH Inventory
 incorporate the findings of locally administered stakeholder analyses and Resource Mapping
8.2.4 Kebele Level
Ideally, there would be some form of multi-year WaSH Plan at the Kebele level – especially for health
posts and schools. Realistically, however, the capacity for strategic planning at this level is often
limited. The primary focus should be on the Kebele WaSH Committee building do-able annual plans
(see sub section 8.3.2 below).
8.3 Annual WaSH Plans & Budgets

Once WaSH Strategic Plans are finalized, the next step is to prepare Annual WaSH Plans and budgets
at each level.
Annual Plans show how the broader objectives, priorities and targets of the Strategic Plans are
translated into practical activities and detailed budgets. Annual Plans are operational. Developing
annual plans requires consultation at every level with major stakeholders including relevant
government institutions, donors, NGOs and, at the woreda and Kebele levels, with the community.
8.3.1 WaSH Annual Planning in Context
WaSH annual planning is aligned with the government’s national annual planning & budgeting cycle
and timetable. WaSH plans and budgets are built into the Annual Development Plans and Budgets of
Regions, Special Zones, Towns/cities, Woredas and Kebeles. Work on WaSH plans must, therefore,
begin prior to the regular planning cycle to ensure that WaSH plans are ready for inclusion in the
more comprehensive governmental Development Plans.
8.3.1.1 Two-Stage Annual Planning
WaSH annual planning is done in two stages.

 Core Planning - August through November
 Annual Work Planning - December through February
Core Planning establishes annual targets/outputs and CWA+ budget ceilings.
Annual Work Planning adds the specifics - activities, assignments, schedules and proposed
expenditures from all sources.
WaSH implementing agencies draft Core Plans (physical and financial) using a common format
provided by the NWCO. When approved, the Core Plans serve as the basis for building detailed
Annual WaSH Work Plans – again, using a common format. Approved WaSH AWPs are subsequently
built into the Development Plans at each administrative level.
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National
WaSH Annual Work Plans
Regional
Annual Development
Plans
Woreda
WaSH Core Plans Kebele
Core Planning – August through November

In July, donors confirm to their contributions to the Consolidated WaSH Account for the coming
fiscal year (beginning the following July). In August NWSC/MoFED provide the Regions with
indicative allocations55 from the Consolidated WaSH Account - together with their notional GTP
targets. The Regions, in turn, provide indicative allocations and notional targets to the special zones,
woredas and town/cities.
On the basis of this, implementing agencies at each level:
 review their physical and financial performance for the previous two quarters
 identify current needs
 complete Resource Mapping
 set priorities
 estimate the level of activity and investment that is feasible in the coming fiscal year
 establish/revise unit costs of various activities and investments and
 draft a Core Plan (physical and financial) for the coming year
Note: Core Plans also include the projected WaSH activities of NGOs and an estimate of Safety Net
inputs based on past levels of activity or actual plans. NGOs provide their estimates using a common
format provided by the NWCO.
July:
Donors confirm their contributions to the Consolidated WaSH Account
August:
NWCO, with national WMUs, completes Resource Mapping exercise.
NWCO, with national WMUs, propose target ranges and CWA budget ceilings for each of the
regions based on:
 CWA funds available
 National Strategic Plan projections – including re-calculated GTP targets
 current level of performance (Inventory data/M&E reports)
 estimate of other financial resources available (resource mapping)
55
Allocations will be made using the Government formula for Block Grant allocations
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NWTT reviews and recommends proposals to MoFED

MoFED informs BoFED and BoFED informs Regional WaSH Management Committee (RWMC) of
proposed ceilings and targets
September:
RWCO, with regional WMUs, completes regional Resource Mapping exercise and proposes
target ranges and budget ceilings56 for each of the special zones57, woredas and town/cities
based on:
 allocations from CWA
 Regional Strategic Plan projections – including GTP targets
 current levels of performance (Inventory data/M&E reports)
 estimate of other financial resources available (resource mapping)
Regional WaSH Management Committee (RWMC) reviews/endorses proposals and
recommends to BoFED.
BoFED informs special zones, woredas and towns/cities of notional ceilings and targets.
October:
Zones, WWTs & Water Boards/Town WaSH Technical Teams (TWTTs) determine the priorities,
scope and geographical concentration for the program in the year ahead based on:
o national and regional targets and guidelines
o Zonal, Woreda and Town/city Strategic Plan projections
o identified community needs
o indicative CWA+ allocations
o anticipated NGO projects and Safety Net inputs to WaSH
 They selectively discuss potential activities and notional budgets with woredas, Kebele
administrations and town/city technical team respectively
 They estimate level of activity, investments and outputs that are feasible at the Kebele
and town/city level and begin drafting Core Plans based on:
o location and level of demand from communities
o current levels of performance (Inventory data/M&E reports)
o estimate of financial resources available (resource mapping)
November:
Zones, WWTs & Water Boards/TWTTs complete their Core Plans that include estimated cost
related to WaSH program management, capacity building and infrastructure investments.58
Councils/Cabinets of Zones, Woreda & Town/Cities review and endorse Core Plans and forward
drafts to RWCO and WMUs.
56
Allocation of resources from WaSH Fund to the Woreda are not based on a formula but on identified needs and past performance
considered in the context of regional and woreda Strategic Plans.
57
Special Zones, in turn, propose ceilings and targets to woredas within their jurisdiction.
58
The NWCO provides a common format for Core Plans that facilitates aggregation at the regional and national levels.
101
RWCO & WMUs review and separately aggregate zonal, woreda and town/city Core Plans and
negotiate modifications – if required.
RWCO & WMUs draft Regional Core Plan including aggregated zone plans, aggregated woreda
plans and aggregated town/city plans – together with anticipated regional-level WaSH
expenditures and outputs.
RWMC reviews and endorses draft Regional Core Plan and forwards draft to NWCO
At this stage, if not before, RWCOs, Zone WaSH Teams, WWTs and Water
Boards/TWTTs begin to detail Annual Work Plans in anticipation of final national-
level approval of Core Plans)
December:
NWCO & WMUs review and consolidate draft Regional Core Plans – negotiating modifications if
required - and draft National Core Plan that includes national-level WaSH activities and related
costs.
NWTT reviews and recommends draft National Core Plan forwarding it to MoFED/NWSC for
approval - and to the DAG for review and endorsement.
NWSC/MoFED, in consultation with the DAG, approves National WaSH Core Plan.
NWCO notifies WaSH implementing agencies of core plan approvals.
With the approval National Core Plan proposed allocations and outputs are thereby confirmed at all
levels and WaSH implementing agencies are in a position to complete the preparation of detailed
Annual Work Plans and Budgets.
Note: The crux of Core Planning is that targets and budget ceilings at different levels are consistent
with each other. National provides Regions with a target range and a budget allocation. Regions
provide zones, woredas and town/cities with a target range and a budget allocation. Woredas
provide Kebeles with notional outputs and resources. Each level chooses which specific
target/output level is most realistic, as long as it is equal to, or greater than, the minimum specified.
All community outputs need to add up to woreda & town/city targets
All woreda & town/city targets need to add up to zonal and regional targets
All zonal and regional targets need to add up to national targets
All budgets must be equal to, or less than, the allocations provided – unless funds from other
sources59 are identified and assured
8.3.1.2 Annual Work Planning – December through February
Annual WaSH Plans (AWPs), prepared at each level according to a common planning format
provided by the NWCO. The common format facilitates consolidation of plans at each level.
AWPs have the following features:
Scope: They reflect all WaSH activities and budgets - including those implemented by Safety
Net, NGOs and self-help households.
Linked: They are linked laterally to Strategic Plans and vertically to national priorities and
targets.
59
Sources other than the Consolidated WaSH Account
102
Resources: They are based on resources identified as available through resource mapping
exercises.
Responsive: They are responsive to community demand.
Assigned: They explicitly assign responsibility for activities and outputs to key players.
Accountable: They provide –
o schedules for timely performance
o benchmarks for progress review
o budgets for financial control
o indicators for monitoring and evaluation
The content of the AWP includes:
o Log frame – results-based overview
o Work breakdown – major activities & assignments
o Schedule - with benchmarks
o Monitoring Framework
o Reporting Framework
o Capacity Development Plan
o Procurement Plan
o Budget
8.3.2 Annual Planning Sequence
The planning process involves a dialogue between implementers at different levels in the program.
Core planning, we have seen, is essentially top-down. Targets and allocations are “handed down”.
Some negotiation is possible but to a large extent the parameters are fixed. Annual planning should
be, essentially, bottom-up. Communities identify their needs, establish their priorities and, within
the parameters provided, plan their WaSH investments and activities. As plans are consolidated at
each level the implementers at the next level incorporate them into their plans and calculate what
investments they must make and what activities they must undertake to provide program support
for the level below.
Targets & Resource

National Allocation National
Region dialogue… Region
Woreda Community Needs & Woreda

Priorities
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Kebele Level Planning

Kebeles are the genesis of rural WaSH planning. National, regional and woreda plans are essentially
designed to support action and investment at the Kebele or community level. Responsibility for
Kebele WaSH planning and coordination is generally assigned to a Kebele committee formed for that
purpose (such as a Kebele WaSH Committee) – or to an existing committee/ organization that can
assume responsibility for planning and coordination.
HEWs, WEWs and DAs and, in some instances, CFTs serve as planning facilitators.
Step 1: Kebele Orientation
The WWT facilitates Kebele Orientation meetings to familiarize community leaders and
members with all aspects of the WaSH program – the scope, the benefits, the requirements and
the way forward.
Step 2: Complete a WaSH Baseline Survey
This survey is a part of, and provides data for, the national WaSH Inventory and enables the
Kebele to systematically identify and document its own needs and priorities and to formulate its
“demand” for WaSH support and investment. Generally, the survey is conducted by Extension
Workers and/or CFTs.
Step 3: Prepare Institutional, Community-Wide and User Group Proposals
The WWT provides the Kebele with guidelines and tools for WaSH planning (prepared by the
NWCO). These include outlines of the specific activities and investments that are “fundable” by
WaSH. The WWT will insert the indicative unit costs and the criteria that they will use in
assessing proposals. Institutions (schools, health posts etc.), User Groups (water point
communities) and Kebele Committees (e.g. Health) are encouraged to submit proposals to the
Kebele WaSH Team.
Note on Funding Mechanisms - WMP or CMP:
If a proposal includes a request for a subsidy for water point or an institutional

sanitation facility the proponents will decide, in consultation with the WWT,
whether the subsidy will be through the Woreda Managed Project (WPM)
mechanism or through the Community Managed Project (CMP) mechanism
where it is available. See Section 5 for details.
Step 4: Submit Consolidated Proposal to WWT

The Kebele WaSH Team (KWT) assesses the various proposals, selects from among them
activities/investments based on immediate priorities and potential resources. The KWT prepares
a consolidated Kebele WaSH proposal to be approved by the Kebele Development Committee
and the Kebele Administration and forwarded to the WWT.
Woreda Level Planning
Step 5: Assess, Verify and Prioritize Kebele Proposals
The WWT assesses Kebele proposals using published criteria and verifies Kebele need and
readiness through a site visit. The WWT then assesses and prioritizes proposals.
This is one of the most significant steps in integration.

Building ONE plan starts here.
104
Each of the sector offices brings to the WWT planning process the targets proposed by their
Regional WaSH PMUs and, together, they build a balanced Woreda WaSH Plan and budget that
at once addresses the needs and demands of communities and is responsive to national
priorities and targets.
Step 6a: Prepare and Submit a Draft Woreda Annual WaSH Plan
The WWT drafts an Annual WaSH Plan that includes the prioritized Kebele proposals together
with woreda-implemented support activities and management costs. The draft AWP is
submitted to the Woreda Cabinet to be approved and forwarded to the Regional WaSH
coordination offices for WMU review and comment. In some cases the woreda draft Annual
WaSH plan is submitted to zones review and compilation.
Step 6b: Prepare and Submit a Draft Town/City Annual WaSH Plan
The Town WaSH Committee, following a similar process, prepares a draft Annual WaSH Plan,
submits it to the Town Administrative Council (cabinet) for approval and forwards it to the
RWCO for PMU review and comment.
Special Zones
Special Zones provide an intermediary “regional function” on behalf of the woredas under their
jurisdiction (see steps 7 & 8 below). They support their woredas in the planning process,
appraise and consolidate their Work Plans and forward them to them to the RWCO within the
framework of a Zonal WaSH Plan.
Regional Level
Step 7: Appraise and Consolidate Woreda Draft Plans
The RWCO coordinates regional (zonal) workshops to appraise and consolidate Woreda draft
AWPs for the inclusion in a draft Regional Annual WaSH Plan.
Step 8: Prepare and Submit a Draft Regional Annual WaSH Plan
The RWCO drafts a Regional Annual WaSH Plan that consolidates the appraised zonal, woreda
and town plans and includes regionally-implemented WaSH activity and management costs. The
draft regional AWP is submitted to the Regional WaSH Management (RWM), including BoFED,
for review and comment. It is then forwarded to the NWCO for appraisal at the national level.
National Level
Step 9: Appraise and Consolidate Regional Draft Plans
The NWCO coordinates a national workshop to appraise and consolidate Regional draft AWPs
for the inclusion in a draft National Annual WaSH Plan.
Step 10: Prepare and Submit a Draft Regional Annual WaSH Plan
The NWCO drafts a National Annual WaSH Plan that includes the consolidated Regional draft
plans together with federally-implemented activities and management costs. The draft national
AWP is submitted to the DAG for review and to the NWTT for recommendation to the NWSC and
MoFED.
Step 11: Approve the National Annual WaSH Plan
The NWSC approves the National Annual WaSH Plan following consultation with DAG and
MoFED.
Step 12: Notification
The NWCO informs the Regions of WaSH Annual Plan approval; the Regions inform the special
zones, woredas and town/cities; the woredas inform the Kebeles.
105
Step 13: Inclusion in Official Development Plans

WaSH teams/committees at all levels submit their approved WaSH Plans to their respective
administrations for inclusion in official Development Plans
8.3.3 Town Level Planning
Town level planning is conducted as per the procedure set in Chapter 4.
8.3.4 Planning Assistance
Assistance in planning is available on request:

o for Kebele planners – from WEWs, HEWs, DAs and CFTs
o for Woreda planners – from Woreda Support Agencies
o for Urban planners – from Town Support Agencies
o for Regional planners – from NWCO services
o for National planners – from national/international consultants
ANNUAL WaSH PLANNING & BUDGETING SCHEDULE
Table 6. Annual WSH Planning & Budgeting Schedule
JULY
DONORS CONFIRM CONTRIBUTION FOR FOLLOWING FISCAL YEAR

AUGUST
 NWCO & WMUs complete national Resource Mapping and propose notional CWA+ budget ceiling and GTP
targets for the Regions
 NWTT reviews – recommends to NWSC – NWSC approves
 NWCO notifies Regions of notional CWA+ budget ceilings and GTP targets
 RWCO & WMUs complete regional Resource Mapping
 RWCO & WMUs propose notional CWA+ budget ceiling and GTP targets for Towns, Special Zones and
Woredas
 RWM endorses proposed ceilings & targets and RWCO notifies Towns, Special Zones and Woredas
SEPTEMBER
Towns, Special Zones & Woredas:
 review anticipated resources and set priorities and interact with communities/Kebeles re: potential
programming
 estimate feasible physical and financial level of activity, investments, and outputs and draft Core Plans
 forward draft Core Plans to respective Development Committees for review and initial approval
OCTOBER

Towns, Special Zones & Woredas forward draft Core Plans to RWCO for review and consolidation

RWCO consolidates Core Plans from Towns, Special Zones & Woredas and drafts Regional AWP

RWM approves draft plan and forwards to Regional Development Committee for initial approval and to
NWCO for review and consolidation
NOVEMBER
 NWCO consolidates Regional Core Plans and completes National Core Plan
 NWCO submits draft national Core Plan to NWTT for review and forwarding to NWSC
 NWSC & Donors review draft National Core Plan – NWSC approves
DECEMBER
 NWCO notifies all levels that National Core Plan is approved.
 Woreda/Towns/Special Zones fine tune AWPs
 Woreda/Towns/Special Zones forward AWPs to Development Committee for information and to RWCO for
review and consolidation
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JANUARY
 RWCO consolidates AWP from woredas & special zones – drafts Regional AWP for RBM approval
 RBM approves and forwards to Regional Development Committee for information and to NWCO for review
and consolidation
 NWCO consolidates Regional AWPs and drafts National AWP – forwards to NWTT
FEBRUARY
February 8th: NOTICATION OF ANNUAL SUBSIDY BUDGET & ISSUE OF BUDGET CALL
 NWTT reviews draft national AWP and recommends to NWSC
 NWSC & donors consult – and NWSC approves composite Annual WaSH Plan
 NWCO notifies Regions/Woredas/Towns of the approval of the composite Annual WaSH Plan
 Regions/Woredas/Towns submit composite Annual WaSH Plans to respective Councils for inclusion in
Annual Development Plan
MARCH
nd
 March 22 : DEADLINE FOR PUBLIC BODIES TO SUBMIT BUDGET REQUESTS
8.4 Budgeting
Guidelines and formats for WaSH budgeting at all levels are provided by the NWCO.
8.4.1 National Budgeting
National Resource Mapping takes into account:

 Donor contributions specifically designated for the WaSH program – specifically the
Consolidated WaSH Account (CWA)
 Government programs that include support for WaSH among other activities – specifically
the Productive Safety Net Program
 Support for WaSH that Regions and/or woredas may decide to provide from their block
grants
 NGO investments in WaSH programming
The NWSC has responsibility budgeting and managing of CWA funds only. Safety Net funds remain
the responsibility of the Productive Safety Net Program. NGO funds remain the responsibility of the
individual NGOs. Each of these program contributors builds and manages their own budget for
WaSH - but provide the national Program with reports on expenditures and outputs using reporting
formats provided by the NWCO.
The NWSC is mandated to oversee of the one WaSH program – in which these partners share – and
to be accountable for all WaSH results - including the achievement of the WaSH GTP targets.
Accordingly, as the NWSC and WaSH managers, at each level, build their plans and budgets for CWA
funds they not only take into full account the plans and budgets of their WaSH partners but involve
them in the planning and budgeting process.
107
Figure 10. CWA-Composite plans
Composite
One WaSH Budget
NGOs’ CWA Safety Net

WaSH WaSH WaSH
Budgets Investments
Budget
...to achieve...
GTP WaSH
Targets
Annually the NWSC decides:

 what percentage of the CWA funds available will be retained at the federal level for national
management and nationally implemented WaSH activities
 what percentage of the CWA funds that are transferred to Regions (on the basis of
government formula) will be retained by the Regions to support regional management and
regionally implemented WaSH activities
The NWSC, through the NWCO and in collaboration with MoFED, will provide the Regions with
indicative CWA budget ceilings at the same time that it provides notional GTP targets.
8.4.2 Regional Budgeting
Regional Resource Mapping takes into account:

 allocations from the Consolidated WaSH Account
 estimated investment of other government programs in WaSH activities e.g. PSNP
 estimated investment of non-governmental organizations in WaSH activities
 estimated or committed amounts that may be assigned to the WaSH program by regions
and woredas from their block grants
Annually the RWSCs decide:
o what portion of the core funds retained at the regional level will be allocated to each of the
sectoral PMUs and RWCO
o what amount of funds will be transferred to Financial Institutions to support Community
Managed Projects
o what percentage of the funds that are transferred to woredas (on the basis of explicit
criteria) will be retained at the woreda level to support woreda-implemented WaSH
activities
108
The RWMs provide the woredas with indicative CWA budget ceilings together with notional GTP
targets.
8.4.3 Special Zone Budgeting
The Special Zones follow essentially the budgeting steps as do the Regions –determining allocation
of CWA funds to the woredas and for WaSH management and activities at the zonal level.
8.4.4 Woreda Budgeting
Woreda Resource Mapping takes into account:

 allocations from the Consolidated WaSH Account
 estimated investment of other government programs in WaSH activities e.g. PSNP
 projected investment of non-governmental organizations in WaSH activities
 estimated or committed amount that may/will be committed to WaSH from the block grant
 community contributions
8.4.5 Budgeting Assistance
Assistance in budgeting is available on request:

 for Kebeles – from Extension Workers and/or CFTs
 for Woredas – from Woreda Support Agencts
 for Town Water Boards – from Town Support Agents
 for Regional planners – from NWCO services
 for National planners – from national & international consultants
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9 Capacity Building
9.1 Introduction
This section focuses on the capacity development of stakeholders needed to support the effective
implementation of the WaSH Program.
Development’ is defined here as:
A set of planned and linked activities, strategies, approaches, and methods designed
to improve the performance of individuals, organisations, and systems by creating
the conditions through which change and improvement can take place.
The capacity development strategy for the WaSH Program is based on a systems approach that
includes building:
Individual Capacities - skills, knowledge, attitudes, and confidence of individual players at all
levels – regional managers, WWT and KWT members, WASHCO members, service providers,
WEWs, HEWS, DAs, Community Health Promoters, artisans, caretakers and operators – to
effectively carry out their assigned tasks;
Organisational Capacities – institutional development and strengthening of the new WaSH
structures at different levels - national and regional coordination offices, PMUs, technical
teams, and steering committees; Technical Vocational and Educational Training Colleges
(TVETCs) with WaSH departments, WWTs and KWTs and WASHCOs;
Operational Systems – that support harmonized planning, financial management,
procurement, capacity development, supervision, reporting, information management, and
monitoring & evaluation;
Teamwork – communication and collaboration among implementing partners
(governmental and non-governmental), donor agencies, private sector and other institutions
in one integrated program;
Supply & Logistical Support – high standard and timely inputs increasingly accessed by
communities through the private sector to promote local ownership and management and
enhance the sustainability of services.
Strategic Sector Support – to inform WaSH policy, implementation and coordination
through strategic studies, evidence, sector reviews, and support for networks and forums.
In summary, the aim of capacity building is to ensure the development of skilled and committed
WaSH professionals working within effective structures and systems designed to implement the
WaSH program on a sustainable basis.
9.2 Background
WaSH Capacity Development is responsive to a number of changing requirements:
Scaling Up – Scaling up the program to achieve national GTP targets means working with and
training much larger numbers of people at all levels. It also implies an increased focus on sustaining
existing WaSH services, not only expanding coverage throughout the country.
Evidence – The National WaSH Inventory provides up-to-date data on WaSH coverage and the
quality and use of the WaSH services being provided. Stakeholders at all levels are expected to use
this information to inform priorities and plans. Using the Inventory for reporting purposes increases
110
transparency in terms of sector performance. WWT and KWT are responsible to up-date the WaSH
inventory annually.
Institutional Arrangements – The 4 -ministry partnership defined by the revised WaSH MoU, the
introduction of Community Managed Projects using a CDF based approach, and the more formalised
participation of civil society organizations in the National WaSH Program require new perspectives,
changing roles and fresh approaches – a greater capacity for communication and collaboration and
for shared ownership and accountability.
Integration – The need for effective integration of H&S and Water Supply components of WaSH, and
the need to understand and respond to demand for water for multiple use not only domestic water
supplies demands a broader knowledge base and wider skill set among WaSH planners and field
practitioners and an increased capacity for teamwork.
Harmonization – The transition from a project to a program base and the harmonization of
implementation arrangements requires familiarization with, and new skills for, a whole range of
modified management systems, operational procedures and organizational relationships. This means
that the Memorandum of Understanding principles and Framework principles should be well
advocated and internalized at all levels.
Advocacy – A fresh realization of the critical role of advocacy in building commitment and creating
an enabling environment requires new attention to the communication, public relations and political
skills of WaSH leadership.
Diversity – The expanding base of field implementers – now including Water Extension Workers,
HEWs, DAs, CFTs, local artisans and entrepreneurs, Kebele WaSH Teams, teachers, School Parents
Committees, inspectors, health supervisors, etc – requires “function-based” training that brings
practitioners together for training in which complementary and synergistic roles and skills for a
common purpose are recognized and advanced.
CSO/NGO Resources - The potential of CSOs/NGOs as capacity-builders is acknowledged and
measures are being taken to ensure that their experience as innovators, grassroots implementers
and front-line trainers is effectively contributed to the wider WaSH program.
Material & Human Resources – An extensive body of operational manuals, trainer’s guides, and
other materials have been produced and used by a number bilateral and multi-lateral WaSH projects
and by various NGOs active in the sector. These are being assembled, assessed and revised to build a
common body of support materials for use throughout the Program. Similarly, past projects made
separate arrangements to provide technical assistance at the national and regional levels in
particular. These arrangements are now being harmonized so that consolidated Capacity Building
Support Units at the national and regional levels are able to provide the full range of training and
technical assistance required.
These changes have implications for the capacity development of all WaSH players – managers,
decision-makers, field workers, technicians and community-based players. Some players have to
change their roles, others have to learn new roles, and all have to learn how to work together
effectively.
9.3 Who are the Participants for Capacity Development?

Target groups for WaSH capacity building are shown in the table below, which is organized into
different levels:
111
Table 7. Target groups for WaSH capacity building

Level Target Groups
Rural Community members (women as well as men); WaSH Committees; Water Point Caretakers
Community and Operators; local artisans and entrepreneurs; Community Health Volunteers;
Kebele Kebele WaSH Team, Kebele administrator & managers; Health Extension Workers. Water
Extension Workers; Agriculture Development Agents; Community Facilitators; Head-teachers
& teachers; School Parents Committees; Kebele Education & Training Boards; participating
NGOs;
Woreda Woreda WaSH Team; Woreda Procurement Committee; Health Supervisors. Education
Inspectors. Woreda Steering Committee. Micro-Finance Institution (Sub- Branches),
suppliers;
Town Town Council, Water Board, Health Unit, School Authorities, Utility Operators. Suppliers.
Municipality Sanitation Department
Zone Zonal WaSH Team & WMUs
Region WaSH Coordination Office; WMU (in all four bureaux); Capacity Building Support Units; Credit
and Savings Institutions (relating to Community Managed Projects); TVETCs with Water
and/or hygiene and Sanitation Departments; Woreda Support Agencies; Town Support
Agencies, Participating NGOs; Private Sector - Technical Service Providers, Suppliers;
Federal WaSH Coordination Office; Capacity Building Support Unit; WMU (in all four ministries).
NWSC & NWTT; private sector (consultants, contractors, and suppliers);
These players and institutions are the building blocks for the new community-managed WaSH
system. The aim of the capacity building program is to strengthen each of these implementing
agencies so they can provide the leadership and perform the specific functions required of them
within the expanding program. With scaling up, many of the players are new - or are new to a role
that is changing. They require orientation and training in order to work competently, cooperatively
and with commitment.
112
9.4 Who are the Capacity Builders?

The different categories of major capacity building entities are shown in the table below:
Table 8. Types of Capacity Builders
Level Nomenclature Composition WaSH Capacity Building Function
NWCO Multidisciplinary team of Responsible for the design, implementation and reporting of the
WaSH professionals including national WaSH Capacity Development strategy
COWASH specialists in CMP Reviews and advises on regional capacity building plans and
NWMU (Water) modality provides technical support to Regional CB Support Units
Prepares generic operational guidelines, tools and training
National Capacity Head reports to Director, manuals and materials for WaSH implementation
Building Support NWCO; and to NWMU (Water)
Unit (NCBSU) Helps design and operationalize WaSH management systems
Coordinator
Promotes and facilitates the full integration of the CMP
modality into the National WaSH Program
Federal
ETWEC National high level technical Training of professionals in ground water assessment and
training instructors drilling
Multi NGOs National and International not- Full range of capacity building from the community up into their
Level for-profit Organizations own organizational self-development
engaged in WaSH activities Often provide training to gov’t personnel as part of a project
(often among others) generally mandate
at the community level but
some in TA and financial
support to community
initiatives
Region RWCO; Multidisciplinary team of Conducts training needs assessment in context of Regional
WaSH professionals including WaSH UAP and H&S Action Plan;
COWASH expertise in CMP Establishes capacity building components of multiyear WaSH
RWMU (Water); modality Strategic Plan and successive annual Plans (linked to Woreda
plans);
Regional Capacity Head reports to RWCO and Oversees implementation of these plans
Building Support RWMU (Water)
Unit Organises / oversees WaSH training program (especially where
this is multi-sectoral in nature)
Adapts/translates nationally prepared manuals and materials to
meet local requirements
Hires and supervises WSAs (see below) on behalf of Woreda
clusters
Monitors and supports the work of WSAs and TVETCs
Organises and participates in reviews and large sector meetings
(JTR, MSF).
Region Woreda Support Trainers/consultants Coach WWTs and TWTT/TWB in strategic and annual planning
Agents contracted to provide support and on relevant project management skills
to WWTs and TWB and TWTT Help establish Woreda/Town management systems and tools;
Town Support Participate in implementation of Woreda/Town CB plans by
Agents supporting training e.g. extension workers
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Level Nomenclature Composition WaSH Capacity Building Function

Woreda Woreda WaSH Team Team of desk officers Conduct training needs assessment for Woreda linked to multi-
selected from within year strategic plan
Woreda Cabinet and Produce annual capacity building plans (latter as part of Annual
Woreda Support Agents support agents WaSH Plan);
Hire CFTs and monitor their performance
Woreda WaSH
Coordinator
Town Town WaSH Technical Team of desk officers Conduct training needs assessment for town linked to multi-year
Team (TWTT) and Town selected from within strategic plan
Water Board (TWB); town Cabinet and Produce annual capacity building plans (latter as part of Annual
Town Support Agents support agents WaSH Plan);
Region/ TVETC Regional technical Initial training and follow up (continuous professional
Zone training instructors development), focusing on water supply, operational and
maintenance, water safety, sanitation and hygiene promotion.
Community Facilitation Field workers, with Train and provide coaching for WASHCOs;
Team skills in CD, H&S, and Work with HEWs to train CHPs;
technical areas
Support the training of caretakers.
WEWs, HEWs, DAs Extension workers Provide training for WASHCO

Facilitate community led total behaviour change Train and support
CHPs (with help from CFTs)
Provide technical assistance for self-supply;
Kebele
Technical Service Artisans and Provide on the job training of caretakers and technicians on
Providers construction construction, care and maintenance of WaSH infrastructure
contractors
Among the groups listed above there are four that are solely focussed on capacity building: The
national and regional Capacity Building Support Units, EWTEC, TVETCs, Woreda and Town Support
Groups and the Community Facilitation Teams.
National & Regional Capacity Building Support Units: The Capacity Building Support Units are teams
of professionals working within the Coordination Offices in close collaboration with WaSH
Management Units providing overall planning and guidance for the national and regional capacity
building program. They develop generic operational guidelines for WaSH implementation. They
prepare the operational manuals, trainer’s guides, management tools and promotional materials
that are used at regional and sub-regional levels. They build WaSH’s institutional capacity by
developing, refining and ensuring the effective operation of WaSH’s management systems for
planning and budgeting, reporting, monitoring & evaluation and information management. They
consult with and train WSAs and TSAs and other capacity builders in the use of these materials. They
provide orientation for regional WaSH teams (WMUs, etc) with respect to their roles and
responsibilities within the expanded WaSH program – specifically regarding the promotion,
introduction and implementation of the CMP modality. COWASH expertise, within the National CB
Unit, has a specific role in this regard. The CB Units are functions of the national and regional
Coordination Offices and WMUs (particularly Water), accordingly, report to the respective Heads of
those offices.
TVETCs are Regional / Sub-regional colleges established by the Government to provide a localised
practical training facility. Of the 18 TVETCs established, 12 have water supply related departments
and six have a focus on public health and disease prevention. TVETCs provide a practical way of
producing large numbers of technically proficient WaSH professionals and offering continuous
professional development to their graduates and other technicians in the field.
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Woreda Support Agents (WSAs) - are regional level capacity builders, drawn from private sector
companies and contracted by Regional WaSH Management Committees or woreda Water Teams to
provide training and coaching for WaSH implementers at woreda and sub-woreda levels (e.g. WWT,
CFTs, WEWs, HEWs, TSPs, etc). They receive guidance and technical support from the Capacity
Building Support Units – national and regional – and utilize nationally designed manuals and
materials. WSAs have time-specific contracts and report to the Regional WaSH Coordination Office.
Their overall objective is to leave the woredas with WaSH systems and services in place and working
effectively.
Town Support Agents (TSAs) - are equivalent to WSAs, providing capacity building to support the
development of town based WaSH facilities and H&S behaviour change.
Community Facilitation Teams (CFTs) are small teams made up of community development, H&S,
and technical specialists contracted by the WWT, if and when required,60 to facilitate community
mobilization for WaSH and provide WASHCOs and CHVs with training and coaching to carry out their
functions. CFTs work in collaboration with WEWs, HEWs and DAs.
9.5 Capacity Building Needs

The table below lists the capacity development needs of key players at regional, woreda, and sub-
woreda levels.
Table 9. Summary of Training Needs
WaSH Actor Knowledge and Skills required for…..

 Advocating WaSH to political leaders and decision makers and stakeholders at
Federal Regional all levels
and Zonal levels
 Integrated and harmonized WaSH planning, financial management,
procurement, reporting and M&E
 Promoting and implementing the CMP modality
 Assessing capacity building needs, planning and implementing CB accordingly
and measuring results Advocating WaSH at the regional/zonal level
 Developing Woreda WaSH Strategic Plan
 Awareness on the national and Regional policies, strategies and targets
 Preparing, managing and reporting Annual WaSH Plans
 Results-based planning and management
Woreda WaSH
Team
and measuring results
 Collecting, storing, analyzing, and reporting on water & sanitation data
 Fostering community demand for improved WaSH.
 Vetting Kebele WaSH plans and community & school WaSH management plans
 Procuring goods and services and managing contracts
 Advocating and planning intensive Hygiene and Sanitation Promotion
 Advocating and implementing the CMP modality when applicable
 Coordinating and supervising field workers
 Developing supply chain for spare parts and services
60
In some woredas/kebeles a combination of extension workers may possess the necessary knowledge, skills and experience to facilitate
WASHCO organization and training.
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 Up-dating the WaSH database
Town WaSH  Developing Woreda WaSH Strategic Plan
Technical Team
 Awareness on the national and Regional policies, strategies and targets
and Town Water
Board  Preparing, managing and reporting Annual WaSH Plans
 Results-based planning and management
and measuring results
 Collecting, storing, analyzing, and reporting on water & sanitation data
 Fostering community demand for improved WaSH.
 Vetting Kebele WaSH plans and community & school WaSH management plans
 Procuring goods and services and managing contracts
 Coordinating and supervising field workers
 Advocating and planning intensive Hygiene and Sanitation Promotion
 Fostering community demand for improved WaSH
 Developing Kebele WaSH Plans
Kebele WaSH
Team  Monitoring CFTs, WEWs, HEWs, DAs, and schools WaSH
 Providing follow-up support to communities
 Promoting and overseeing the CMP modality – when applicable
 Up-dating the WSH database
 Advising on technical issues related to water and sanitation (e.g. options, siting)
 Forming and train WaSH Committees
 Providing training and TA for the CMP modality when applicable
 Selecting and training Community Health Promoters
Community
 Participatory training in:
Facilitation
Teams  planning - technical options, service levels, and costing
 collection and management of money
 mobilization for community led total H&S behavior change
 Working on a teamwork basis with WEWs, HEWs and DAs
 Creating gender awareness and strategies for optimizing women’s participation
 Helping communities set priorities and plan their WaSH activities
HEWs, WEWs
 Mobilizing communities to lead total H&S behavior change
and DAs
 Helping communities to assess their WaSH results
 Working as a team with CFTs
 Planning WaSH facilities and behavior change
Head-teachers
 Introducing H&S within the school curriculum
and teachers
 Facilitating school environmental health clubs
 Organizing/strengthening parent teacher associations
 Promoting and monitoring construction, use and maintenance of facilities
 Construction of facilities e.g. hand dug wells and latrines
Technical Service
 Consulting with and motivating communities
Providers
 Training caretakers on hand pump maintenance
 Establishing an economically viable service
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 Organization and operation of a voluntary management committee
 Participatory preparation of a WaSH management plan
 Selecting and implementing either a WMP or CMP project funding mechanism
 Selection of technical options, service levels, siting, construction, and O&M
 Collection and management of money (including book-keeping)
WaSH  Procuring/contracting goods and services
Committees  Managing/monitoring construction - quality control.
 Managing ongoing operations and maintenance of facilities
 Promoting H&S behavior change
 Advancing gender equity in program leadership and benefits
 Assessing program effectiveness
 Being accountable to the community
 Promoting hygiene and sanitation behavior change
Community
 Using participatory methods and tools (PHAST)
Health
Promoters  Conducting house visits and group/community meetings
 Constructing latrines and hand washing facilities
 Facilitating participatory monitoring and evaluation
 Naming and explaining functions of pump parts
 Identifying pump problems and causes
Caretakers  Inspection tests
 Explaining proper use of pump
 Carrying out routine maintenance and minor repairs
 Accessing spares and required services
 Promoting pump site cleanliness
 Keeping records – spare parts and repairs
NGOs  Harmonizing their W&S projects with the policies, strategies, standards and
procedures of the National WaSH Program
9.6 Principles and Strategies for Capacity Building

WaSH Capacity Building uses the following principles and strategies:
Results Based Planning – first defining WaSH output targets and CMP/WMP approach to be
achieved in context of the Core Plan and Action Plan, then, using a participatory needs assessment,
determining what additional capacity is required and how increases in capacity will be measured.
Benchmarking - Minimum Package: At woreda-level, the capacity to plan, implement and monitor
integrated WaSH service levels is benchmarked using a number of indicators. A minimum level of
WaSH capacity is defined and used to assess the situation in each woreda. A woreda-specific
package of capacity building investments – including software and hardware – is developed for this
purpose with assistance from the Regional Capacity Building Support Unit.
Demand Driven Approach – involving stakeholders in identifying their specific training needs and in
the design and planning of the capacity building program intended to address them. Safeguards are
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used to ensure that training is not used simply as a way to augment salaries through Daily
Subsistence Allovances.
Stakeholder Participation – in contrast with a more traditional didactic approach. Participatory
approaches are learner-centered, and promote active learning, rather than passive listening – and
emphasizes learning by “doing” – discussing issues, solving problems, practicing skills, and planning
actions.
Gender Mainstreaming and Social Inclusion: Gender and social inclusion (disabled, disadvantaged,
sick, etc…) is mainstreamed in all WaSH training, learning and exposure, and in WaSH policy and
plans. In particular, there is a focus on understanding the different needs of disabled, women as well
as men, and eliciting this through gender and social inclusion disaggregated focus group discussions
and other appropriate techniques.
Climate change and integrated water resource management: Adaptation to climate change and
tools to mitigate climate change such as integrated water resource management is mainstreamed in
all WaSH training, learning and exposure as well as WaSH plans.
Incremental Training – training is generally provided in a series of short courses over a period of
time – allowing trainees to learn step-by-step as the task requires. In this context, initial training is
followed up with continuous professional development including on-the-job action-based training.
Team building – enabling players who are expected to work together to train together – sharing
perspectives, practicing skills together and learning how to work as a team.
Action planning – articulating specific post-workshop tasks that participants commit themselves to
undertake with clear objectives, targets, indicators, and timelines.
Monitoring and Evaluation – systems are used to track the implementation of capacity building
activities against plans, and evaluate outcomes against expected results.
9.7 The Cascading Model
WaSH capacity building cascades from the national level on to the community level.
At the national level….
 the policies, principles and strategies are established

 the program is designed
 the structures and systems are instituted
 the generic materials and tools are prepared
These are passed to the regions –
to the towns and woredas –
to the kebeles and communities…..
through a cascading pattern of capacity building events and interactions:
Figure 11. Flow of cascading
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CB Support Units
TSAs WSAs TVETCs
WWTs
CFTs W/HEWs DAs Artisans
Kebele
WASHCO Health
School
The flow is from the top. However, implementers at each level have responsibility to assess their
own capacity building needs and prepare their own capacity building plans. The regions, towns and
woredas implement these plans through the work of the TVETs, WSAs, TSAs, CFTs, WEWs, W/HEWs,
DAs and Artisans who will utilize the resources developed at the national level and adapted and
translated regionally to conform to local requirements.
9.8 Minimum Capacity Building Requirements

The National Capacity Building Support Unit in consultation with its regional counterparts and key
NGOs representatives determine the minimum capacity building requirements for each of the
categories of WaSH actors listed above. Accordingly, the Unit oversees the design of appropriate
training/capacity building interventions and the preparation, production and dissemination of
appropriate training manuals and materials. Following the “cascading model” the national and
regional CB Support Units implement a series of “training of trainers” workshops to ensure that the
various capacity builders at each level are fully familiar with their materials and have mastered the
methodology the training requires.
What the CB Support Units provide is a common WaSH core training program that provides for
consistency. It provides a base – the “must do” in WaSH capacity building. Capacity builders at all
levels are encouraged, whenever possible, to go beyond the requirement and build on the base to
further enhance the knowledge and skill of participants. It is expected that courses and materials will
be adapted and translated to meet local circumstances and language requirements. It is also
expected that creative capacity builders will innovate and discover (and share) better ways of
helping people acquire and apply new capacities.
In preparing the core WaSH manuals and materials the CB Support Units draw on, harmonize and
add to resources that have already been developed by WaSH projects and NGO programs over the
past several years. An example of this is the work undertaken by the COWASH project to modify and
embed into the core WaSH CB programs the lessons learned and processes and mechanisms
developed in projects using the CDF approach. At the same time the CB Support Units are challenged
to develop entirely new materials to support WaSH actors in meeting the unprecedented
requirements of WaSH harmonization and integration.
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Note on Capacity Building for the Community Managed Project (CMP) Modality
Special CMP “modules” are provided in core training materials at all levels. CMP is promoted
throughout the WaSH Program. If and as regions build into their plans the adoption of the CMP
as one of the alternative funding mechanisms for community projects a systematic “cascading”
of CMP orientation and training begins - from regional authorities and implementers through to
Kebele managers and community WaSH committees. In this process the CMP training modules
are “activated” and expand the training of all WaSH actors involved. As an example – regular
WASHCO training will be supplemented to include the acquisition of the knowledge and skills
specifically required to plan and manage a project using the CMP mechanism. The same process
will apply at all levels.
While the wide promotion of CMP is encouraged it is not expected or advised that CMP training
be extended to WaSH implementers unless and until CMP is built into their plans.
9.9 Range of Training Materials

Training programs are supported with training materials that include:
a) Trainers’ Guides – training manuals used by trainers to train specific target groups. Each
trainer’s guide consists of a series of “training modules” – descriptions of how to facilitate
each session – objectives, timing, learning tasks, questions to be asked, key points, etc.
b) Operational Manuals – a reinforcing how-to-do-it guide for the use of participants on-the-
job after completing their training
c) Operational Instruments – forms, formats, templates, checklists etc that participants will
use for planning, budgeting, reporting etc.
d) Participatory Learning Tools – pictures and other materials used in community level
discussion/planning on WaSH issues (e.g. PHAST tools and sanitation ladders, three pile
sorting, transmission routes and barriers, household behaviour change monitoring tools,
etc)
Table 10. Sample of Core Manuals & Guides - not an exhaustive list
Audience Materials Description

WaSH Committee WASHCO Manual Manual for WASHCO members
(WASHCO)
Trainer’s Guide for training WASHCOs Used by CFTs and or Extension Workers to train WASHCOs.
Community Health Manual for Community Health Promoters Guide for CHPs in conducting home visits and organising
Promoters community & group meetings
(CHPs) Trainer’s Guide for Training CHPs Used by HEWs and CFTs to train CHPs
Household behaviour change monitoring card Used by CHPs in monitoring behaviour changes in each
household
HEWs, WEWs DAs, H&S Ignition Manual Guide for the use of HEWs, CFTs, DAs for intensive H&S
& CFTs promotion
Trainer’s Guide for Training on Intensive H&S Used by WSAs to train HEWs, CFTs, and DAs on intensive H&S
Promotion/Ignition promotion
Toolkit for gott level intensive promotion PHAST and other tools used by HEWs, CFTs, DAs, and CHPs
for ignition meetings on H&S
Community CFT Manual Operational manual for CFTs
Facilitation Teams
Trainer’s Guide for Training CFTs Used by WSAs to train CFTs
Caretakers Caretaker’s O&M Manual for hand dug wells Booklet to guide caretakers on how to operate and maintain
HDWs
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Audience Materials Description

Caretaker’s O&M Manual for spring Booklet to guide caretakers on how to operate and maintain
development on-spot springs
Trainer’s Guide for Training Caretakers on O&M Used by WSAs to train caretakers
Technical Service HDW & Spring Development Construction Simple, picture based manual on how to construct hand dug
Providers Manual well and on-spot springs
Construction manual – latrines and hand Simple, picture based manual on how to construct latrines
washing facilities and hand washing facilities
Woreda WaSH Woreda Planning & Management Manual How to prepare and report on results-based Strategic and
Team Annual Plans
Woreda Operational Manual How to organize for and carry out WWT program
management functions – and provide support for community
program implementation.
Woreda Financial Management Manual Detailed procedures on how WaSH funds are received, kept
and spent - and expenditures recorded and reported.
Woreda Procurement Manual Guidelines for procurement in the WaSH program
Trainer’s Guide for Training WWTs Used by WSAs to train WWTs
Senior WaSH M&E Manual
Managers
MIS Manual Guidelines and instruments relating to key WaSH
Coordination Management Systems and the integration and consolidation
Offices Consolidated Plan Format & Guide of multi-sector, multi-level documentation
Consolidated Budget Format & Guide

WMUS
Consolidated Report Format & Guide
Stakeholders Guide for WaSH Advocacy and Commitment Used by WSAs in conducting inter-agency stakeholder
Building workshop on intensive H&S
9.10 National Capacity Building Resources

The primary capacity building resources at the national level are:
The National Capacity Building Support Unit (NCBSU) reports to the Coordinators of the NWCO and
NWMU (water) respectively, and is responsible for coordination of WaSH Sector capacity
building in the context of the National WaSH Program. The NCBSU consists of a team of
consultants and specialists including the CMP expertise of the COWASH Project.
Manuals, guidelines, tools and other materials used in training WaSH practitioners and
subsequently used by them as resources in their ongoing implementation and management of
the program.
Ethiopian Water Technology Centre (EWTEC) – currently part of Government (MoWE) supported by
JICA, focusing on training on ground water assessment, development and extraction. Within its
existing residential campus in AA, EWTEC offers ground water assessment and drilling courses
for existing water supply professionals.
RIPPLE: Research into Policy and Practice through Learning in Ethiopia, a DFID-funded project that
acts as a Reference Centre and knowledge broker for WaSH in Ethiopia and the Nile Region.
Major areas of interest reflected in publications include sustainability, water for multiple use and
climate change impacts on the WaSH Sector.
COWASH: a Finnish-Ethiopian bilateral project having as its purpose the accelerated implementation
of the Universal Access Plan and the achievement of GTP WaSH targets through the wider
adoption and application of the Community Managed Project (CMP/CDF) modality. COWASH
provides TA/expertise in the context of the National and Regional Capacity Building Support
Units.
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Joint Technical Review (JTR) is a semi-annual review process that brings together the government
and all major WaSH donors to review program implementation including progress and
challenges. These reviews provide an excellent opportunity for “big picture” learning and
strategic problem solving.
Multi-Stakeholder Forum (MSF) is an annual event that brings together stakeholders from
government (including representatives from the four signatory Ministries), donor partners,
civil society organizations, and the private sector to review progress in the WaSH sector and to
agree on key strategic undertakings to be jointly pursued during the year ahead. As such, the
MSF is designed to improve communication between stakeholders, as well as supporting the
mutual objectives of coordination, harmonization and alignment among partners across the
implementing sectors.
9.10.1 Support to Private Sector Service Providers
The long-term objective of support to the private sector is to ensure that there is a competitive and
efficient private sector available at the woreda and Kebele levels to provide quality and timely
goods, works and services to communities.
An objective of the WaSH Program is to increase the number of service providers and ensure the
quality and competitiveness of their work. This is done through training and also through a)
providing logistical support and b) simplifying procedures to encourage the participation of small-
scale service providers. The CMP modality in particular emphasises localised contracting of artisans
and other small scale private undertakings by WASHCOs.
Support is provided to drilling contractors, hand-dug well & spring development contractors, spare
parts suppliers, latrine artisans, pump mechanics, small town water system operators and providers
of training and community development services such as CFTs.
9.10.2 Involving NGOs as Capacity Builders
Scaling up of the WaSH program requires a substantial increase of capacity building resources.
Regions may, in their resource mapping exercise, identify NGOs with extensive experience in
participatory community development and project management – and some experience in WaSH
activities specifically. Options may be considered for drawing on this experience through such
possibilities as engaging NGOs as WSAs, CFTs or in providing survey, monitoring or other services if
these services are in line with the objective of their establishments and the project agreement.
9.10.3 Monitoring of Capacity Development
Monitoring of capacity development is carried out at community, woreda, regional, and national
levels. At each level the stakeholders measure progress against expected results using agreed
indicators. The data collected is used to define and solve problems and to improve the performance
of the capacity development process.
Monitoring is designed to measure progress in achieving the following major goals for capacity
development:
 Development of Community Ownership and Management – the capacity of the community
to initiate and manage their own planning and development process
 Development of skills in participatory community facilitation, including the involvement of
women and marginalized groups in decision-making
 Development of skills in technical design, construction, and monitoring aimed at producing
high quality and sustainable W&S systems
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 Organisation Development – strengthening the leadership, management and financial

systems, strategic plans, and operational effectiveness
 Strengthening WaSH Management – developing systems and skills to manage and support
community water and sanitation.
 Harmonisation and integration – developing teamwork among players from different sectors
and inter-agency planning and implementation
9.10.4 Practitioners’ Groups
Practitioners’ Groups are a vehicle for exchanging experience and lessons learned, solving
implementation problems, and helping to improve training materials.
Practitioners’ groups take the form of short workshops bringing together selected professionals from
the same field (e.g. TSAs, or WSAs and CFT specialists on community development, or H&S
specialists from WSAs, Woreda Health Office, and HEWs). These events are used to review and
document field experience and best practice, and through this, make improvements to operational
practices and manuals.
Workshops are organized by the Capacity Building Support Units at the national and regional levels.
The workshops are generally led by a consultant with extensive international experience and a core
team of national specialists. Practitioner specialty areas include:
 Program Management - Financial management, Procurement, M&E, and Information
Management.
 Rural Water Supply, Sanitation & Hygiene Promotion– woreda program development,
community management, pastoralist water supply, hygiene and sanitation promotion, hand
dug wells and springs, borehole siting and supervision.
 Urban Water Supply, Sanitation & Hygiene Promotion - town water board development,
business planning and cost effective design, utility operations, contract management
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10 WaSH Monitoring & Evaluation

10.1 WaSH M&E Rationale
Why is M&E so essential? What will it help us accomplish?
A single, consistent and well-managed WaSH Monitoring & Evaluation system will:
Inform Decision-making:
We cannot manage what we cannot measure. M&E is designed to provide planners and managers at
each level with the critical information they need to decide where to invest, in what and how much.
It allows decisions to be evidence – based.
Track Progress:
M&E helps us to track our progress towards specific objectives such as the UAP targets and the
Millennium Development Goals. M&E helps us see if we are keeping to the plan and on-track to
meet the targets. If we are falling behind, M&E helps us to identify where the slippage is occurring
and what must be done.
Build Capacity:
A developmentally–sound M&E system supports community participation and responsibility. It
encourages community members to look regularly and realistically at how well their water schemes
are working, what changes are taking place in hygiene and sanitation behaviours, what health
benefits are resulting and what more needs to be done. M&E helps the community build its own
capacity and recognize and record its own successes.
Measure Impact:
M&E reduces guess-work and bias in reporting results. What is the impact of the program? Are the
expected benefits being realized? Is health improving? Is school enrolment rising? Is use of facilities
and services increasing? Is community management expanding? Is the M&E system measured
results are reported.
Increase Accountability:
Regular reporting of measured results increases the accountability of all stakeholders from
household members to the National WaSH Steering Committee. The facts are made clear. Actors are
made answerable to investors and performance improves.
Encourage Investment:
The increased accountability that M&E provides will not only promote improved performance but
will encourage further investment in WaSH. The confidence and trust that is built by a credible M&E
process will invite further political financial investment of government and donors and foster the
essential time, money and in-kind contribution of the community.
10.2 WaSH M&E Challenges

The design, implementation and management of the WaSH M&E System provide a number of
challenges
Harmonization
The first challenge is to achieve a harmonized system – that is, system that incorporates the
collection, aggregation, analysis of all essential WaSH performance data from all implementing
agencies – core WaSH implementers, other WaSH-related governmental programs and projects and
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non-governmental organizations active in the sector. M&E data must be comprehensive, consistent
and as complete as possible to be useful.
Integration
A second challenge is to ensure that the M&E system is integrated – ensuring that essential data are
derived from all three sub-sectors – water, hygiene & sanitation and education – and are analyzed
together to provide a common and comprehensive picture of the program.
Other challenges include:
Asking the right questions (or getting the right indicators): The system needs to ask a set of
questions that are simple to answer and at the same time complete enough to provide insight into a
complex program. No one wants to answer a long set of questions but decision-makers do need
information that is significant.
Collecting and managing data: Information has to be collected in households and communities and
then managed so that it finishes up in a format that can be used by decision- makers. These data
pass through many hands and at each stage there are risks of loss or distortion.
Providing incentives for completion and accuracy: How do we make the M&E process relevant and
important for users so that they are willing to provide information on their WaSH status and for
WaSH managers so that they are rigorous in their analysis and timely in their reporting?
Keeping up-to-date: The WaSH sector is dynamic. On the positive side, new water schemes and
latrines are being built and people are adopting new hygienic behaviours continuously. On the
negative side, existing water points break down, toilets are getting filled and people reverting to old
behaviours. Up-to-date information is required on both aspects – but not such detail or with such
frequency that respondents fatigued or resistant.
Keeping it critical: In some M&E systems many forms are filled with a great deal of information and
that are then forwarded on or filed away without analysis. The challenge is to limit the questions to
those that produce critical data – and then to ensure that the analysis is done.
10.3 WaSH M&E System Overview

Details of the WaSH M&E System are found in the WaSH Monitoring & Evaluation Manual. This
section of the WaSH Harmonization Manual provides only an overview of the system.
10.3.1 Who manages WaSH M&E?
The WaSH M&E system is managed by the Coordinating Offices at each level:
National
WaSH
Coordination
Office
Regional
WaSH
Coordination
Office
Woreda
WaSH
Team
Kebele
WaSH
Team
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10.3.2 What is monitored in WaSH?
Progress and results are monitored. More specifically:

 With respect to water supply monitoring will include:
o The location, number, types and current functionality of water schemes/utilities
o The number and percentage of community users and the levels of service
o The quality of water and site sanitation
o The degree of consumer/user satisfaction
o The quality of scheme/utility management and the level of financial viability
o The nature, frequency and duration of hardware problems encountered
o The level of accessibility to spares and repairs
The achievement of construction/rehabilitation milestones and completions
 With respect to sanitation and hygiene monitoring will include:
o The number of households with minimum latrines or better
o The estimated number of households/people using a latrine – and the number
practicing open defecation
o The estimated number of households/people with hand washing facilities near to a
latrine
o The estimated number of households/people practicing hand washing after
defecation and handling children’s faeces – and safe water management.
 With respect to schools and institutions monitoring will include:
o The types, functionality and use of drinking water sources in or near the
school/institution
o The types, number and use of latrines and hand washing facilities in the
school/institution.
10.3.3 What are the sources of M&E data?
WaSH M&E data are drawn from five sources:

1. WaSH Financial & Physical Reports
2. Education MIS
3. Health MIS
4. Water Supply MIS
5. The Household Survey System
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Figure 12 Sources of M&E Data
Financial reporting Household survey

system system
WaSH
Coordination
Offices
Administrative
reporting system
Annual Census Health - MIS Water Supply MIS

Questionnaire for = Rural inventory
Schools = Urban reports
= Construction monitoring
= Kebele action plan
WaSH Financial & Physical Reports: These reports are submitted quarterly at every level and contain
categories of information that are required by WaSH M&E managers regarding progress toward
expected results and value for money.
Education and Health Information Systems: Specific WaSH information questions are embedded in
surveys and inventories administered by the education and health sector offices.
Water Supply Management Information System: The major portion of WaSH data is derived from the
MoWR Water Supply MIS and includes information on:
- The location and functional status of existing schemes
- The development of new infrastructure
- The expansion of existing schemes
- The rehabilitation of abandoned or non-functioning schemes
- The local (Kebele) WaSH planning process
The Household Survey System: These reports are generated by the Central Statistical Agency and
include such instruments as the Population Census, the Demographic & Health Survey and the
Welfare Monitoring Survey. These surveys are planned to occur every few years and produce WaSH
related data that can be used to confirm or question the results from the other sources.
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10.3.4 How are WaSH M&E data obtained?
Figure 13. Overview of Water Supply MIS
Rural and small towns Urban
Inventory Monitoring Annual report

location and status
existing • System modifications
Technical infrastructure • System performance
module
Construction One time report

Kebele module
• System design for
each town or city
WASHCO
Completion
module
reports
Monitoring
Progress reports
development of
Monitoring local new infrastructure
planning process
Kebele WaSH
action plans
The WaSH M&E system uses a number of specially designed data gathering instruments:
5 for rural water supply, sanitation and hygiene M&E instruments
4 for urban water supply and sewerage, sanitation and hygiene M&E instruments
2 embedded in the education and health sector Management Information Systems (MIS)
The M&E Operations Manual contains a detailed description of each of these instruments that
includes:
 An overview description and rationale for the instrument
 A description of process explaining who, how and when the data will be collected and
processed
 The estimated costs of collecting and processing the data and an explanation of what the
incentives involved for the those collecting and processing the data
 A detailed list of the questions and indicators that make up the instrument along with a
justification each
 An example of the form that will be completed by the designated institution
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Water Supply MIS

The water supply MIS deals with rural and urban water supply separately. Urban water supply is
defined as all water supply managed by proclaimed utilities. All other systems are treated as rural.
As water schemes move from being small town schemes to proclaimed utilities so their monitoring
will move from the rural to the urban domain.
There are separate and distinct processes for monitoring the location and functioning of rural and
urban schemes.
Rural schemes are monitored using a set of three instruments that build up to a national inventory
of schemes. They include:
 An annual WASHCO module that is a self-reporting mechanism for schemes managed by a
community committee
 An annual Kebele module that is a simple listing of all schemes in the Kebele,
 A technical module used by woreda, zonal or regional staff to capture detail on each scheme
periodically (every 3-5 years).
Urban schemes are monitored using two instruments.
 A One-Time Report that describes the design of the scheme (in the base year)
 An Annual Report that describes both improvement to (expansion, rehabilitation etc) and
performance of the utility.
The majority of the urban performance indicators are drawn from the International Benchmarking
Network for Water and Sanitation Utilities (IBNET).
Both rural and urban instruments ask several questions on sanitation and hygiene practices.
Finally, the local planning process is monitored through Kebele WaSH Action Plans. These have the
aim of making a specific link between WaSH instruments at the lowest administrative level to ensure
that data is used for local-level planning. A Kebele WaSH action plan presents local priorities for
action enabling better interpretation of the raw WaSH M&E data by higher levels of government and
utilities.
129
10.3.5 Who does what in WaSH M&E?
Table 11. M&E roles and responsibilities

Who M&E roles and responsibilities Skills & Knowledge required
Water users /
water point
 Completes annual WaSH inventory  Literacy
management  Numeracy
group /
WASHCO  Simple record keeping
 Filing
Kebele WaSH
Teams
 Supports WASHCOs to complete the Annual WaSH Inventory  Familiarity with WaSH
 Completes Annual WaSH Inventory where there is no  Basic analytical skills
WASHCO  Planning
 Reviews WaSH status at School and Health Post  Budgeting
 Studies data and completes an analysis of the Kebele WaSH
situation
 Uses M&E results to prepare and propose a Kebele Annual
WaSH Plan
 Forwards data to Woreda WaSH Team
 Prepares monthly, quarterly, and annual WaSH progress
reports and send to the Woreda
 Conduct WaSH progress review meeting quarterly with all
Kebele WaSH stakeholders
 Participate at Woreda level WaSH progress review meeting
quarterly
Woreda WaSH  Supports Kebeles perform their roles of data gathering,  WaSH technical skills –
Teams
WaSH analysis and action planning WQ testing, GPS, hand
 Visits all non-functional PPWSS to support users and Kebele pump assessment
to restore functionality  Basic spreadsheet
 Conducts technical assessment of every 3 years manipulation
 Verifies Kebele summaries against paper records for  Data analysis
accuracy; makes any corrections  Budgeting
 Enters data from Kebele summaries onto computer  Planning
spreadsheet into one consolidated record of all Kebeles
 Performs analysis e.g. comparison between Kebeles and
against previous year
 Uses M&E results to prepare a woreda Annual WaSH Plan
 Sends spreadsheet and paper records to Regional or Zonal
WaSH Coordination Office
reports and send to the Zone/Region
Woreda WaSH stakeholders
 Participate at Region/zone level WaSH progress review
meeting quarterly
130
Who M&E roles and responsibilities Skills & Knowledge required

Region / Zone  Supports Woredas perform their roles  WaSH policy
WaSH development &
Coordination
 Verifies Woreda summaries against paper and computer
records refinement
Office
 Recruits and Supervises data entry contractor  Data analysis
 Consolidates all Woreda records into one file for the  Report writing
complete Region / Zone
 Performs analysis e.g. comparison between Woredas and
against previous year
 Uses M&E results to prepare annual Regional / Zone Annual
WaSH Plan
 Sends spreadsheet and summary analysis to National WaSH
Coordination Office
reports and send to the NWCO
regional WaSH stakeholders including zones, Woredas and
towns
 Participate at national level WaSH progress review meeting
quarterly
TWTT, TWB,  Completes One Time Report UWS-OTR,  Utility operations &
Town Utility
 Completes Annual Report UWS-AR, management
 Compares changes between years and reports on these to  Data analysis
Region / Zone / Woreda
 Uses these data to report to public in Annual Report
 Use M&E data to prepare WaSH Annual Plan
 Forwards M&E data to R/Z WaSH Coordination Office
reports and send to the RWCO
town WaSH stakeholders
 Participate at regional level WaSH progress review meeting
quarterly
National WaSH  Consolidates all Regional and Urban data  WaSH policy
Coordination
Office  Uses M&E results to prepare JTR reports etc development &
refinement
 Uses M&E results internationally with AMCOW, JMP etc
 Data analysis
 Uses results to prepare and propose investment plans and
loan / grant applications and national Annual WaSH Plan  Report writing
 Provides NWTT with a consolidated WaSH M&E Report
reports and send to the NWTT
national and regional WaSH stakeholders
 Organizes annual MSF
131
10.3.6 Reporting Frequencies
 Kebele WaSH Team (KWT) submits monthly, quarterly, and annual WaSH progress reports to
WWT,
 Woreda (WWT) submits monthly, quarterly, and annual WaSH progress reports to
Zone/Region
 Region (RWCO) submits monthly, quarterly, and annual WaSH progress reports to NWCO,
 NWCO submits monthly, quarterly, and annual WaSH progress reports to NWTT and
through it to NWSC,
The WaSH progress reports will include both physical and financial status. Monthly and quarterly
reports should show the progress against planned activities and/or outputs while the annual plan
should show the achievements in meeting the annual targets, i.e. output and outcome results.
10.3.7 WaSH Progress Review Meetings
 KWT conducts quarter and annual WaSH progress review meetings with all Kebele WaSH
stakeholders
 WWT conducts quarter and annual WaSH progress review meetings with the Woreda WaSH
stakeholders including Kebele representatives,
 RWCO conducts quarter and annual WaSH progress review meetings with the region WaSH
stakeholders including zone and woreda representatives,
 NWCO conducts quarter and annual WaSH progress review meetings with the national WaSH
stakeholders including regional representatives,
 Depending on the necessity, program mid-term and termination review could also be
conducted at national level.
132
11 Recommendations on the National WaSH program

implementation
To initiate the full WaSH Program beginning of the Ethiopian Fiscal Year 2005 (July 2012) the
following have to be in place before the end of 2004 of the Ethiopian Fiscal Year:
 the multi-donor Consolidated WaSH Account
 approved harmonized and integrated Annual WaSH Plans and Budgets at all levels;
 operational WaSH coordination structures at all levels
 tools and procedures necessary for integrated planning, reporting and monitoring
 harmonized strategies and core materials for capacity building
The shortness of the proposed time frame to Implementation and the urgency of GTP targets
require parallel and simultaneous preparatory action. For instance:
 the finalization of the MoU and the WIF can proceed at the same time with minor
adjustments made to the WIF, if necessary, when the MoU is signed
 work can and must start immediately, even prior to WIF approval, on the design and
development of tools and mechanisms for integrated planning, budgeting and reporting
 the process of harmonizing training materials and drafting operational manuals can and
should be started without delay
11.1 Core Process

The core process is Planning & Budgeting for FY 2005 over the next months. This process is
elaborated in some detail in Full WIF. To carry the process forward, however, the basic WaSH
structures need to be in place and tools and mechanisms available for integrated planning,
budgeting and reporting. The key drivers of the process will be the coordination agencies at each
level with the National WaSH Coordination Office providing the lead, the direction and the technical
resources.
The NWCO will need to bring regional WaSH implementing agencies – including WMUs, WSA (WSGs)
and NGOs together to introduce and work through the planning, budgeting and reporting processes
and to familiarize them with the associated tools, formats etc. The Regions, in turn, will need to
provide corresponding workshops for town and woreda WaSH implementers (Boards & WWTs).
Tri-level Implementation Schedules are set out below. These are based on WIF Planning & Budgeting
section. Several other activities are proposed relating to organizational readiness and capacity
building. Following the Schedules comments are provided on some of these activities.
133
A. National level Program Implementation Schedule as per the WIF
No Activities Responsible 2011 2012

body May Jun July Aug Sept Oct Nov Dec Jan Feb Mar Apr May Jun July
Organizing
1 Sign MoU Ministers
2 Establish National Structures SC
3 Approve WIF SC
4 Confirm Donor Commitments SC
5 Establish CWA with MoFED TT>MoFED
Planning
6 Map Resources CO>TT
7 Provide Indicative Ceilings & Targets TT>MoFED
8 Prepare National WaSH Strategic Plan CO>TT>SC
9 Identify/cost WaSH activities by sector
10 Oversee National Inventory/collate data CO>TT
11 Consolidate Regional Core Plans CO>TT
12 Draft & recommend National Core Plan CO>TT
13 Nat. Core Plan approved/ endorsed SC & DAG
14 Notify Regions of Core Plan approvals CO
15 Consolidate Regional AWPs/budgets CO
16 Draft National AWP/budget CO>TT
GoE issues Budget Call 8th
17 Nat. AWP/budget approved/endorsed SC/DAG
GoE Budget Request Deadline 22nd
18 Notify Regions of Plan/budget CO
approvals
19 Incorporate WaSH in Sector Plans WMUs
20 Implement approved Plan & Budget Implementing Agencies
Capacity Building
21 Prepare planning & reporting tools CO
22 Provide Regional Prep. Workshops CO
23 Harmonize training materials/resources CO
SC = National WaSH Steering Committee; TT = National WaSH Technical Team; CO = National WaSH Coordination Office; DAG = Donor Advisory Group
134
B. Region level Program Implementation Schedule as per the WIF

Organizing
1 Establish regional/zonal WaSH structures WM
Planning
2 Oversee WaSH Inventory CO
3 Aggregate & analyze inventory results CO
4 Map anticipated resources CO>WM
5 Revise Strategic Plan - priorities CO>WM
6 Propose ceilings/targets to woredas etc. MC>BFD
7 Review & aggregate Core Plans from field CO>WM
8 Draft Regional Core Plan & forward CO>WM
9 Notify field of approved Core Plans CO
10 Review & aggregate AWPs from field CO>WM
11 Prepare Regional AWP and forward CO>WM
12 Notify woredas etc of Plan/budget approvals CO
13 Incorporate WaSH in Regional Sector Plans WM
14 Implement approved Plans & Budgets Implementing Agencies
Capacity Building
15 Provide Woreda/Town Prep’n. Workshops CO
16 Adapt/translate planning/reporting tools CO
17 Adapt/translate training materials CO
18 Harmonize training & TA CO
WM = Regional WaSH Management; CO = Coordination Office; BFD = BoFED
135
C. Zones, WWTs & Water Boards Program Implementation Schedule as per the WIF
1 Implement, analyze, report WaSH Mgmt

Inventory
2 Foster Kebele/community WaSH planning Mgmt.
3 Receive/assess/respond to Kebele plans Mgmt
4 Prepare Core Plans & forward to Regions Mgmt
5 Draft Annual WaSH Plans (AWPs) Mgmt.
6 Complete AWPs and forward to Regions Mgmt.
7 Notify kebeles etc of Plan/budget approvals Mgmt.
8 Incorporate WaSH in Woreda/Town Plans Cabinets
9 Implement approved Plans & Budgets Implementing Agencies
Mgmt. = WWTs, Water Boards, Zonal WaSH Committees
136
11.2 Comment on Selected Activities

11.2.1 National
Prepare National WaSH Strategic Plan
The recently prepared UAP may be sufficient to serve the purpose of a National WaSH
Strategic Plan. However, when resource mapping has been completed and WaSH Inventory
data are consolidated and analyzed further strategic thinking may be required together with
some modification of the UAP.
Identify/cost WaSH Activities (and assign by Sector)
For the purposes of budgeting and the allocation of WaSH funds by sector it is essential that
all WaSH-supported activities at each level be categorized, assigned to a sector and given a
notional unit cost, For example – water point construction would be assigned to the Water
Sector and a unit price estimated depending upon technology. Demonstration latrines
would be assigned to the Health Sector and a unit price estimated. Accordingly, every WaSH
program61 activity in every WaSH plan at every level would be assigned to one or other of
the participating sectors. The sum of costed activities proposed and approved from the
bottom up will determine the allocation of WaSH funds among the sectors at the national
level.
Oversee the National WaSH Inventory
Every effort should be made to roll-out the WaSH Inventory to provide the data base for all
WaSH planning and target setting at every level. The NWCO has lead responsibility for this –
cascading to the coordinating agencies at the regional, zonal and town/woreda levels.
Prepare Planning & Reporting Tools
In order to have integrated plans and reports that can be aggregated at higher levels and
thus provide One Plan, One Budget and One Report it is essential that a common set of
planning and reporting formats and mechanisms are used at each level and that data from
lower levels can be readily aggregated at higher levels. These planning and reporting tools
need to be developed and tested as soon as possible to ensure they are workable and
available for training purposes. It will be important to build a best practice out of procedures
current in the various projects and among the NGOs. It is essential that the NGOs be closely
consulted since they are being asked to integrate key elements of their plans and reports
with the core WaSH management system.
Provide Regional Preparation Workshops
The NWCO will need to bring regional WaSH implementing agencies – including WMUs, WSA
(WSGs) and NGOs together to introduce and work through the planning, budgeting and
reporting processes and to familiarize them with the associated tools, formats etc. The
Regions, in turn, will need to provide corresponding workshops for town and woreda WaSH
implementers (Boards & WWTs).
Harmonize Training Materials & Resources
The year of planning toward full WaSH implementation is also a year of transition during
which a common set of training materials and operational manuals are developed and the
TA support systems of the various projects are rationalized to provide a coherent capacity
61
Coordination activities would be assigned to the coordinating agency and budgeted accordingly – e.g. the NWCO work plan
and budget.
137
development strategy. This will be an extended process but it requires an early a start.
Managing this process is a critical function of the NWCO and the anticipated Capacity
Building Units.
11.2.2 Regional
Revise Regional WaSH Plan

Most, if not all Regions have a WaSH Strategic Plan. However, these plans may not be fully
integrated, will likely not have taken into account the recent G&TP and UAP and most
certainly will not have accommodated the CWA or the results of the WaSH Inventory. In
light of these factors they will need to be revised in order to provide an informed context for
annual planning and target setting at both the regional and woreda levels.
138

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FEDERAL DEMOCRATIC

The WaSH IMPLEMENTATION

9th August 2011

WIF Pledge and Signature Page

WaSH Program, beginning in EFY 2005.

Plan, one WaSH Budget and One WaSH Report.

For the Ministry of Water and Energy ____________________________________________

For the Ministry of Health ____________________________________________

For the Ministry of Education ____________________________________________

For the Ministry of Finance and ____________________________________________

For the DAG Water Technical Working ____________________________________________

For the CSOs of the WaSH Sector ____________________________________________

Date: __/___/___ Addis Ababa

WIF Pledge and Signature

5.5 Implementation – the WaSH Cycle ............................................................................................................56

9.10.3 Monitoring of Capacity Development .............................................................................................................. 122

NGO-MP NGO managed Project

2 The Overview of the National WaSH Program (WaSH GTP/UAP)

2.2 Features of the National WaSH Program (WaSH GTP/UAP)

WASH is designed to integrate:

2.2.1.1 Integrating Structure

Level Governance Oversight & Program Program Coordination

National National WaSH National WaSH National National WaSH Coordination

Woreda Woreda Woreda WASH Team

Kebele & Kebele Administration Kebele WaSH Team

A second feature of the WaSH program as per the Framework is harmonization.

2.2.4.1 CSOs/NGOs as Partners in WaSH

2.2.4.2 Private Sector

2.2.5.1 Features of the CDF Approach

2.2.5.2 Background and Rationale for Mainstreaming

2.2.5.3 Steps in Mainstreaming

2.2.6 CSO/NGOs in the National WaSH Program

2.2.6.2 CSO/NGOs Participation and Roles in WaSH Structures

2.2.6.3 Planning and Implementation

2.2.6.4 Capacity Development

2.2.6.5 Monitoring and Reporting

2.2.6.6 Financial Management

3.1.1 Common Responsibilities of WaSH Sector Ministries

3.1.2 Major areas of cooperation

3.2 WaSH Structures

The National level WaSH structures are:

H.E Minister of Water & Energy Duties & Responsibilities:

Decisions are achieved through consensus

NWSC reports to National MSF

National WaSH Technical Team (NWTT)

Accountable to the respective Directorate of the Ministry

3.2.2 Regional WaSH Structures

Table 2. Functions of the WaSH structures

Planning & Management Technical Team

Sector Inputs Sector WMUs

Coordination & Consolidation Coordination Office

Program Oversight & Accountability

 Implement regional WaSH M&E

3.2.2.2 Composition of Regional WaSH Structures

3.2.2.2.1 Oversight and Management

3.2.2.2.2 Sector Input

3.2.2.2.3 Coordination & Consolidation

3.2.2.2.4 Civil Society Organization & Private Sector Participation

3.2.3 Zonal WaSH Structures

3.2.4 Woreda WaSH Structures

Date: /_/___ Addis Ababa