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PRODUCTIVE SAFETY NET PROGRAMME

GRADUATION GUIDANCE NOTE

Food Security Co-ordination Bureau

Ministry of Agriculture and Rural Development

Addis Ababa, December 2007

Graduation Guidance Note

1. Introduction

Graduation is a key goal of the Food Security Programme to which the Productive Safety Net Programme (PSNP) contributes.

Each year, there is an assessment to check if a household should stay in the Programme or not, on the basis of its identified food insecurity status by the Community Food Security Task Force (CFSTF). This Guidance Note sets out the indicators and criteria for graduation to direct this process. This Guidance Note should be read in conjunction with Programme Implementation Manual (PIM), which is referenced throughout this document. In the case that there are contradictions between this Guidance Note and the PIM, the reader should refer to this Guidance Note.

2. What is graduation?

Graduation is a two-stage process. The first stage is graduation from the PSNP and the second is graduation from the Food Security Programme. This guidance note is focused only on graduation from the PSNP.

Graduation from the PSNP is defined as follows:

“A household has graduated when, in the absence of receiving PSNP transfers, it can meet its food needs for all 12 months and is able to withstand modest shocks.”This state is described as being ‘food sufficient’.

The term ‘graduation’ describes the movement of a household out of the PSNP. This occurs when a household has improved its food security status to a level that shifts it from being classified as chronically food insecure to food sufficient, and thus is no longer eligible for the PSNP.

3. How do we achieve graduation at scale?

Graduation from the PSNP is a long term process that will not be possible if only PSNP resources are available. It requires that the same households receive interventions from Other Food Security Programme (OFSP) consisting of household packages and credit. Other development programmes also contribute to this process. This relationship between PSNP, OFSP and other development interventions is outlined in Figure 1.

Figure 1: Linkages between PSNP and other food security programmes.

Source: PIM July 2006.

For a food insecure household to become food sufficient and graduate from the PSNP, a number of interventions must reach this household in a coordinated and integrated fashion. This is because the PSNP aims to smooth food consumption and to protect household assets, while creating assets at the community level. This ensures that households remain at the same level and do not fall into deeper food insecurity. It is not expected, however, that the PSNP will itself move households towards food sufficiency and graduation. For this to occur, additional interventions are required to build household assets and address vulnerabilities that make households food insecure.

To increase household incomes and assets over time, the household-asset building component of the OFSP has been aligned with PSNP in terms of targeting the same households. This combination should increase opportunities for households to graduate from the PSNP. However, to achieve maximum impact on chronically food insecure households, woredas must integrate PSNP interventions with other food security programmes.

Broader woreda development interventions aim to create an enabling environment. This contributes to realising the broader Food Security Agenda and further accelerates graduation from the PSNP. The woreda will plan the sequence of safety net and OFSP activities in a way that is appropriate for maximizing improvements in household productivity (PIM page 2).

Once a household has become food sufficient and has graduated from the PSNP, they remain eligible for OFSP interventions on a priority basis to continue the process of household asset-building that will move the household towards food security. This access to OFSP household loans expires when households graduate out of the Food Security Programme and into food security. Access to additional interventions from a range of development programmes, where possible, will also assist these households to continually improve their food security status.

4. How do we assess food security status?

The food security status of households is assessed annually to determine:

  • The number of households that have become chronically food insecure and thus eligible for inclusion in the programme, including their eligibility for Public Works or Direct Support; and,
  • Whether the eligibility of each households currently participating in the Programme for Public Works or Direct Support requires adjustment.

This Graduation Guidance Note adds a step to this process to determine:

  • The number of households currently participating in the Programme that are assessed as food sufficient and therefore no longer eligible for the programme. Only those households participating in the PSNP that have taken an OFSP household package and credit will be assessed to determine their possible graduation from the Programme.

The PIM (page 23) states that the identification of households eligible to participate in the PSNP is the responsibility of each Community Food Security Task Force. The basic criteria for identifying beneficiary householdsare outlined in the PIM (page 23) and the Targeting Guidelines: The PIM also outlines the criteria for refining the selection of households.

These criteria for refining the selection of households has recently been elaborated upon to more clearly identify when a household is no longer eligible for the Programme and will graduate. Specifically, this builds on the process of reviewing the status of household assets (land holding, livestock holding, food stock, etc.) using regional benchmarks for graduation.

Benchmarks for graduation

These benchmarks describe the level of assets a food sufficient household is likely to have in each Region. When the status of a household’s assets reaches this level, the household is not longer eligible for the Programme. Until this point, a household remains eligible to participate in the PSNP and cannot be taken off the Programme. Annex 1 outlines the Regional benchmarks that have been adopted for 2007.

Assessing household assets

The benchmarks use household assets to verify and refine the eligibility of households to participate in the PSNP. This is because assets better reflect lasting changes in chronic food insecurity status than income. Income tends to fluctuate between seasons and years, while asset are likely to remain more stable, except for periods of severe shocks. In addition, it is often difficult to accurately measure income because people are reluctant to share such information and it is challenging to estimate the value of own production, for example. In contrast, assets tend to be visible and relatively easy to count.

However, when the status of a household’s assets is reviewed, those assets that are owned by the household are considered. Assets not yet fully-owned by households (an asset bought with credit that is not fully paid-off) will be considered by assessing the value of the asset and deducting the outstanding debt. The resulting value of the asset will be added to the values of the other assets reviewed. If the total value of all assets owned by the household is equal to or greater than the benchmarks for graduation, the household is deemed to be food sufficient.

The Regional benchmarks are designed to be applied in a flexible manner that considers a range of household assets. In addition, the Regional benchmarks take into account differences between livelihood zones (see Annex 1):

  • The level of the benchmarks may differ among livelihood zones to better assess food sufficiency in each zone; and,
  • The benchmarks may consider differences in types of assets holdings in each livelihood zone.

Self-graduation

Self-graduation is when a household voluntarily leaves the PSNP. This occurs when household members have ‘more valuable things to do with their time’ than participate in the PSNP. For example, a household may cease to participate in the Programme if its members can earn a higher wage through wage employment or the labor investment in own production is more valuable than time spent participating in the public works.

5. How do we apply the benchmarks for graduation in practice?

As noted earlier, the assessment of whether or not a household can graduate from the programme is based on a set of household asset benchmarks designed at regional level and refined at woreda level as appropriate. Only those households participating in the PSNP that have taken OFSP household packages and credit will be considered for graduation.

Once the woreda-level benchmarks have been agreed, a number of key issues related to operationalising a system for measuring graduation from the PSNP need to be considered. These include:

  • Core principles
  • How to apply the benchmark at community level.
  • The responsibilities of communities and administrative bodies (who does what?)

I. Core principles

The following core principles should be adhered during the introduction and use of the benchmarks for measuring graduation:

  1. Do not undermine core function of the PSNP
  2. Transparency: the system must be transparent to external actors (donors and federal/regional government) and to PSNP beneficiaries
  3. Accountable: the system must be accountable to PSNP beneficiaries
  4. Simple, responsive and relevant: the benchmarks should be easy to use, livelihood specific and revised periodically to remain relevant
  5. Flexible: the system should be implemented in a flexible manner (similar to targeting)
  6. Balance incentives: the system needs to be responsive to both positive and negative incentives.
  7. Community awareness and involvement: communities are best placed to operationalise graduation

II. How to apply the benchmarks at community level?

The Regions will provide guidance on the benchmarks applicable for each woreda. Woreda officials will refine these benchmarks annually based on local knowledge of livelihood systems present in the woreda. The final benchmarks proposed by the woredas will be approved by the Regions.

In line with the core principle that the communities should be involved and play a crucial role in the graduation process, it is the responsibility of the Community Food Security Task Force (CFSTF) to make a first assessment of the number of households that can graduate from the Programme using the agreed asset benchmarks.

This assessment is based on information gathered by the DAs. Specifically, the DAs in each kebele will prepare an overview of the asset holdings of those PSNP household that have taken OFSP household packages and credit. Once information on household assets has been collected, the DAs will calculate the value of the assets per household member using a set of agreed asset value prices.

Based on the household profiles prepared by the DAs, the CFSTF will then prepare a list of households that can graduate from the Programme by comparing the value of the asset holdings of each household with the agreed benchmarks. In other words, those households with asset holdings equal or higher than the benchmarks will be proposed for graduation to the woreda.

The woreda will review and approve these proposals for graduation. This process is outlined in detail below.

III. Who does what?

As outlined in the PIM, the Programme has adopted an administrative and community system to select eligible participants for the Programme. Within this system the following bodies are envisaged to play a key role in the graduation process:

a)Woreda Council/Cabinet (WC)

b)Woreda Rural Development Office (WRDO)

c)Woreda Food Security Task Force (WFSTF)

d)Kebele Council (KC)

e)Kebele Appeals Committee (KAC)

f)Kebele Food Security Task Force (KFSTF)

g)Community Food Security Task Force (CFSTF)

The introduction of graduation from the PSNP further refines the process of determining eligibility for the Programme but does not fundamentally alter the roles and responsibilities outlined in the PIM. The roles and responsibilities related to graduation are outlined below. These roles and responsibilities are in addition to those already outlined in the PIM, the Addendum to the PIM and the Targeting Guidelines.

a)Woreda Council/Cabinet

The Woreda Council is the highest decision-making body at the woreda level responsible for graduation. The Council has the following responsibilities related to graduation:

  • Finalize and approve the list of households that have graduated from the Safety Net Programme and submit it to the region for review;
  • Resolving unresolved appeals related to graduation submitted to them by the Kebele Council and sharing the outcomes of these appeals with the Woreda Food Security Task Force;
  • Together with the Kebele Councils ensure that up-to-date listings of households that have graduated from the Programme are posted in public locations at the woreda, kebele and community levels.
  • Make recommendations on corrective actions regarding the graduation process as required; and,
  • Forward records of graduation-related appeals and appeals resolutions received from kebele level to the Woreda Rural Development Office for record keeping

b)Woreda Rural Development Office (WRDO)

  • Submits the approved list of households that have graduated from the PSNP containing details of household head, age, sex, family size including number of adults, to the concerned implementing agencies in the woreda;
  • Establish a database of households that have gradated from the PSNP; and,
  • Gather, consolidate and maintain accurate records of graduation-related appeals and appeals resolutionson a 6 monthly basis as submitted by the Woreda Council and Kebele Councils.

c)Woreda Food Security Task Force (WFSTF)

  • Fine tune criteria for graduation to suit particular conditions as assessed at community level within the spirit of the general guidance points mentioned in this guidance note. Regional guidance notes will be used to refine selection of households for graduation.
  • Establish and train KFSTFs in procedures and principles of the graduation process and use of graduation benchmarks;
  • Ensure the KFSTFs in the respective woreda perform their responsibilities related to graduation as required, and take any necessary corrective measures;
  • Review, compile and approve the lists of proposed graduates from the PSNP collected from Kebele Councils;
  • Resolve any major problems or issues arising out of the selection process of households for graduation; and,
  • Submit the list of proposed graduates to the Woreda Council for final approval.

d)Kebele Council/Cabinet

  • Hear any complaints, claims or appeals from the residents of the kebele related to graduation and take appropriate corrective measures in consultation with the WFSTF as deemed necessary;
  • Organize a general public meeting at kebele level for the residents to comment on the proposed list of graduates from the PSNP;
  • Submit the final list of proposed graduates at kebele level to the WFSTF for approval and further action;
  • Maintain records on the status of proposed graduates and those that have graduated from the PSNP;
  • Through 6-monthly public postings keep the communities informed about:
  • Proposed graduates and those households graduated from the PSNP
  • Graduation related-appealsheard by the Kebele Appeals Committee
  • Graduation-related appeals resolutionsheard by the Kebele Appeals Committee
  • Ensure the establishment and effective operation of the Kebele Appeals Committee with regards to graduation.

e)Kebele Appeals Committee

The Kebele Appeals Committee will hear and resolve appeals related to graduation from the Safety Net on a timely basis. The Committee’s duties related to graduation are:

  • To hear and consider individuals’ complaints or appeals regarding graduation from the PSNP;
  • To submit complete listings of appeals cases, appeals resolutions and unresolved appeals related to graduation to the Woreda Council and Woreda Rural Development Office every quarter; and,
  • Each quarter the Kebele Appeals Committee submits a complete list of graduation-related appeals cases, appeals resolutions and unresolved appeals to the Kebele Council.

f)Kebele Food Security Task Force (KFSTF)

  • Familiarize the CFSTF with the graduation procedures and the benchmarks; and
  • Collect and compile the lists of proposed graduates from the PSNP from the different villages and submit these to the WFSTF for verification, consent, and /or necessary adjustment.

g)Community Food Security Task Force (CFSTF)

  • Using the Graduation guidelines, identify the names of proposed graduates in their respective villages;
  • Display the proposed list of graduates in public for at least a week, in order for it to be commented upon and endorsed by the general meeting of the village residents;
  • Finalize the list of proposed graduates and pass it onto the KFSTF for verification and further action;
  • Post updated listings of proposed graduates in public place every 6 months;
  • Ensure that updated listings of proposed graduates are read out at community meetings held every 6 months;
  • Inform community members at the 6-monthly community meetings about the appeals process related to graduation; and,
  • Ensure that an updated listing of graduation-related appeals cases, appeals resolutions and unresolved appeals forwarded by the Kebele Council to the Woreda Council is posted in public locations.

Based on the above the following steps are envisaged to introduce the use of the graduation benchmarks in the participant selection process

Step 1.Preparation of regional guidelines for graduation

Step 2.Awareness raising and training of woreda representatives on the graduation criteria and process.

Step 3.Awareness raising among kebele representatives, elders and CFSTF representatives on the graduation criteria and process.

Step 4. Briefing on the graduation criteria and process to all kebele members

Step 5. DA’s prepare an overview of household assets of all PSNP participants who have taken a household package and credit