ASARECA Operational Plan

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2 ASARECA Operational Plan

3 Association for Strengthening Agricultural Research in Eastern and Central Africa Operational Plan Supporting the reduction of poverty and the improvement of food security and nutrition in Eastern and Central Africa 1 December 2013

4 ASARECA Operational Plan Association for Strengthening Agricultural Research in Eastern and Central Africa Correct citation ASARECA [Association for Strengthening Agricultural Research in Eastern and Central Africa] ASARECA Operational Plan 2, : Supporting the reduction of poverty and the improvement of food security and nutrition in Eastern and Central Africa. ASARECA, Entebbe. Fair use policy This publication may be reproduced with the intention of increasing its availability to those who need it. ASARECA encourages fair use of reproduced material. Proper citation is requested. Association for Strengthening Agricultural Research in Eastern and Central Africa (ASARECA) Plot 5, Mpigi Road PO Box 765 Entebbe, Uganda tel: /320556/ fax: / website: Editor: Anne Marie Nyamu, Editorial and Publishing Consultant, Nairobi, Kenya Designer: Timothy Maleche, ImageMate, Nairobi, Kenya

5 Foreword The Association for Strengthening Agricultural Research in Eastern and Central Africa (ASARECA) is a sub-regional not-for-profit organization whose mission is: To enhance regional collective action in agricultural research for Development (AR4D), extension, training and education to provide economic growth, fight poverty, eradicate hunger and enhance sustainable use of resources in Eastern and Central Africa (ECA). ASARECA was established in 1994 and currently comprises 11 ECA member countries, namely: Burundi, Democratic Republic of Congo (DRC), Eritrea, Ethiopia, Kenya, Madagascar, Rwanda, South Sudan, Sudan, Tanzania and Uganda. The 11 member countries cover an area of 8.5 million km 2 and host a population of more than 350 million people, most of whom are rural dwellers pursuing agricultural livelihoods. The sub-region devotes about 300 million hectares of land to agricultural activities and agriculture accounts for about 43% of the regional gross domestic product. Agriculture is therefore an important sector in the social and economic development of ECA. ASARECA sees improved delivery and impact of scientific knowledge, policy options and technologies as a powerful instrument to drive the ECA sub-region towards meeting the goals of the Comprehensive Africa Agriculture Development Programme (CAADP), the agricultural agenda of the African Union/ New Partnership for Africa s Development (AU/NEPAD) and of the Sustainable Development Goals (SDGs). ASARECA has been operating on a 10-year Strategic Plan which runs between 2008 and The strategy is being implemented under two operational plans. The first Operational Plan (OP1; ) provided guidance on the implementation of the first five years of the ASARECA Strategy. During that period, the 11 ASARECA member countries have continued to invest in agricultural research, extension, education and training; while ASARECA has continued to mobilise operational finances to support partner national agricultural research and extension systems (NARES). Support provided to ASARECA by its development partners has significantly added value to the investment initiatives on agricultural research for development (AR4D) in the ECA region. ASARECA has in the past five years contributed to the promotion of regional agricultural research and strengthening of relations between NARES in ECA and between NARES and the CGIAR centres. During OP1, ASARECA greatly expanded its mandate to link agricultural research to the political dialogue through the Common Market for Eastern and Southern Africa (COMESA), the East African Community (EAC), the Forum for Agricultural Research in Africa (FARA) and AU/NEPAD. ASARECA also continued to monitor political and institutional change in the global research environment and provide representation in appropriate fora to its member countries. As the OP1 period comes to an end, ASARECA has developed a second Operational Plan (OP2) which is meant to build on the successes of OP1 taking into account the changed environment in which it operates and lessons learnt. The OP2 document has been developed through a highly consultative process and the document presented herein has been approved by the ASARECA Board of Directors. The document leverages on the ASARECA priority of transforming agriculture in the ECA sub-region into a viable market-oriented sector. I wish to assure all stakeholders that ASARECA is committed to the full implementation of the OP2 document. Dr. Fina Opio Executive Director, ASARECA iii

6 ASARECA Operational Plan Acknowledgements I thank the various stakeholders of ASARECA who were involved in one way or another in the development of the OP2 document. Your inputs helped to enrich this document and make it more focused to your needs as stakeholders. I thank ASARECA s development partners including the World Bank for their continued support and for walking through the entire OP2 development process with ASARECA and making very valuable contributions to the process and document. I also acknowledge with thanks the great input of ASARECA Secretariat staff and the able leadership and patience provided by the lead consultant, Dr John Sutherland. I thank the ASARECA Board of Direrctors for providing oversight and making valuable contributions, besides granting their approval to the document. Dr Fina Opio Executive Director, ASARECA iv

7 Contents Foreword... iii Acknowledgements... Acronyms and abbreviations... viii ASARECA profile... Executive summary... xiv 1. Background and introduction History and Background Wider policy environment Lessons learned at programme-level during OP Strategic Framework for OP Justification for the new Operational Plan Planning process Operational Plan in the context of the Strategic Plan The Operational Plan Revised logframe Thematic approach to implementation Overview of thematic approach Crosscutting issues Organisation of themes Programmes and units CGS management and implementation Resource sharing and optimisation Quality of science Monitoring, evaluation and learning (ME&L) Support to ASARECA core functions Core functions overview Coordination and partnerships Capacity strengthening Knowledge management Integration of upscaling Advocacy Gender mainstreaming Environmental and Social Safeguards (ESS) Organisation and governance Changes to support the paradigm shift Issues of change and change management The Board of Directors The Secretariat Financial management iv x v

8 ASARECA Operational Plan Implementation schedule Overview and introduction Inception Transition Phase Main implementation of OP Financial plan for the Operational Plan ( ) The model of the financing plan Budgeting methodology The financial reporting structure Resource Mobilisation Strategy Conclusions Bibliography Definitions for the terms and indicators in the OP2 logical framework (Table 2) Annexes Annex 1 Recommendations adopted by ASARECA s 1st General Assembly Annex 2 Proposed ASARECA Knowledge and Information Hub Annex 3 Preconditions for implementation of OP Annex 4 Programme and unit achievements and priorities Annex 5 Issues and options for engagement with private sector Annex 6 The substance and process of change Annex 7 Indicative draft logframe for change management Annex 8 Indicative change management timetable Annex 9 Possible terms of reference of Technical Advisory Committee Annex 10 Human resources requirements for OP Annex 11 ASARECA OP2 core functions profiles Annex 12 SWOT analysis of ASARECA operations Annex 13 Three funding scenarios for OP Figures Figure 1 ASARECA member states... x Figure 2 Programme-Thematic approach and logframe links Figure 3 ASARECA impact pathway Figure 4 ASARECA results chain Figure 5 Balance of functions required by the Principle of Subsidiarity Figure 6 ASARECA organisational structure under OP Figure 7 The 4-Step Change Management Framework Figure 8 Revised organisational structure for OP Figure 9 Summary of key change management events vi

9 Boxes Box 1. Selected acheievements under OP1... xiii Box 2 Preconditions for success of OP Box 3 CGS related issues to be resolved Box 4 Mechanisms for improved engagement with private sector Box 5 Principle of subsidiarity Box 6 Substance of change for OP Tables Table 1 Summary of logframe narrative statements Table 2 ASARECA OP2 logical framework Table 3 Proposed ASARECA OP2 targets under different funding scenarios Table 4 Overview of projected costs at three funding scenarios Table 5 Summary of budget costs for the three funding levels vii

10 ASARECA Operational Plan Acronyms and abbreviations AFAAS AIS ANAFE AnGR ARD ASARECA AU BoD CAADP CGIAR CGS CMT COMESA CORAF/WECARD CRP CSA DED DONATA EAAPP EAC EAFF ED ESS FAAP FARA GDP GM GMO HR IAR4D ICT ICU IFPRI IPR IT KMUS M&E M4P MDTF MIS NARES NARI NARS NEPAD NGO NPP African Forum for Agricultural Advisory Services Agricultural Innovation System African Network for Agriculture, Agroforestry and Natural Resources Education Animal genetic resources Agricultural research for development Association for Strengthening Agricultural Research in Eastern and Central Africa African Union Board of Directors (of ASARECA) Comprehensive Africa Agriculture Development Programme Consultative Group for International Agricultural Research Competitive Grant Scheme Change Management Team Common Market for Eastern and Southern Africa Conseil Ouest et Centre Africain pour la Recherche et le Développement Agricoles/ West and Central African Council for Agricultural Research and Development CGIAR Research Programme Climate Smart Agriculture Deputy Executive Director Dissemination of New Agricultural Technologies in Africa East African Agricultural Productivity Programme East African Community East African Farmers Federation Executive Director Environmental and Social Safeguards Framework for African Agricultural Productivity Forum for Agricultural Research in Africa Gross domestic product Gender mainstreaming Genetically modified organism Human Resources Integrated agricultural research for development Information and communication technology Information and Communication Unit International Food and Policy Research Institute Intellectual Property Rights Information technology Knowledge Management and Upscaling Programme Monitoring and evaluation Making Market Systems Work Better for the Poor Multi Donor Trust Fund Management Information System National agricultural research and extension system National agricultural research institute National agricultural research system New Partnership for Africa s Development Non-governmental organisation Networks, Programmes and Projects viii

11 OP1 Operational Plan OP2 Operational Plan PAAP Policy Analysis and Advocacy Programme PCD Partnership and Capacity Development (Unit) R4D Research for development REC Regional economic community RUFORUM Regional Universities Forum for Capacity Building in Agriculture SADC Southern Africa Development Community SWOT Strengths, weaknesses, opportunities and threats TIMPs Technologies, innovations and management practices UniBRAIN Universities for Business and Research in Agricultural Innovation ix

12 ASARECA Operational Plan ASARECA profile The Association for Strengthening Agricultural Research in Eastern and Central Africa (ASARECA) is a not-for-profit sub-regional association of the national agricultural research and extension systems of 11 countries. The member countries are: Burundi, the Democratic Republic of Congo (DRC), Eritrea, Ethiopia, Kenya, Madagascar, Rwanda, South Sudan, Sudan, Tanzania and Uganda (Figure 1). ASARECA brings together scientists and other stakeholders to generate, share and promote knowledge and innovations to solve the common challenges facing agriculture in the 11 member countries. Collectively, ASARECA and its partners work to assist smallholder farmers in Eastern and Central Africa (ECA) to practice productive and profitable agriculture. Figure 1: ASARECA member states x

13 The 11 ASARECA countries cover an area of 8.5 million km 2 with a total population of more than 350 million people, most of whom are rural dwellers pursuing agriculture based livelihoods. Roughly one-third of the total land area (about 300 million hectares) in the ECA sub-region is devoted to agricultural use. Agriculture is the most common occupation in the sub-region, featuring heavily in the national economies and accounting for about 43% of the sub-regional gross domestic product (GDP). In the Maputo Declaration of 2003 African countries committed themselves to increase spending in agriculture to at least 10% of their national budgets by However, by 2012 only Ethiopia in the ECA sub-region had exceeded the 10% mark; Madagascar, Sudan and Tanzania were operating at between 5% and 10% with the rest of the countries investing well below 5% level. Low investment in agriculture and agribusiness has therefore continued to result in low levels of productivity growth in the sector. With the sector being an important feature of most national economies, sluggish growth in agricultural productivity has translated into deepening poverty, sluggish overall economic growth and generally low per capita income levels. Average annual GDP per capita for stood at US$659 for the Common Market for Eastern and Southern Africa (COMESA) region, a marginal increase from a modest US$520 in High levels of agricultural imports, particularly of staples, appear to be only partially filling the consumption needs of a population lacking purchasing power, resulting in high levels of adult and child malnutrition and unacceptable child mortality rates. Since the ASARECA member countries share common agro-ecological zones, they largely face similar challenges and opportunities in their agriculture sectors. Transboundary challenges are numerous and include epidemics such as the maize lethal necrosis disease (MLND), wheat stem rust Ug99, etc. The incidence of such epidemics is likely to be compounded by climate change. Agriculture in the ECA region is also constrained by divergent policy regulations that hinder innovation, technology transfer and cross-border trade. In addition, the limited capacities for research and development in ECA could be efficiently shared regionally. In spite of these challenges, opportunities exist that would generate economies of scale and enhance synergy if they were to be harnessed jointly by the region. The ASARECA member countries can draw from the strong impetus and commitment to regional economic integration; emergence of continental policy frameworks; and the potential to be the world s next food basket. To effectively harness these opportunities and address the key constraints to agriculture, concerted efforts would be required through sub-regional collective action and investment. To draw the requisite collective action, ASARECA was established in 1994 by the then 10 pioneering member countries to: Promote common welfare through collective action by jointly addressing challenges and opportunities to improve agriculture in the sub-region. Coordinate the generation of cost effective technologies, knowledge and innovations that would be shared, as public goods, among member countries. Complement the activities of national institutions in delivering the products and services of agricultural research, extension and training needed by people in the sub-region. Provide a forum for regional dialogue on agricultural policy bottlenecks. The Vision for ASARECA is to be a: Regional leader in agricultural research and development for improved livelihoods in Eastern and Central Africa. xi

14 ASARECA Operational Plan Its Mission is to: Enhance regional collective action in agricultural research for development, extension and agricultural training and education to promote economic growth, fight poverty, eradicate hunger and enhance sustainable use of resources in Eastern and Central Africa. Under the first ASARECA Operational Plan (OP1), the ASARECA goal was to contribute to: Enhanced sustainable productivity, value added and competitiveness of the sub-regional agricultural system. The ASARECA purpose was to contribute to: Enhanced utilisation of agricultural research and development innovations in eastern and central Africa. Central to the ASARECA vision and mission is the value of regional collaboration among member countries to improve the livelihoods of their people. Through collective action, member countries are able to improve food security and increase incomes of their people while fostering broad-based, sustainable economic growth. ASARECA sees improved delivery and impact of scientific knowledge, policy options and technologies as a powerful instrument to drive the sub-region towards meeting the targets of the Comprehensive Africa Agriculture Development Programme (CAADP), the agriculture agenda of the New Partnership for Africa s Development (NEPAD) of the African Union (AU). In line with the CAADP agenda, ASARECA develops policies and programmes aimed at deepening cooperation in agricultural research and development and policy among its member countries, for the mutual benefit of all the stakeholders in the agriculture sector. ASARECA implements its strategy for agricultural research for development through partners in member country national agricultural research and extension systems (NARES) along the continuum of agricultural research, training, extension and education. Stakeholders of ASARECA hence include: Farmer associations National and sub-regional associations that coordinate agricultural research, extension, training and education Associations of processors of agricultural products Associations of agricultural service providers Associations of agricultural businesses and related marketing agents Consumer associations Organised women groups and youth groups working in agriculture Non-governmental associations working in agricultural research and development International agricultural research centres Universities and advanced research institutes Investors and donors/development partners. During OP1 ASARECA made significant achievements, as highlighted in Box 1. xii

15 Box 1: Selected achievements of ASARECA under OP1 In the implementation of the first Operational Plan ( ), ASARECA made significant strides in attaining its goal and project development objectives of enhancing agricultural productivity. Among the key achievements realised are: A total of 228,349 rural households have benefited directly from ASARECA-related support initiatives, and over 1.37 million individuals have directly benefited from an assortment of ASARECA support initiatives. Furthermore, 56,228 farmers and other stakeholders have used new technologies, innovations, and management practices (TIMPs) generated and availed for uptake from projectrelated interventions. A total of 364 different technologies, innovations and management practices (TIMPs) were either generated or improved to suit farmers demands. A total of 435 demand-driven gender-responsive TIMPs were availed for uptake by targeted stakeholders. For example, through the adoption of drudgery-saving equipment such as ox-planters, ox-weeders, ox-rippers and threshers, farmers have reported reductions in drudgery by up to 75% per acre. The project benefits have accrued in many ways, including additional income to farmers, processors, small-scale traders, and increased productivity of selected commodities. Selected smallholder farmers in sampled projects have generated over US$500,000 from using these TIMPs. Over 1,000 ha of land have been dedicated to improved TIMPs, especially for the production and multiplication of quality pre-basic, basic and certified seeds. Over 800 metric tons of quality seed of selected crops have been produced and either sold or distributed to farmers for further multiplication. Similarly, over 5,000 ha of highly degraded lands and watersheds have been reclaimed, thereby enabling the targeted households have steady water supply for domestic and farm use. ASARECA contributed to enabling policy environments through review of existing policies, laws, regulations and management practices. A total of 89 policies, laws, regulations and procedures were analysed, 39 presented for legislation and dialogue, while 37 were approved by various legislative bodies, the East African Community and the Common Market for Eastern and Southern Africa (COMESA) parliaments. As part of enhancing capacity strengthening of national agricultural research systems (NARS), over 400 assorted infrastructures were provided to targeted partner institutions. At the same time, over 280 different partnerships were formed. Over 60,000 persons (34,009 male and 30,887 female) were trained in: integrated water management, value addition, integrated soil fertility management, value chain development, project management, monitoring and evaluation, environment and social safeguards, basic agronomic and management practices, among others. In addition, over 50 students (14 PhD, 35 MSc, and 5 BSc) benefited from ASARECA long-term training. ASARECA facilitated the production of over 700 different information packages that include peerreviewed journal articles, books, and chapters in books, electronic newsletters, conference proceedings and manuals. These products were made available to partners through over 250 different delivery pathways such as websites, flyers, TV, radio, SMS, dissemination events, media events, farm trials, multimedia (You Tube) among others, thereby benefiting over 1 million targeted stakeholders. Full details of economic benefits are anticipated in the ongoing OP1 evaluation. xiii

16 ASARECA Operational Plan Executive summary Background and introduction The first ASARECA Operational Plan (OP1) provided guidance on the implementation of the first five years of the ASARECA Strategy To address the changing environment and make the best use of the lessons learned, ASARECA is now launching its second Operational Plan (OP2), which builds on experiences gained, to align its approach to meet the new challenges facing agriculture in Eastern and Central Africa (ECA). ASARECA is guided by several key policy documents, the principle ones being the Comprehensive Africa Agriculture Development Programme (CAADP) and the Framework for African Agricultural Productivity (FAAP). The sub-regional integration of regional economic blocs (the East African Community [EAC], the Common Market for Eastern and Southern Africa [COMESA] and the Southern African Development Community [SADC]) also provides a set of opportunities. Though there remains high interest in agriculture at the global, continental and sub-regional levels, the ECA sub-region has continued to face many technical as well as policy-based and related challenges which have evolved and developed since OP1 started. Among the key challenges are ensuring food security and adequate nutrition for the ever-increasing population; and overcoming the adverse effects of climate change and climate variability. To proactively address climate change related issues, ASARECA proposes to adopt and promote the Food and Agriculture Organization of the United Nations (FAO) recommendations on Climate Smart Agriculture (CSA). The CSA approach has the potential to positively contribute to the three Sustainable Development Goals (SDG): economic, social and environmental development. The ASARECA initiatives described in this document as well as the anticipated outcomes are therefore well aligned to the three pillars of CSA: (1) sustainably increasing agricultural productivity and incomes; (2) adapting and building resilience to climate change; and (3) reducing and/or removing greenhouse gas emissions, where possible. Expected outcome indicators of CSA will include enhanced food security, better mitigated climate change, and sustainable conservation of natural capital and flow of vital ecosystems services. ASARECA also proposes to take a more proactive leadership role in catalysing cooperation among sub-regional stakeholders as part of its strategy for enhancing collective action during the OP2 implementation period. ASARECA sees itself evolving into a sub-regional learning centre on how to transform agriculture, a think tank, and a knowledge and information hub supporting all aspects of sub-regional agriculture. In developing this second Operational Plan, many stakeholder consultations and numerous sources of information were used, both internal and external to the organisation. The OP2 document recognised the need to build on the positive and negative lessons learned in the implementation of OP1 and integrates the views and demands of stakeholders along the agricultural products value chains. Further, it recognised the need to take into account the prevailing challenges and opportunities in the agriculture sub-sector. The top priority for ASARECA remains transforming agriculture into a viable market-oriented venture by focusing on access to markets for smallholder farmers, most of whom are women, and providing them with appropriate information on marketing forces and requirements such as quality, quantity and price. This, ASARECA anticipates, shall succeed in drawing more youth to agriculture. xiv

17 Planning process The ASARECA Strategic Plan covers a 10-year period and outlines where the organisation wishes to be by This second Operational Plan (OP2) is a statement linked to lessons learned, changing external and internal conditions and fresh priorities of how ASARECA intends to carry out its business from 2014 to It is based on a new results framework developed through a consultative process with stakeholders. The OP2 Impact and Outcome statements are aligned and coherent with the Goal and Purpose statements in OP1 respectively. The five new Outputs define what ASARECA will be accountable for delivering in the next five years. The narrative statements for the OP2 logframe are: Impact Competitiveness of appropriate agricultural systems improved. Outcome Equitable access and utilisation of agricultural research and development innovations enhanced. Outputs 1. Appropriate technologies, innovations and management practices (TIMPs) generated. 2. Appropriate TIMPs disseminated and upscaled. 3. Appropriate policy analysis and advocacy enhanced. 4. Stakeholder capacity for innovation strengthened. 5. Communication, information and knowledge management improved. Output 1 remains one of the ASARECA core areas of comparative advantage; although a more equitable distribution of resources and effort between this and the other outputs will be a feature of OP2. Output 2 has been deliberately separated to emphasise the importance that ASARECA places on scaling out and scaling-up agricultural TIMPs to ensure spill-in through opening up to more farmers in different districts within the same country as well as ensuring spillover through upscaling the technologies in similar ecological zones across ASARECA member countries. Output 3 is an important part of ensuring free access to input and output markets, and guaranteeing the competitiveness of raw and processed farm produce. Output 4 is a key element of the core business of ASARECA. Finally, Output 5 will support the ASARECA advocacy role and deliver a higher profile organisation that communicates freely with a wide range of primary and secondary stakeholders and partners with additional internal benefits for ASARECA, leading to a new strategic role for ASARECA as an information and knowledge hub. Some critical Secretariat and ASARECA-wide institutional strengthening issues are not covered directly by the Outputs. These are establishment of a knowledge and information hub; mainstreaming of environmental and social safeguards (ESS) in all activities; gender mainstreaming; monitoring and evaluation (M&E); and change management. However, these issues are recognised as preconditions to success and underpin the whole Operational Plan. Implementation approach A programme-based approach was successfully institutionalised under OP1. However, this approach continues to evolve in an external environment which is constantly changing and placing fresh demands on implementation. xv

18 ASARECA Operational Plan The programme structure has encouraged a commodity approach, with emphasis on technology rather than the users of the technology. Key crosscutting areas are separate programmes and units, with their own projects; no formal system has been in place to ensure that they add value to the commodity programmes. This and related issues will be addressed through a combined Programme- Thematic Approach and a changed institutional culture, supported through deliberate change management to institutionalise a multi-disciplinary approach. ASARECA will develop multi-disciplinary projects which capture crosscutting issues and are based on priorities clustered under Themes. A theme is defined as a major opportunity or challenge facing agricultural transformation in the sub-region. For each thematic area, calls for proposals for projects will be developed jointly by the programmes and units, which will remain cost centres. Using this approach programmes and units will develop joint calls for proposals. This means the calls will no longer be made in isolation or outside of the thematic areas. Theme coordinators will be assigned by the Executive Director in consultation with the Deputy Executive Director (DED), and will be drawn from the pool of Programme Managers; they will report to the DED. The role of the theme coordinators will be to convene meetings of programme managers and unit heads to develop multi-disciplinary calls for projects which address the priorities of the theme. In consultation with the programme managers and unit heads, the theme coordinators will be responsible for developing detailed annual work-plans, cost estimates, and expected outcomes under each theme with linkages with the rest of the themes. The themes shall not be part of the ASARECA Secretariat structure, but shall exist as operational virtual means for institutionalising collaboration between programmes and units. The approach will include the strengthening of management and leadership skills within the Secretariat and supporting a shift in attitude to encourage a multi-disciplinary, multi-sectoral approach to implementation of all programme/project activities that must be oriented to theme outcomes. The nomenclature and approach in OP2 is deliberately designed to move away from the concept of commodity-based programmes driving the agenda. Moreover, it is an evolution and development of the programme approach designed to capture the lessons learned and major achievements of OP1. Some of the key factors driving the Programme-Thematic Approach include the importance of crosscutting disciplines, and the need to adopt an integrated approach to resolving challenges facing agriculture and as a mechanism for harnessing opportunities that would contribute to stimulating agricultural transformation. This approach will be a key requirement in achieving sustainable development goals as well as the outcome indicators for CSA. Developed projects will remain subregional rather than multi-country, i.e., they will deal with transboundary issues affecting several countries as opposed to having similar things repeated in different countries. OP1 emphasised the role of ASARECA in supporting farmer empowerment. OP2 will continue this by specifically targeting poverty in project design and implementation by identifying discreet target populations. xvi

19 The challenges of ensuring food security and nutrition while developing livelihoods resilience mechanisms to counter the effects of climate change and climate variability will be addressed through three themes: Natural Resource Management and Ecosystems Services (NRMES) Markets, Market Linkages and Trade (MMLT) Sustainable Agriculture, Food Security and Nutrition (SAFSN) Calls for project proposals will be formulated under each theme to address prioritised, sub-regional challenges and opportunities. The priorities identified for these themes are based on in-depth analyses of existing programmes, strategies and priorities as well as consultations with stakeholders. The priorities were reviewed and validated by stakeholders as part of the OP2 inception phase. The three themes provide a clear poverty, food and nutrition security focus. The focus will aim to increase the resilience of households and systems to respond to threats posed by a wide range of biological, social, environmental and political challenges. Currently, ASARECA has eight programmes and five crosscutting units. These will remain the cost centres under the new paradigm. However, the roles and responsibilities will be reviewed to ensure they provide the necessary conditions for successful implementation. The programme-thematic approach will focus on multi-disciplinary initiatives that consider the value chain and the numerous parameters involved in creating interest in new technologies across a range of stakeholders. Up- and out-scaling will be integrated into activities throughout the life of projects and be governed by a communications strategy which is defined, agreed and budgeted for. The influences of research products on the whole system will be considered before upscaling, and indicators of success will target transformational outcomes. Market-oriented approaches will be used with strategic partnerships and increased engagement with the private sector. New and innovative partnerships will be developed with a range of stakeholders who have the expertise and skills outside of those engaged directly in agricultural research. Since the ECA sub-region has limited high-tech facilities, partnerships with universities and advanced research institutes will be developed and maintained as part of the wider ASARECA networking process. Selection and implementation of research project activities will still remain based on a Competitive Grant System (CGS). Current funding mechanisms will be reviewed, refined and adapted to address issues and to broaden the scale and scope of stakeholder involvement. To ensure the quality of ASARECA science, sets of harmonised standards or procedures, by which technologies of different categories are validated at the sub-regional level, will be institutionalised and promoted. This will ensure that validation and peer review systems are developed and implemented. Linked to the quality of science is the issue of value for money. ASARECA is determined to ensure that the investment in projects and other initiatives reflects measures of economy, efficiency, effectiveness and cost effectiveness in terms of delivering the organisation s outputs. xvii

20 ASARECA Operational Plan Crosscutting issues The core functions of ASARECA reflect its role as a sub-regional organisation. These functions are the foundation which underpins ASARECA value addition to agricultural development. Knowledge and Information Hub As a sub-regional organisation, ASARECA recognises the need to leverage her capacity to serve as a repository for knowledge and information as well as a think tank on agriculture. To enhance her capacity in this regard, ASARECA proposes to establish a Knowledge and Information Hub (KI-hub) in the ECA sub-region. The KI-Hub will be a focal point for generating and exchanging knowledge, developing new ideas and networking. Among others, the hub will mainstream new scientific concepts in TIMPs and policies in the region. It will serve to facilitate learning and increase the capabilities of ASARECA stakeholders. The hub will also serve as a subregional focal point for data and information generated by ASARECA and other agricultural research for development (AR4D) organisations both in ECA and beyond. The ASARECA KI-hub will achieve the following four mutually reinforcing outputs: 1. Learning and innovation centre for agricultural research and development (AR4D) established and operationalised. 2. AR4D think tank established and operationalised. 3. Platforms for information exchange established and institutionalised. 4. Technology and information clearing house established and operationalised. Monitoring and evaluation ASARECA has institutionalised a functional M&E system. A focus of M&E will be identifying and building on the lessons learned from the process. The M&E unit will be renamed as the M&E and Learning Unit with specific responsibility and terms of reference to ensure that ASARECA continues developing as a learning institution. To ensure efficient M&E systems and reliable results, M&E processes will be standardised through closer collaboration with the other sub-regional organisations (SROs) and FARA to ensure consistency with the CAADP FAAP principles and indicators. Gender mainstreaming ASARECA recognises the importance of gender mainstreaming and that it enhances the understanding of socio-economic issues, putting a human face on activities. Gender is no longer viewed as a women s issue or an issue for development partners, but as something vital to understanding the needs of women and men as the people for whom ASARECA exists. This includes the needs of youth and disadvantaged groups. Development of an independent and better resourced Gender Mainstreaming Unit which is more effective and efficient in supporting gender mainstreaming in ASARECA and partners will continue. It will prioritise and focus on fewer, more strategic interventions that will strengthen capacity to address gender mainstreaming across socio-economic differentiation at all levels of its institutional and thematic work. Partnerships and coordination ASARECA is sub-regionally owned by the national agricultural research and extension systems (NARES) of member states. This provides the opportunity to create enabling sub-regional platforms addressing issues of a sub-regional nature. This will continue and the number of partnerships will be increased. The importance of partnerships with the private sector, and the need to improve these is recognised. The key issues and potential strategies for addressing these partnerships have been identified. xviii

21 ASARECA also has a convening role with the ability to bring various stakeholders together to address sub-regional priorities. The importance of this with a particular focus on the new themes will be emphasised. Capacity strengthening Within the ASARECA Secretariat, a training needs analysis will be carried out and appropriate funding will be identified to support an itemised plan for human resource development. This will include building the capacity of Secretariat staff to improve skills necessary to implement this Plan. For NARES and stakeholders, general capacity strengthening will support a targeted capacity assessment of member country NARES to identify gaps and potential areas for synergy and partnership development. This will then be used to provide training through a range of approaches. Capacity development functions will be explicitly built into all new projects, and guidance notes on capacity development will be prepared to support this. Capacity development will also be built into partnership arrangements and become a key part of new projects. Emphasis will be on learning by doing. Infrastructure development will be determined in a participatory manner, considering the resources available. Participating institutions will be expected to make their own contribution including in-kind contribution and will be expected to sustain the infrastructure beyond the ASARECA funding. Knowledge management Support will be increased for uptake and upscaling by addressing issues identified during OP1. Project design will deliberately incorporate mechanisms to document and share spillover between countries and encourage the dissemination of research findings beyond participating project countries. Advantage will be taken of lessons from the use of innovation platforms and alternative uptake pathways with innovative partnerships being explored. The potential that ASARECA has to become a sub-regional hub of knowledge and information will be realised. The hub will ensure mechanisms for sharing the sub-regional benefits of ASARECA work are effective. It will include the use of innovative approaches such as platforms for multi-stakeholder engagements and learning events such as joint field visits. A new Communication and Public Relations Unit will address information and communication issues at corporate, thematic, programme and project levels through more clearly defined roles on information management. The unit will package information about ASARECA for a range of media and different audiences to raise the organisation s profile and increase the visibility of its achievements. Advocacy ASARECA representation at high-level, regional, agriculture-related fora at COMESA ministerial meetings and AU/NEPAD will be treated as a high priority to increase its ability to engage and influence high-level policy processes in the sub-region. An advocacy strategy and implementation plan to support the development of high-level advocacy skills and a stronger, focussed advocacy thrust will be developed. Organisation and governance The existing structure and governance proved useful and effective during implementation of OP1 but is constantly evolving to meet fresh demands and needs. Several further changes, driven by the shift to a Programme-Thematic Approach, are proposed to increase accountability, transparency and efficiency. xix

22 ASARECA Operational Plan ASARECA has successfully gone through substantial changes since However, no formal change management programme was in place to oversee these, and significant areas were neglected. A formal and structured management of change process was started in January The process will be facilitated and mentored by the recruitment of a Change Management Specialist(s) to guide support and mentor the process in collaboration with a Change Management Team comprising ASARECA staff members. Change management will be integrated into everything that ASARECA does. Board of Directors The roles, composition, committees, and performance as well as skills sets of Board members will be reviewed and aligned with the demands of this Plan. Technical Advisory Committee A Technical Advisory Committee (TAC) will be established to act as the technical advisory arm to the Executive Director. This will have clear terms of reference and a clear operational plan of its own. The Secretariat The new Programme-Thematic approach will be coordinated and managed by the DED. Senior technical staff will remain as they were under OP1, as programme managers and unit heads. Each Theme will have a Programme Manager assigned as a Theme Coordinator responsible for convening meetings and drawing annual work-plans and cost estimates. An Environmental and Social Safeguards Specialist will ensure that proposed work integrates appropriate environmental and social safeguards criteria. Projects will be largely managed as they are under OP1. Given that projects will be based under themes, the Executive Director in consultation with the DED will appoint a focal point manager to oversee the implementation of specific project(s) and ensure delivery of expected results. For each project, a team will be constituted with clear responsibilities. A special Crosscutting Committee under the chairmanship of the Executive Director will be created to advise, support and develop ASARECA-wide policy and initiatives. The scope and scale of the Committee will go beyond that covered by the themes, projects and activities. The Information Communication Unit of OP1 will be split into a Communications and Public Relations Unit and an Information Technology Unit. Job titles and descriptions will be reviewed to reflect the responsibilities attached to them. The staff representation outlined in the Operational Manual will be operationalised. ASARECA operations will be guided by the principles and policies in the Operations Manual which will be periodically reviewed to cater for oversights. Implementation schedule Several practical issues need to be taken into consideration for implementation. The principal one is the projects for which funds are already committed and which are operating under the programme approach. These need to be completed and, where appropriate, absorbed into the new paradigm. The preparation for implementation of OP2 will start as soon as the document has been approved by the Board of Directors. ASARECA anticipates that an Inception Transition Phase of months will address several key issues. An indicative timetable has been developed for this. Once the Inception Transition Phase is completed, full implementation will include not only the research and other activities of ASARECA, but also the institutionalisation of the changes (substance xx

23 and process) identified in the Operational Plan. The anticipated changes will be aided and guided by a change management specialist and a team of change champions. Financial plan for the Operational Plan There are no major differences between OP1 and OP2, in terms of budget centres. The current automated financial system and guidelines are flexible and will be able to accommodate the new programme-thematic approach with minimal modifications. The themes will be budget centres for core project investments. All other financial systems and mechanisms remain the same, but may evolve over time. A summary of the indicative costs for implementing the five-year Plan are given below, based on three possible scenarios or activity levels: A high case level estimated at US$181 million, which reflects the maximum absorptive capacity of the organisation and the level likely to trigger the anticipated scale transformation. A medium case portfolio, which would be appropriate in the face of limited funding of US$147million. A low case portfolio of US$90 million, which would be appropriate under highly constrained/ limited funding. In OP2, ASARECA will continue to conduct ex ante and ex post analyses of financial and economic benefits accruing from the proposed investments in research. ASARECA will document benefits accruing from: (1) the generation, dissemination and adoption of improved production and processing technologies; and (2) enhanced technology spillover among ECA countries from cross-border transfer and sharing of technologies, and networking of researchers. Given the three possible funding levels of US$181 million, US$147 million or US$90 million, ASARECA anticipates the following results: (1) at least 6% (5.5%; 5%) increase in agricultural production; (2) at least 3.5 million (2.5 million; 1.8 million) households with increased farm-level incomes; (3) at least 10.5 million (9 million; 5.5 million) children under 5 years benefiting from improved nutrition; (4) over 600,000 ha (450,000 ha; 300,000 ha) of land under improved TIMPs; (5) at least 21 million (18 million; 11 million) households with improved nutrition levels; and (6) at least US$900 million (US$800 million; US$720 million) generated by targeted stakeholders through ASARECA support. Resource mobilisation plan To raise adequate resources to support the implementation of OP2, ASARECA has developed a Resource Mobilisation Strategy. The purpose of this strategy is to guide and facilitate the mobilisation of adequate resources to: (1) support the ASARECA key result areas and related activities; (2) support operations at the ASARECA Secretariat; (3) fund activities that support the vision and goal of ASARECA; and (4) facilitate the establishment of the ASARECA Knowledge and Information Hub. This strategy is founded on the ASARECA organisational setup as a sub-regional agency with the mandate to guide and support agricultural transformation in the ECA sub-region. Mobilised resources will help ASARECA position itself as a sub-regional think tank, knowledge and information hub, and a learning centre on how to truly transform the agriculture sector. xxi

24 ASARECA Operational Plan

25 1 Background and introduction 1.1 History and background The Association for Strengthening Agricultural Research in Eastern and Central Africa (ASARECA) started to develop its first Operational Plan 1 (OP1) in 2005; the Plan was approved in 2008/2009. OP1 provided guidance on the implementation of the first five years of the ASARECA Strategy. 2 During OP1, ASARECA established and operationalised performance-driven gender-sensitive governance and management structures and systems. These were based on five-year priorities set by regional stakeholders that identified strategic thematic areas that guided development of interventions for each programme and unit. Technologies, innovations, policies, standards, procedures/frameworks and management systems were developed and others introduced and adapted for key commodities (crops, livestock, fisheries and forestry). Countries in the Eastern and Central Africa (ECA) sub-region share many trade and production related issues that cut across borders. For example, pests and diseases, vagaries of climate change etc. do not respect borders. In addition, cumbersome procedures and regulations hamper crossborder access to improved technologies and trade. Challenges constraining the growth of agriculture in ECA require regional solutions. Regional collective action to produce public goods that serve as solutions to common challenges that cannot be addressed adequately by one country alone forms the core of ASARECA functions. Focus on regional problems and opportunities augers well for the regional integration strategies espoused by the regional economic blocs such as The Common Market for Eastern and Southern Africa (COMESA) and the East African Community (EAC). Regional action has the potential to promote food security in ECA by easing access to technologies, sharing best practices and facilities, and easing trade in food products through reduced transaction costs. ASARECA prioritises regionally strategic interventions that complement rather than compete with initiatives that would best be handled at the national levels. In addition, capacity strengthening for agricultural research and development, targeting both human and infrastructure needs as well as partnerships, were effectively pursued in OP1. Information products and pathways have been developed and used to promote technologies and innovations in the sub-region. During the OP1 period, conditions and priorities have changed although the overall goal has remained: reducing poverty and food insecurity; ensuring adequate nutrition; and developing mechanisms for increased household resilience to effects of climate change and climate variability 1 Operational Plan [ ] Towards achieving the Millennium Development Goals and NEPAD s agenda CAADP through the improved delivery and impact of sub-regional research. Revised Version. [draft] 2 ASARECA s Strategic Plan , Agricultural Research-for-Development in Eastern and Central Africa. ASARECA, Plot 5, Mpigi Road, Entebbe, Uganda. 1

26 ASARECA Operational Plan by harnessing agricultural development as a driver of change and wider economic growth. The need for rapid agricultural transformation has become more apparent and urgent. To address the changing environment and make best use of the lessons from the last five years, ASARECA is now launching its second Operational Plan (OP2) which builds on the experiences gained to shift its approach to meet these new challenges. 1.2 Wider policy environment ASARECA does not operate in a vacuum and is guided by several key policy documents, the principle ones being the Comprehensive Africa Agriculture Development Programme 3 (CAADP) and the Framework for African Agricultural Productivity 4 (FAAP). The sub-regional integration of regional economic communities (RECs) (EAC, the Southern African Development Community (SADC) and COMESA) also provides a set of opportunities. This sub-section provides an overview of these and other policy issues. Role in the sub-region CAADP and FAAP CAADP provides the guiding principles for agricultural research and development initiatives. A Pillar IV Implementation Support Strategy for CAADP has been jointly developed by FARA, sub-regional organisations (SROs) and other partners, and provides guidance on the roles, responsibilities, and potential contributions by ASARECA. Although this represents progress in defining the role of ASARECA in the CAADP process, further clarification is needed. For the ASARECA region to reach the annual agricultural growth rate of 6%, estimated by CAADP as the required growth rate to achieve the Sustainable Development Goals, the total factor productivity (TFP) will have to grow by 4.4% per annum. TFP is the ratio of total commodity outputs to total inputs used in production (land, labour, capital and materials). Over the last 15 years, TFP in sub-saharan Africa has been growing by an average of 1.43%. Accelerating the trend to reach a TFP growth of 4.4% requires major improvement in African capacity for agricultural research, technology development, dissemination and adoption together with enabling policies, improved markets and infrastructure. ASARECA priorities for OP2 under each of the three themes are positioning the institution as a major actor in the collective effort to achieve TFP growth rate to the required 4.4% in ECA. Among many of the proposed initiatives in OP2, research aimed at promoting soil fertility and conservation; enhancing water productivity at the farm and watershed levels will for example contribute directly to improving land capital productivity. Labour productivity and social capital will be harnessed through the strong capacity building agenda of OP2 and through the innovation system approach which will proceed by establishing platforms for action research, learning and communication between major actors along the value chains. Priorities under the Markets, Market Linkages and Trade Theme including enhancing regional competitiveness, value addition, processing, value chains and commercialisation of crop, livestock and fish products and improving market access are expected to result in increased income from the various actors along the value chains. This in turn will translate into strengthened financial capital that will support investments in agricultural transformation. ASARECA will work with COMESA and FARA to craft clear guidelines and coordination mechanisms to implement country CAADP compacts and investment plans. These will define country entry points, inter-pillar linkages and cooperation mechanisms. 3 NEPAD: Comprehensive Africa Agriculture Development Programme. Midrand, South Africa. August Framework for African Agricultural Productivity. June Forum for Agricultural Research in Africa, Secretariat, Accra, Ghana. 2

27 Background and introduction ASARECA engages with the wider community of science and technology institutions operating in the region and will be more proactive with a larger role in the CAADP implementation processes. This has several dimensions, including significant contributions to the technical review of CAADP plans as they relate to Pillar IV; 5 design and implementation of the regional compacts of the Intergovernmental Authority on Development 6 (IGAD) and COMESA; better capacity to provide relevant knowledge and information to support implementation of agriculture sector investment plans; advocacy to ensure regionally harmonised standards at country level; and overcome bottlenecks in intellectual property rights, including patents and plant breeders rights. Non-CAADP/FAAP and Climate Smart Agriculture issues The sub-region has many current, policy-based and related challenges which have evolved and developed since OP1 was started, and which provide a backdrop for the development and implementation of this Plan. These include HIV/AIDS which affects labour availability and productivity; high food prices that are projected to remain high in the medium term; different levels of governance and policy stability in different countries; different land-use policies; and varying and changing climatic conditions. There remains high interest in agriculture at the global (G8, World Bank, donors), continental (African Union [AU]/CAADP) and sub-regional (East African Agricultural Productivity Programme [EAAPP]) levels. The ASARECA member states must harness this interest and goodwill and be ready to guide investments to maximise benefits. There has been a lack of clarity around the sub-regional division of labour between the Consultative Group for International Agricultural Research (CGIAR) centres and other science and technology partners operating at this level, but the situation is improving. Under the recently reorganised CGIAR, ASARECA and its stakeholders have opportunities to redefine their role and promote coordination with the centres in sub-regional priority setting and action planning, especially in the CAADP context. ASARECA will take a more proactive leadership role in catalysing cooperation among these actors as part of its strategy to add value to the sub-region and focus more on realising the Climate Smart Agriculture (CSA) goals and objectives. 1.3 Lessons learned at programme level during OP1 This sub-section highlights some of the major lessons learned through practical experience and provides the link between OP1 and OP2. Many sources 7 of information and consultations were used to develop these lessons. The sources include external and internal reviews, participatory workshops, broad-ranging analyses by the ASARECA Secretariat sub-committees and the recommendations adopted by the ASARECA 1st General Assembly (Annex 1). The lessons, elaborated below, underpin some of the changes and developments described in OP2, building on strengths, using opportunities and addressing weaknesses. 5 Pillar IV of CAADP Improving agriculture research, technology dissemination and adoption the Pillar structure of CAADP is currently under review. 6 The member states are: Djibouti, Ethiopia, Kenya, Somalia, South Sudan, Sudan and Uganda. 7 Sources of information are listed in Section 9. 3

28 ASARECA Operational Plan Communication It is important to communicate and demonstrate the benefits of technologies and innovations. Where technologies and innovation resulted in increased productivity and income, and this was demonstrated and communicated, stakeholders were enthusiastic to learn more. Communication is important to ensure quality and understanding. Researchers must discuss issues with implementation partners during monitoring visits so as to sort out inconsistencies and improve efficiency. Communication strategies and mechanisms are essential for success. The sub-regional aspect of the ASARECA mandate and work has not been adequately understood by partners which results in lack of commitment and synergy. Linked to this is a low level of integration of projects across programmes and countries. More strategic effort is required to foster closer collaboration in ASARECA. This needs to be well managed and promoted. Generally, there has been a tendency for sub-grantees to work in isolation. Duration of projects To achieve widespread change and benefits, short-duration projects are not a good mechanism. What did not work well were short projects which ended before beneficiaries could realise the real benefits from implementation. For projects to be of benefit to stakeholders, they should be designed to last at least 4 5 years rather than 1 2 years which is too short. Short projects are unlikely to produce significant changes or impact. Flexibility and duration are key elements of funding which can have a significant influence on success of projects/interventions. Due to the uncertainty in timing of approval/implementation of policy reforms, projects/interventions should be flexible enough to deal with unanticipated changes and opportunities that may arise. Partnerships and platforms Holistic approaches produce greater engagement and benefit. Projects that are designed to address the value chain, involving a wide range of stakeholders, are more likely to be adopted. Multi-stakeholder and productive partnerships enhance success. Partnerships between different stakeholders are key to successful implementation of any project. Product diversification and value addition are more likely to benefit the stakeholders if business incubation is incorporated in the process at different levels. This has been done by forming innovation platforms and communities of practice which facilitate exchange of information, knowledge and experiences. This could be further enhanced through targeted funding mechanisms such as enterprise or innovation funds. Socio-economic and cultural issues must be integrated into project design. The sub-region has diverse socio-economic and cultural conditions. Projects must therefore be designed carefully and sensitively to take account of this. CGS selection criteria for projects also need to reflect this. Diversity of members contributes to the success of the platform approach. Using the innovation platform approach with diverse partners and a broad base of stakeholders greatly enhanced interactions and performance. This includes serious engagement with youth, disadvantaged groups 4

29 Background and introduction and the private sector. The nature of technologies developed through this process reflected the needs of the respective stakeholders, including households, an essential component of successful uptake. A holistic approach enhances project success. Interventions that focused on challenges and opportunities identified along commodity value chains with participatory action research and joint regional lesson sharing and learning, plus engagement with appropriate stakeholders, including the private sector were more successful. Successful scaling-up requires multi-stakeholder participation. Success and sustainability were supported by involving extension organisations (public and private) and, depending on the commodity, private sector engagement or marketing technologies. Participatory identification of priorities generates ownership and increases appropriateness. Priority identification through consultative, sub-regional processes allowed identification and ownership of outputs that were relevant to addressing the competitiveness of the agriculture sector. Technical support and capacity Technical support greatly enhances project performance and strong technical support is both helpful and necessary for success. For action-research oriented projects aimed at generating lessons learned on methodology, leadership by organisations with resource pools of diverse skills sets such as international bodies yielded better results. Projects which included an international agricultural research centre as a partner were therefore more successful. Leadership provided by appropriate CGIAR centres and international non-governmental organisations (NGOs) provided backstopping and technical capacity development as well as solid management, and excellent coordination and facilitation of the sub-regional partnering and lesson learning. Appropriate skills for project staff are critical to success. Staff need a minimum skills set to successfully engage with projects. However, these were often insufficient. Capacity building will be needed and, where possible, more critical criteria on human resource aspects of project selection under the CGS system will be factored into the initiatives. Appropriate infrastructure and equipment are needed for successful project implementation. Some advanced research demands levels of facilities and infrastructure that are often unavailable. Greater care needs to be built into selecting sub-grantees or additional provisions should be made to strengthen infrastructure. Basic levels of English are required amongst participants in collaborative projects to permit effective participation in project concept writing and implementation. Francophone and Arabic speaking partners have had problems communicating in English and additional support needs to be built into project design processes. Adoption of French as a second official language of ASARECA will enhance communication with stakeholders in the Francophone region of ECA. Good skills and understanding of financial management systems are required to utilise funds through the Multi Donor Trust Fund (MDTF). Project-based capacity building at sub-grantee level is an option to address the issue of financial management capacity. Often, skills were sub-optimal and did not support compliance with financial accountability rules. 5

30 ASARECA Operational Plan Approach, design and paradigm Market orientation is a key element in addressing rural poverty through an agricultural innovation systems approach. A market-based, value chain approach must be used because while the challenges facing farmers may be commodity-based, they are linked to entire household needs. Many crosscutting issues outside of discipline specific technical focus exist and must be considered in design and implementation. Crosscutting issues (notably environmental and social safeguards, gender mainstreaming and capacity building) need to be deliberately and explicitly built into all projects or activities to make significant impact. Appropriate prioritisation and monitoring of changes is important. Priorities set in the Strategic Plan remain relevant; what needs to change is further screening of the priorities so as to focus on a few projects and follow them through to implementation. The importance of these lessons is recognised and the M&E Unit will be renamed to the M&E and Learning Unit with specific responsibility and terms of reference to ensure that ASARECA continues developing as a learning institution. The change management process will address the institutionalisation of a learning institution ethos which provides leadership to the NARES of member states. 1.4 Strategic framework for OP2 OP2 is fully coherent with the current Strategic Plan, which addresses CAADP priorities and aims. However, the broad base of ASARECA stakeholders recognises that the Association must review and, as required, adjust its strategic role and the strategic direction in which it is heading. This is necessary because of the continued pressure on resources; the need to address the challenge of food and nutrition security; and the ever increasing uncertainties and risks associated with climate variability and change. The OP2 document recognises that any change in direction will have to be identified with stakeholders through a participatory approach. Furthermore, ASARECA will switch its focus from a body which purely awards grants, to one which is a sub-regional learning centre on how to transform agriculture; a think tank and a knowledge and information hub supporting all aspects of sub-regional agriculture (see Annex 2). Such a potential change is addressed in the articulation of the new outputs, especially Output 5. 8 It is fully compatible with the approach and concepts behind OP Justification for Operational Plan 2 Problem analysis Agriculture is the most common occupation in the ASARECA sub-region and accounts for 43% of the regional gross domestic product. Approximately 300 million hectares (roughly one-third) of the total land area in ECA is devoted to agricultural uses. About 80% of the population of over 350 million in the sub-region depend on agriculture. With the population growing at an average rate of 2.8% per 8 Communication, information and knowledge management improved. 6

31 Background and introduction annum, agricultural production must grow by at least 3% per annum to keep pace with the increasing food demands. Projections indicate that at the current rate of increase, the population of ECA will reach 692 million by 2050, an increase of 121%, which will inevitably have serious implications for food and nutrition security in the region. Generally, agricultural productivity in ECA continues to remain low with average yields for major crops falling below those obtained elsewhere in Africa and in other continents. These trends in productivity growth have translated into poor overall agricultural growth rates in individual ECA countries, and for the region as a whole. With agriculture being the backbone of most national economies in the region, sluggish growth in the sector has translated into sluggish overall economic growth and generally low per capita income levels. This bleak picture has major implications for the aggregate relationships of agricultural production, consumption, and trade in the region. Subsequently, most countries in ECA have remained net importers of major agricultural commodities. Given that the bulk of the region s population resides in rural areas and depends on agriculture for income and sustenance, and given the low levels of productivity growth in the sector, hunger and malnutrition have continued to deepen. The picture that emerges for ECA therefore is one of a region comprising countries progressively less able to meet the needs of their burgeoning populations. The above challenges are exacerbated by the low input subsistence farming that is typical of agriculture in ECA. This is characterised by unsustainable management practices and low level of inputs, low mechanisation, low adoption of agricultural innovations and uncompetitive practices in rapidly globalising markets. ECA is also one of the most vulnerable regions to climate change and climate variability due to its predominantly semi-arid to arid climate and ecology, degraded soils, extreme poverty levels and lack of infrastructure. The arid and semi-arid areas of the region constitute more than 70% of the landmass and they face extreme climatic shocks such as increasing droughts and floods. Despite these challenges, ASARECA recognises that agriculture shall, in the foreseeable future, remain the most important sector in the economies of almost all ECA countries. Regional interventions Food and nutrition insecurity in the region and the threat of increased vulnerability to effects of climate change must be addressed through innovative regional initiatives that will result in the transformation of agriculture. Significant differences exist between regional and national priorities. The NARES in the ECA region have, for example, identified elements that are under national responsibility. Even where such national priorities have been identified, interventions have often been characterised by low levels of financial support, inadequacy of human resources, weak communications, poor coordination and internal linkages among actors, structural impediments to collaboration and coordination problems. The potential benefits for regional coordination of agricultural research for development (AR4D) initiatives have been quantified and are substantial. Under OP2, ASARECA will continue to add value to the work of NARES in the sub-region through: (1) identifying shared goals and promoting economies of scale and scope through collaboration, specialisation and sharing results; (2) identifying sub-regional public goods that would be under-produced in the absence of shared goals and a regional mechanism; and (3) sharing knowledge and experiences with institutional innovation for more effective agricultural training and education. Through its sub-regional initiatives, ASARECA will improve the delivery and impact of scientific knowledge, policy options and technologies, which will 7

32 ASARECA Operational Plan serve as powerful instruments to drive the ECA region towards meeting the CAADP goal. ASARECA is appropriately positioned to contribute towards achieving the vision of AU/New Partnership for Africa s Development (NEPAD) by using strong partnerships at all levels. The expressed opportunities indicate that many conditions favourable to positive reform are in place. These include the will for change; domestic, political and policy support; and development partner support. ASARECA has chosen to position itself strategically as both the advocate of the ECA region and a conceptual player in designing the international and sub-regional agricultural researchfor-development system. ASARECA has taken a proactive role in promoting this link that research organisations have lacked with the policy-making and high-level development partner environment. ASARECA also takes an active role in the CAADP Support Group at the regional level to ensure that agricultural R4D is appropriately represented in debates on technical, institutional and policy issues. During this second Operational Plan, ASARECA will continue to provide a link between agricultural research with political dialogue through the RECs such as EAC and COMESA, as well as FARA and AU/ NEPAD. Further, ASARECA will continue working with CAADP country teams to identify key areas of intervention to accelerate the country round table processes and priority investment areas. A key area of interest and focus for ASARECA in OP2 will be transforming agriculture into a viable market-oriented venture by focusing on access to markets for smallholder farmers, most of whom are women. In addition, these beneficiaries will be provided with appropriate information on marketing forces and requirements such as quality, quantity, price and enabling policy environments. As a viable business venture, agriculture will be able to attract more youth. If this is implemented under the CSA framework, then additional results expected include enhanced food security and nutrition; improved systems resilience and productivity; and sustained flow of ecosystems services that are necessary support and strong pillars in agricultural development. The goal of transformation will be to move as many farmers from subsistence and semi-commercial clusters to commercial levels. This will be done by building on the synergies achieved by alignment with the CAADP processes at national and sub-regional levels, within the macroeconomic environment. Achieving this will require, inter alia, sharing information and knowledge including the use of innovative channels of dissemination, partnership models for dissemination, commercialisation, dissemination packages for different locations and tracking dissemination pathways for assessing adoption. Productivity will be increased by enhancing learning by providing increased access to services for enhancing skills and knowledge. These roles define the proposed knowledge hub function in OP2. Value chains will be empowered 9 through the capacity strengthening of human and physical infrastructure at national and sub-regional levels. To do this, training needs assessment will be conducted and its outputs implemented to support prioritised and targeted capacity building. A growing middle class in the sub-region will increase the demand for agricultural products and will be included as key players in the value chains during analysis and the development of projects and interventions. 9 ASARECA adopts the FAAP definition of empowerment, as something attained when stakeholders, through their groups, networks of groups and associations, acquire the ability to determine their own needs and production targets, and assume the authority, resources and capabilities to hold accountable and influence the content of public and private agricultural services such as extension, research, training, information, investment and marketing [FAAP document, page 15]. 8

33 Background and introduction Product development is a key part of transforming agriculture in the sub-region, and there are several options available to do this which ASARECA will address. The currently low levels of commercialisation and farm income in the sub-region will be quantified and used to target issues through R&D approaches by, for example, promoting the Making Market Systems Work Better for the Poor 10 (M4P) approach. Other options include promoting mechanisation and supporting diversification of agriculture through mechanisms such as enterprise choice and market orientation. ASARECA will play an increased advocacy role in land reform for improved commercialisation, which will in turn create a demand for mechanisation and facilitate larger-scale technology transfer. Though the high potential, low access, low population density (HLL) agricultural development domain emerges as the clear priority for efficient, equitable, and sustainable agriculture-led growth and poverty reduction in ECA and offers great scope for the benefits from regionally conceived initiatives, ASARECA will deploy its varied interventions across different domains for impact on livelihoods. ASARECA will increasingly support and seek the alignment of national strategic focus with the underlying strategic approach of this OP. The Association will achieve this through the participation of NARES and CGIAR representatives in the review of its Strategic Plan, themes and programme strategies. Threats to implementation Conflicts occurring within and between the countries of the sub-region may affect implementation of projects. However, ASARECA can do little about this except to be aware of the issues and work around them. The current global recession and accompanying economic challenges may result in declining funding from donors and be exacerbated by sub-regional economic inflation and slow growth. Prioritisation of activities and a tightly focussed approach will go some way to mitigating this issue. ASARECA will also lobby strongly and build on existing partnerships, and at the same time attempt to expand its resource support base by raising its profile and publicising its achievements. There are new emerging economic activities (mining, oil, gas) in ECA which may divert the attention of countries away from agriculture, resulting in its neglect. Again, advocacy and lobbying will be necessary to demonstrate how agriculture is making a difference, and show its potential to contribute to national GDP. 10 M4P aims to accelerate pro-poor growth by improving market outcomes that matter to the poor in their roles as entrepreneurs, employees or consumers. M4P focuses on changing the structure and characteristics of markets to increase participation by the poor on terms that benefit them. It addresses the behaviour of the private sector and therefore reinforces the strengths of market systems, rather than undermining them. 9

34 ASARECA Operational Plan

35 2 Planning process 2.1 Operational Plan in the context of the Strategic Plan The Strategic Plan covers a 10-year period and sets out where ASARECA wishes to be by 2018, addressing its mandate and role in sub-regional agricultural development. The operational plans give an overview of how it intends to do this in terms of the activities and deliverables. Operational Plan 1 ( ) charted the first five years, and OP2 ( ) charts the next five. Operational Plan is a statement of intent, backed by a rationale linked to lessons learned, changing external and internal conditions and fresh priorities. 11 The changed conditions necessitate a fresh approach which in turn requires a different framework around which to build the Plan. This is based on a new logframe developed through a consultative process with stakeholders. The key elements of the logframe are highlighted in Section 2.2 with a narrative to explain the intention behind the statements. 2.2 The Operational Plan Revised logframe Overview and rationale The narrative statements for the ASARECA OP2 logframe are summarised in Table 1. Details on activities, indicators, assumptions and preconditions are presented in the detailed logical framework (Table2). Table 1: Summary of logframe narrative statements Impact Competitiveness of appropriate agricultural systems improved Outcome Equitable access and utilisation of agricultural research and development innovations enhanced Outputs 1. Appropriate technologies, innovations and management practices (TIMPs) adapted or generated 2. Appropriate TIMPs disseminated and upscaled 3. Appropriate policy analysis and advocacy enhanced 4. Stakeholder capacity for innovation strengthened 5. Communication, information and knowledge management improved 11 A list of the key documents, consultations and reports on which the OP2 is based is given in Section 9. 11

36 ASARECA Operational Plan Impact and outcome Both the impact and outcome statements are coherent with and similar to those of OP1 and the Results Framework of the MDTF managed by the World Bank. The impact statement is the high-level reason for the existence of ASARECA. The Association and other institutions will contribute towards this. The level and extent of the contribution is defined through the Objectively Verifiable Indicators of the impacts. For OP2, ASARECA will contribute to: Competitiveness of appropriate agricultural systems improved. ASARECA is determined, through the implementation of this Plan, to achieve its outcome and appropriately contribute to improving the competiveness of appropriate agricultural systems. The outcome statement is the change or impact that ASARECA wishes to make as a consequence of delivering its outputs. It is the reason for the OP and for ASARECA s existence. For OP2, the outcome which ASARECA aims to achieve is: Equitable access and utilisation of agricultural research and development innovations enhanced. This statement focuses on the transformation of agriculture and is based on an in-house analysis of the factors influencing transformation, and discussions at two consultative stakeholder workshops. 12 The degree of improvement is defined using indicators which measure the changes that occur due to enhanced access and use of agricultural research and development innovations. The elements in the statement have specific definitions, which need to be understood to fully capture its implications and intentions. These definitions also apply, where they are found, in other logframe statements and are explained below: Competitiveness is shorthand for increased productivity and increased/better access to input and output markets which are, in turn, supported by enabling policies. Appropriate covers all aspects of the agricultural systems, meaning they should be: o Prioritised and strategic o Equitable o Gender responsive o Environment and social safeguards sensitive o Demand-driven o Environmentally sensitive o Climate smart o Sub-regionally significant Agricultural systems include all key aspects of research and extension systems including innovations, value chains and stakeholder platforms. 12 See Stakeholder Working Group Consultation Workshop for Operational Plan Development. Workshop Report. ASARECA Secretariat 11 and 12 June 2012; and Stakeholder Working Group Consultation Workshop for Operational Plan Development. Workshop Report. ASARECA Secretariat September 2012, Nairobi, Kenya. 12

37 Planning process Outputs, delivery and outcomes The outputs of the OP and logframe are what ASARECA is directly responsible for delivering. They are the terms of reference for ASARECA between 2014 and OP2 has five outputs which reflect the issues and constraints identified in the various analyses and reviews of OP1. The successful delivery of these outputs will result in a series of changes which will lead to the outcome of this OP measured through the indicators. The five outputs satisfy the criteria for achieving enhanced equitable access and utilisation of agricultural research and development innovations. They also signal a shift in emphasis away from a focus on technology generation to a broader and more equitable distribution of effort on technology generation; upscaling and dissemination; market; and value chain-based approaches supported by policy analysis/research and knowledge management. The outputs are: 1. Appropriate technologies, innovation and management practices (TIMPs) adapted or generated 2. Appropriate TIMPs disseminated and upscaled 3. Appropriate policy analysis and advocacy enhanced 4. Stakeholder capacity for innovation strengthened 5. Communication, information and knowledge management improved Further elaboration of the outputs follows. They should also be viewed in the context of the overall OP. OP2 has been crafted to address the issues implicitly and explicitly expressed by these outputs and the rest of the logframe. Output 1: Appropriate technologies, innovation and management practices (TIMPs) adapted or generated This has been and will remain one of the ASARECA core areas of comparative advantage, although there will be a more equitable distribution of resources and effort between this and the other outputs. The deliverable here is not only generating new technologies and innovation, but also adapting existing national, sub-regional, regional and international material. The appropriate nature of these technologies ensures they satisfy a range of criteria 13 and are suitable for dissemination and upscaling. One such overarching criterion is being climate smart. Output 2: Appropriate TIMPs disseminated and upscaled This output has been deliberately separated from Output 1 to emphasise the importance that ASARECA places on this aspect of its work. It involves, amongst other things, the commercialisation of technologies and the uptake by the private sector through partnerships which develop successful business models. 13 The criteria are: prioritised and strategic; gender responsive; demand driven; environmentally sensitive; climate smart; equitable; and sub-regionally significant. 13

38 ASARECA Operational Plan A criticism levelled at OP1 was the failure to spread successful technologies outside immediate project areas, and share them with a wider range of stakeholders. This was due to several factors which ASARECA now recognises. These include: insufficient partnerships with organisations and specialists with the appropriate skills and authority to support these activities; inadequate planning to include these activities as part of project implementation; a low public profile of ASARECA and its outputs; and short project duration which did not allow sufficient time to complete adequate dissemination and upscaling. All these issues, and others yet to be identified, will be targeted to ensure output delivery. These are discussed elsewhere in this Plan. Output 3: Appropriate policy analysis and advocacy enhanced This output addresses a range of issues that have been well addressed in OP1, and which will continue to be a priority. There is additional emphasis on advocacy and the need to raise the ASARECA profile at a range of sub-regional, regional and international fora. In this way, standards, policy options and research can be made available to decision makers at appropriate levels to ensure adoption, enactment and enforcement. This output is an important part of ensuring free access to input and output markets, and guaranteeing the competitiveness of raw and processed farm produce. Output 4: Stakeholder capacity for innovation strengthened The key elements of focus for this output involve strengthening capacity to implement agricultural research for development in the ECA sub-region. Capacity for innovation will be strengthened in four ways: (1) capacity in gender responsive agricultural innovation systems; (2) training stakeholders in identified capacity building needs; (3) infrastructure development; and (4) partnerships formation. A range of approaches and options will be used to ensure that ASARECA members have the necessary skills to operate in a collaborative and holistic manner through prioritisation of sub-regional challenges or opportunities. As with the other outputs, this will receive support from projects under all three of the themes. Capacity building and development will be inbuilt within the projects/themes. Longterm training of actors in the value chains will be factored in during the design of projects. Output 5: Communication, information and knowledge management improved This output has several aspects to it. ASARECA has the potential to become a major knowledge and information hub for sub-regional stakeholders and a contact point for those from outside the subregion who wish to invest, share or use such information or knowledge. This will be a major thrust and represents a new strategic role for ASARECA. In support of an advocacy role, this output aims to deliver a higher profile organisation that communicates freely with a wide range of primary and secondary stakeholders and partners. Internally, the output will deliver improved communication mechanisms, storage systems and strategies that will ensure the widest possible scale of information and knowledge sharing. 14

39 Planning process Preconditions and ASARECA organisational strength The outputs do not directly cover critical Secretariat and ASARECA-wide institutional strengthening issues including environmental and social safeguards, gender mainstreaming, monitoring and evaluation and change management. These are basic components of the fundamental institutional capacity of ASARECA and are preconditions (in logframe terms) for the successful completion of the activities. They underpin all that ASARECA and its governance structures do, and need to be monitored in the same way as the main activities, outputs, assumptions and outcomes. They will be an integral part of output delivery (Annex 3). As the name suggests, without the preconditions the activities cannot be satisfactorily completed. They appear in a box below the activity level in the logframe and are summarised in Box 2. They underpin the whole OP. Box 2: Pre-conditions for success of OP2 Strengthened and gender responsive structure and organisation 1. Change management activities 1.1 Development and implementation of change management strategy including: Sensitisation of stakeholders Support to new structures Development of consensus 2. Gender mainstreaming activities 2.1 Implementation of strategy 2.2 Strengthening of Secretariat gender capacity Engender all ASARECA formats, guidelines, frame works, and harmonise with gender strategy/policy Support engendering of the research project cycle in ASARECA Establish a gender disaggregated data base in programmes/units Establish an internal forum to facilitate equal opportunity and well-being in the organisation 2.3 Communication and advocacy Establish a regional consultative gender mainstreaming platform for networking and fostering learning and innovation Establish a comprehensive web site for knowledge sharing 2.4 Support to M&E systems to ensure gender responsive planning, reporting and learning 2.5 Implement the training of trainers programme including finalising the training manuals and use of other options such as mentoring, research based training 3. Monitoring and evaluation 3.1 Strengthening of NARES capacity 3.2 Establishing appropriate systems and structures 4. Environmental and social safeguards 4.1 Policy review and strengthening 4.2 Strengthening ASARECA capacity for ESS 4.3 Communication and networking with partners on ESS 4.4 Effective and efficient assessments 4.5 Monitoring effectiveness and auditing impact 15

40 ASARECA Operational Plan

41 3 Thematic approach to implementation 3.1 Overview of thematic approach One of the major successes under the ASARECA OP1 has been institutionalisation of a programmebased approach. This approach continues to evolve in an external environment which is constantly changing and placing fresh demands on implementation mechanisms and structures. ASARECA has improved the efficiency of service delivery by establishing the eight programmes. However, internal programme linkages have not always been fully implemented and some of the ASARECA structures, and especially processes, have become compartmentalised; informal linkages exist but need strengthening. The programme approach has encouraged a commodity rather than a people-centred approach, with emphasis on technology rather than on the users of the technology. Key crosscutting areas such as biotechnology, agricultural policy, knowledge management and uptake, capacity development and partnerships are separate programmes and units, with their own projects. No formal system has been in place to ensure that they add value to the commodity programmes. In part, this was exacerbated by the Networks, Programmes and Projects (NPPs) on which the early OP1 projects were based. This chapter considers the mechanisms and approach that ASARECA will take to address these issues. It will be done through a combined programme-thematic approach and a changed institutional culture, supported through deliberate change management to institutionalise a multi-disciplinary approach and the skills and capacity development of key actors. Further, details on the change management are discussed in Chapter 6 (and in Annexes 5, 6 and 7). Programme-thematic approach The proposed approach will be to use the programmes and units 14 at the ASARECA Secretariat to develop calls for sub-regional, multi-disciplinary projects which capture crosscutting issues and are based on priorities clustered under themes. 14 The existing programmes are: Staple Crops; High-value Non-staple Crops; Livestock and Fisheries; Agro-Biodiversity and Biotechnology; Natural Resources Management and Biodiversity; Policy Analysis and Advocacy; Knowledge Management and Upscaling; and Eastern Africa Agricultural Productivity Programme [EAAPP]. The units comprise Finance, Gender Mainstreaming; Communication and Public Relations; Information Technology; Partnerships and Capacity Development; Monitoring and Evaluation and Learning; and Environmental and Social Safeguards, Internal Audit. 17

42 ASARECA Operational Plan A theme is defined as a major opportunity or challenge facing agricultural transformation in the sub-region. Under this approach, the programmes and units remain as cost centres with operational budgets under the control of the managers and heads of units. The core research and agricultural transformation budgets will be under the themes which will constitute the core theme implementation budget (transformative budget) under the DED. Theme coordinators will be appointed by the Executive Director in consultation with the Deputy Executive Director (DED), and will be drawn from the pool of programme managers. 15 They will report to the DED. The role of the theme coordinators is to convene meetings of programme managers and unit heads to develop multi-disciplinary calls for projects which address the priorities of the theme. In addition, theme coordinators in consultation with the project lead managers (Internal Principal Investigators IPI), project team members (drawn from other managers and unit heads) will develop the annual transformative budget for each theme with clear outcomes. The DED will hold a small budget for Theme Coordination. Projects will still be managed by a lead Programme Manager who will report to the DED as in OP1; see further details in Section 5.4. The lead managers for each project will be expected to work jointly with the respective theme coordinators in the implementation, progress monitoring and reporting. This is to ensure that project implementation contributes directly to theme results (outputs and outcomes). Under this approach, programmes will not develop calls for proposals in isolation or for proposals outside of the thematic areas. Functional crosscutting team formation around each of the supported projects will greatly contribute to ensuring that there is integration and cross-sectional project design, implementation and monitoring. However, this will only work effectively if each team member has clear responsibilities. The themes are not part of the ASARECA Secretariat structure but exist as a virtual means to institutionalise collaboration between programmes and units and help to organise integrated projects based on the Agricultural Innovation System (AIS). The approach will also include strengthening management and leadership skills and support to a shift in attitude which encourages a multidisciplinary, multi-sectoral approach. The Secretariat will develop a simple matrix to link the themes and programmes as a way to address the development issues. The concept is shown diagrammatically in Figure 2 where the themes are a mechanism for bringing programmes and units together to develop calls for projects which all support the five outputs, the delivery of which assures ASARECA achieves its outcome and contributes to its goal. For every project approved and supported, a team will be constituted comprising the line theme coordinator, focal point lead Programme Manager/Unit Head/Internal Principal Investigator, and members drawn from the ASARECA technical staff who contribute towards effective and efficient implementation, monitoring, and evaluation of the project or set of interventions. Crosscutting areas will be represented and they include Gender, M&E and Learning, Environmental and Social Safeguards, Communication and Knowledge Management. 15 All the necessary steps will be put in place to ensure that conflicts of interest for theme coordinators with their positions as programme managers do not emerge. An accountability and responsibility framework to guide interactions within and themes will be established. 18

43 Thematic approach to implementation The nomenclature and approach are deliberately designed to move away from the concept of commodity-based programmes driving the agenda, and are an evolution and development of the programme approach designed to capture the lessons learned and major achievements of OP1. Figure 2: Programme-thematic approach and logframe links The Inception-Transition Phase (see Section 6) will include a series of participatory and consultative stakeholder workshops and reviews to sensitise stakeholders to the changes and assess and validate priorities. It will ensure this multi-disciplinary approach is owned and understood by stakeholders. This paradigm shift will be implemented as a key element of a deliberately structured and managed change process. 3.2 Crosscutting issues One of the key factors driving the Programme-Thematic Approach is the importance of ensuring that activities and projects address and take advantage of crosscutting disciplines. Projects will remain sub-regional rather than multi-country. The Executive Director, DED and theme coordinators will ensure that the Board and national programmes are aware of this, and proposals will be examined in this context. All discussions and thematic meetings will include members from technical programmes and crosscutting units, 16 and will be chaired by the DED (see Figure 2). 16 Including inter alia capacity development, knowledge management, upscaling, communication and public relations, information technology, M&E and learning, gender mainstreaming, environment and social safeguards 19

44 ASARECA Operational Plan Mechanisms will be identified that allow and encourage longer, more productive projects with a longer period of assured, performance-related funding. This will address some of the issues associated with short-duration projects, such as training and output delivery. OP1 emphasised the role of ASARECA in supporting farmer empowerment. This will continue under OP2 by specifically targeting, through research, the following: food and nutrition security, poverty alleviation and building livelihoods resilience to effects of climate change. This will ensure outputs are better directed at poverty reduction and food and nutrition security and will be facilitated by the adoption of the Programme-Thematic Approach and the continued use of participatory and consultative processes. 3.3 Organisation of themes Three themes have been identified in consultation with stakeholders based on current priorities. 17 However, the number of themes may in future be varied to address new emerging issues or changing circumstances. Calls for proposals will be formulated under each theme to address prioritised, subregional challenges and opportunities. The themes identified are coherent with CAADP and link directly to the Pillar IV themes. 18 They also reflect the research, technology, adaptation and extension elements of the other CAADP pillars, 19 confirming the crosscutting nature of Pillar IV. This close coherence serves to support the institutionalisation of the CAADP agenda in the countries and agricultural systems of the sub-region, contributing to the ASARECA role to support and strengthen this process. Theme priorities and focus The priorities identified for these themes are based on an analysis of the programmes by their managers and analysis by the Secretariat s sub-committee on strategies and priorities and consultations with stakeholders. These priorities are given under each of the theme headings in the sections below. They were validated and elaborated through stakeholder consultation. These priorities were identified based on their potential to directly contribute to poverty alleviation, food and nutrition security and building livelihoods resilience to the adverse effects of climate change and climate variability. The themes provide a clear poverty, food and nutrition security focus which will tackle problems facing ASARECA clients in an integrated manner, responding to their demand for improved technologies, clearer and better links to markets and the opportunity to participate in generating solutions through their own empowerment. The themes also focus on increasing the resilience of households and systems to respond to threats posed by a wide range of biological, social, environmental and political challenges. 17 See: (1) Stakeholder Working Group Consultation Workshop for Operational Plan Development, Workshop Report. Kampala, Uganda. ASARECA Secretariat June 2012; (2) ASARECA Board of Directors Visioning Meeting. ASARECA Operational Plan Development, Meeting Report, 29 June 2012, Kigali, Rwanda; (3) Stakeholder Working Group Consultation Workshop for Operational Plan Development, Workshop Report. ASARECA Secretariat September Nairobi, Kenya. 18 Integrated natural resource management; Adaptive management of appropriate germplasm; Development of sustainable market chains; Policies for sustainable agriculture; and Scientific capacity building. 19 Pillar I: Extending the area under sustainable land management and reliable water control systems; Pillar II: Improving infrastructure and traderelated capacities for market access; Pillar III: Increasing food supply and reducing hunger: strengthening national and regional food security. 20

45 Thematic approach to implementation Theme 1: Natural Resource Management and Ecosystems Services (NRMES) In the context of the ECA sub-region, natural resources and associated ecosystems services play a key role in supporting sustainable agricultural productivity. The state and dynamics of the ECA natural resource base and capacity to provide the required services deliver both opportunities to foster agricultural productivity and pose challenges in promoting the sector. Some of the key constituents of natural resources include, water, soils, forests, on-farm trees, and biodiversity outside of the farming systems. Key ecosystem or environmental services include, soil stabilisation, carbon sequestration, and water provision among others. Such services arise out of properly functioning ecosystems. This is key given that ecosystems are natural capital assets that supply life-support services of tremendous value. However, the challenge is how to turn such recognition into incentives and institutions that guide sustainable investments in natural capital on a larger scale. Scientific understanding and state of knowledge of ECA ecosystem production functions is gradually improving, but remains a limiting factor in incorporating natural capital into the planning and decisionmaking processes through the respective ECA country national accounting and other mechanisms of measuring national or regional natural wealth. In the ECA sub-region advances are required on three key fronts the science of ecosystem production functions and service mapping, the design of appropriate finance, policy, and governance systems, and the art of implementing these in diverse biophysical and social contexts with reference to having appropriate institutional structures and arrangements. Several key crosscutting issues influence development outcomes from natural resource management capacity enhancement, gender, and knowledge and information management. This theme is linked to CAADP Pillar IV (Integrated natural resource management). Priority sub-themes 1. Improving agricultural water productivity: Inadequate agricultural water is a key constraint to achieving food security, nutrition, and income from agro-enterprises. With increasing demand for more nutritious food and poverty alleviation, the demand for water is likely to increase, as climate change is likely to aggravate the situation. Therefore, to ensure adequate supply of agricultural water under varying and changing climatic conditions and food consumption patterns, the following are key priority investment areas: Promotion and upscaling of best-fit water harvesting, storage and delivery technologies, innovations and practices at farm and landscape levels, including the promotion of microand supplemental irrigation. Upscaling of integrated watershed management in major river basins, including watershed level harvesting of runoff and erection of micro-check dams. Upscaling of down-scaled forecasting and agro-advisories. Water resource governance and mapping. 2. Soil health improvement: The state of soil is a key driver in enhancing agricultural productivity. The soil resources in many parts of ECA are highly mined with little investment in replenishing depleted minerals. Soil health is a foundation of the agriculture and food system. Hence, poor soils continue to undermine the efforts of millions of small-scale farmers across the ECA landscapes leading to food insecurity, malnutrition, poverty, and to some extent conflicts among competing interests and social groups. Soil heath improvement therefore remains key to achieving food 21

46 ASARECA Operational Plan security, improved nutrition, and increase household income. Strategic areas of investment include: Promoting soil conservation physical structures including terracing, ridges, tied-ridging and mulching as a way to check soil loss. Promoting and upscaling of precision application of fertilisers, e.g. micro-dosing, urea deep planting (application) for rice and other irrigated crops. Promoting conservation agriculture as a climate change mitigation strategy and improving soil organic matter. Promoting the application of organic farm manure by enhancing drought resistant soils particularly in dryland areas. 3. Adoption of climate smart forestry, agroforestry and biodiversity conservation: Forests, agroforestry and biodiversity conservation support agriculture by providing alternative sources of income at the household level, social safety nets, micro-climate amelioration, soil stabilisation, and pollination among others. Forest loss and degradation is a common phenomenon across the ECA sub-region. It is primarily driven by agricultural expansion and natural calamities. Tree depletion at farm level also assumes the same trend particularly among communities and households whose source of energy is wood. In addition, biodiversity loss and degradation is reported across ECA landscapes, forest ecosystems, wetlands, savannah grasslands, and drylands. The conservation of biodiversity will aim at maintaining the diversity of living organisms, their habitats, and the interrelationships between organisms and their environment. Both ecological and genetic conservation will be targeted. The strategies to be used will be in situ and ex situ conservation. In situ conservation will involve techniques such as genetic reserves, and on-farm and home garden conservation measures. Ex situ conservation strategies will involve techniques such as seed storage, in vitro storage, DNA/pollen storage, field gene bank storage, and botanic garden/arboretum. Erosion and loss of forest ecosystems, genetic resources, and other forms of biodiversity is increasing due to a series of anthropogenic and natural causes. Reversing these trends is therefore not an option for the ECA sub-region but an imperative particularly in the context of changing climatic conditions. Forests and allied resources are excellent candidates for mitigating the effects of climate change particularly water loss and increase in temperatures as they are major determinants in the performance of agricultural crops, fisheries and livestock. The priority areas of investment therefore include: Mapping forest and water resources in the ECA sub-region using geo-mapping and other appropriate techniques. Promoting and upscaling domestication of tree crops including, fertiliser trees and high value trees for fodder, fruits and nectar. Promoting economic instruments and approaches to tree and biodiversity resources conservation including large-scale tree resources-based honey production. Mapping biodiversity hot spots in ECA. Promoting ex situ and in situ conservation of biodiversity using locally available and affordable practices in accordance with the Convention on Biological Diversity (CBD) whose objectives are conservation, sustainable utilisation and benefit sharing. 22

47 Thematic approach to implementation 4. Enhancing resilience of dryland agricultural systems: Dryland ecosystems in ECA are important land systems with unique features, characteristics, and resources. These areas are sensitive and hence vulnerable to destruction if not properly managed through controlled resource exploitation. They are frequently characterised by limited and erratic rainfall; intense pressure in natural resource use; high sensitivity to climate variability and change; highly erodible soils; risks of flash floods; and populations that are vulnerable to food insecurity. Over the years, increasing livestock and human population coupled with diminishing pasture and water resources, have resulted in latent and real conflicts becoming more frequent than ever before. This calls for pragmatic and innovative ways of managing dryland ecosystems. Some of the strategic interventions may include: Promoting options for forecasting and managing natural resources, emergency of diseases, and conflicts in dryland ecosystems. Subjects of forecasting would include the availability of water and pasture, on-set of rain seasons, growing period, and rainfall spread. On the basis of resources availability and dynamics, potential conflicts would also be mapped out and mitigation measures put in place. Developing and adapting technologies and innovations to increase the resilience and tolerance of the dryland systems to droughts and any adverse climatic variations and changes. Such approaches may include, but are not limited to, evergreen agriculture, precision irrigation, and micro-catchment water harvesting. Establishing value chains for target dryland ecosystems commodities and promoting marketoriented sustainable natural resources conservation and management. Such value chains will be limited to natural resource based chains, e.g. essential oils, gums and resins, and tree products. 5. Gender-responsive climate smart policies and governance for sustainable natural resource management: Appropriate policies, institutions, and governance mechanisms are key to addressing sustainable management of natural resources. This is key to placing natural resources in the poverty reduction, food security, and welfare enhancement paradigm. Hardly any regional policies, institutions and governance mechanisms on natural resources exist in the ECA subregion. The Lake Victoria Basin Commission of EAC is one such institution whose mandate is on the prudent management of natural resources within the Lake Victoria Basin. Further research must be conducted to upscale working approaches and share lessons across borders at the national and community levels. Strategic areas of interest therefore are: Conducting gender mapping surveys as a precursor to designing strategic natural resource governance interventions. Upscaling sustainable land-care options. Upscaling and promoting successful innovations and community empowerment in natural resource governance. Stimulating the establishment of cross-border structures to enhance sustainable management of communal and common property resources with a focus on minimising conflicts. Promoting the formulation of legislation to support the reduction of rmissions from forest degradation and depletion, ground and above ground carbon sequestration. Supporting the region s negotiating teams during relevant meetings at international level Conference of Parties (COPs) and other fora on the United Nations Framework Convention on Climate Change (UNFCCC) and the United Nations Convention to Combat Desertification (UNCCD). 23

48 ASARECA Operational Plan Managing ecosystems for quality, equitable and sustainable services: Ecosystems across the ECA sub-region are declining in terms of the species richness and services provided to human beings largely due to ignorance of their exact value and contribution to the national and regional economies. In addition, no adequate social and economic instruments exist to encourage individuals to invest in maintaining them. At the global level, estimates indicate that if the trends in ecosystem degradation and depletion are not halted, then within a few decades, virtually all the world s ecosystems will have suffered significant negative impacts from human activities. 20 The root sources of these trends include: Most policy makers and individual resource holders are not informed about the range of benefits that come from ecosystems and potential impacts of their loss. Widespread perceptions exist that ecosystems services are endlessly regenerated. Many of the components of ecosystems are publicly rather than privately owned and, hence, private markets that may give price signals when resources decline do not emerge to stimulate a corrective response. The decline of ecosystems due to other economic activities is not generally factored into costs in those markets. The economic systems applied in the ECA countries emphasise values and preferences of individuals (consumer sovereignty) more than the values of community. Many changes in ecosystems have long lead times, implying that symptoms of decline are not apparent until years or decades after critical threshold levels are passed. Investment in ecosystem services has few mechanisms or incentives. Natural assets such as soil, water, forests, biodiversity etc., provide life support services to people across the social spectrum. Such services include: clean air and water, maintenance of soil fertility, maintenance of liveable or habitable climates, pollination of crops and other vegetation, control of potential pests, provision of genetic resources, and provision of intellectual experience. These ecosystem services are, however, threatened by climate variability and change. The concept of ecosystem service is therefore picking up momentum as an avenue of creating awareness and attaching an economic value of services associated with ecosystems. There are now more voices on climate change mitigation through forest and tree management, soil conservation, carbon sequestration and temperature regulation. It is in this context that this priority investment area is crafted. Key areas of focus therefore include: Proof of concept on the value of ecosystem services in local, national and regional economies. Establishment of pilot payment for ecosystem schemes (PES). Mapping of critical ecosystems and associated potential and real services both in range and extent/value with a focus on climate change mitigation services (carbon sequestration, water provision, pollination). Establishment of institutional instruments to support market-based approaches to ecosystems management. 20 For details, see, Third Australian Stream Management Conference August 27 29, Rutherford I, Sheldon F, Brierley G and Kenyon C (eds), Cooperative Research Centre for Catchment Hydrology, Brisbane, Australia. pp

49 Thematic approach to implementation Theme 2: Market, Market Linkages and Trade (MMLT) This theme is concerned with enhancing commercialisation of smallholder farming through improved access to input and output markets. This will be done by analysing bottlenecks to input and output marketing; promoting viable approaches that improve access to markets; and advocating for an enabling policy environment. Viable approaches will be supported by technologies to promote value addition to agricultural produce. The theme also focuses on continued engagement with value chains and innovation systems and emphasises the importance of trade in driving market processes. It addresses the CAADP Pillar IV theme: Development of Sustainable Market Chains and expands opportunities to tackle new and emerging issues as more countries actively pursue a CAADP-based agenda. This theme also addresses the sub-optimal investment in regional solutions using a targeted advocacy strategy. The overall objective of the Markets, Market Linkages and Trade Theme is Enhancing regional commercialisation and competitiveness of strategic crops, livestock and fisheries. This objective will be realised through the following sub-themes and potential intervention areas: Priority sub-themes 1. Policies for enabling domestic and regional trade: This sub-theme will have four main thrusts; facilitation of enactment of enabling trade policies through analysis and advocacy. Some of the core policy areas under this will include options to minimise tariff and non-tariff barriers to trade and provision of marketing infrastructure. facilitating the implementation of enabling trade policies through capacity building, advocacy and awareness creation. scaling out the development, adoption and use of harmonised product standards and regulations to enable access to various niche markets. developing and promoting use of appropriate models for forecasting inputs and outputs market trends. 2. Develop and promote of institutions for enhanced market access: This will involve strengthening (where they exist) and developing (where they are missing) market institutions in the sub-region. The focus will also be on developing, validating, building capacity and scaling-up promising institutional innovations for business development, management and entrepreneurship. These will include collective action to enhance smallholder access to technologies and service functions. The service functions will include assembly, storage, marketing, financing (including factoring arrangements) and business development services in general. 3. Value chain upgrading: Upgrading value chains of key commodity sectors in the region will include developing and promoting innovative agribusiness advisory services. This will be achieved through systematic and structured research, delivery, management and financing models or approaches of business advisory services. Further work will involve promoting, adapting and using TIMPs along key value chains and building capacity in the sub-region for participating in local and regional value chains. Market innovations around value chains (e.g. market information systems, bulk storage, warehouse receipt systems, etc.) will be developed and promoted. This sub-theme will also focus on promoting models for enhancing access to productive resources (land, seeds, finance, fertilisers, labour, mechanisation and pesticides). 25

50 ASARECA Operational Plan Business incubation of generated TIMPs: Business incubation has become an innovative way to nurture the products of science into viable consumer products. This will involve developing business incubation models and generating lessons, and promoting and strengthening business incubation models to catalyse uptake of promising market innovations by the private sector. Expected outcomes The following outcomes are expected from the proposed investments: Accelerated adoption of inputs by smallholders as a result of improved access to markets and reduced transactions costs. Business enterprise development through institutional innovations such as organising farmers to purchase inputs and sell outputs collectively. Increased private sector investments in agriculture and agro-industries. Establishment of viable and practical market linkages between producers/farmers/ pastoralists and institutional buyers. Establishment of business chains and trade facilitation institutions, support organisations and business associations for improved access to domestic and regional markets. Enhanced capacity of farmers to engage in domestic, regional and international markets. Increased information, knowledge and networks to support the development and implementation of policies that favour increased agricultural productivity. Enhanced farm level productivity through the pull effect of output markets. Improved utilisation of innovations to enhance smallholder access and participation in markets. Theme 3: Sustainable Agriculture, Food Security and Nutrition (SAFSN) Agricultural productivity and per capita income in the ECA region have either decreased or stagnated due to low use of inputs and mechanisation, poor adoption and utilisation of innovations, and inadequate policies to drive agricultural development. The population growth rate is higher than the agricultural production growth rate resulting in declining food and nutrition security. The ECA region is also extremely vulnerable to effects of climate change and climate variability and there is a compelling need to develop and implement strategies for adaptation of agricultural production systems to the current climatic trends. This broad theme not only addresses challenges created by climate change, and pests and diseases of livestock and crops but also provides the opportunity to build on possibilities provided by the sub-region s biodiversity and the techniques and options provided by biotechnology. It addresses both technical and enabling policies and institutions to transform the current subsistence oriented agriculture into vibrant market oriented agriculture. The theme will develop technologies and innovations for sustainable agricultural intensification to increase the overall system productivity. The theme addresses issues of nutrition and food security with links to human health and its effects on agriculture/livelihoods. It also addresses issues of mechanisation; harvest processes; and postharvest handling, storage and processing. It is directly connected to Pillar IV of CAADP through the theme of Adaptive Management of Appropriate Germplasm and Policy for Sustainable Agriculture. 26

51 Thematic approach to implementation Priority sub-themes 1. Development and promotion of breeds, varieties and management practices for adaptation to climate change and variability: This is an area of concern given the current fluctuations in climate. There is need to develop and promote innovations to address and mitigate the effect of climate change. This will include: developing and upscaling TIMPs to cope with climate change (e.g. shorter maturing varieties, drought tolerant varieties, conservation agriculture, etc.); building farmers capacity for adaptation and mitigation of their production systems to the changing environment including exploiting indigenous knowledge and building regional capacity for climate forecasting interpretation and use. 2. Management of diseases and pests of strategic crops, livestock and fisheries: This will include: Developing TIMPs to cope with pests and diseases of crops, livestock and fisheries; enhancing regional capacity for surveillance and control of pests and diseases; developing diagnostic tools and control packages for major diseases including the use of biotechnology and traditional tools; and building public private partnership for pests and diseases control. 3. Promotion of enabling gender responsive policies and institutions for sustainable agriculture, food and nutrition: Harmonising appropriate policies supporting sustainable agriculture is necessary for agricultural transformation to take root. This theme will cover policy frameworks for mitigating and adapting to climate change, policies on genetically modified organisms (GMOs) and biosafety, intellectual property rights, seeds, standards, and genetic resources. The theme will also address the establishment of policy frameworks to halt transboundary spread of pests and diseases of crops, livestock and fisheries and policies to support sustainable agricultural intensification and value addition. 4. Post-harvest handling and processing of crop, livestock and fisheries resources: Only about 28% of the agricultural produce in the ECA region is processed. The main constraints include: limited technical skills base to run agro-processing facilities; poor maintenance of agro-processing facilities and equipment; and seasonality of production which is also unreliable due to climate variability resulting in surplus commodities at harvest times and collapse of prices and massive post-harvest losses followed by shortages (increasing food costs for consumers). Furthermore, limited utilisation of all sources of food (crops, livestock, fishery, aquatic, and marine resources, and forest products) leads to staple diets based on a very narrow selection of food sources. Other constraints include the long distances between centres of food production and the centres of consumption and the short stable shelf-life of most sources of food other than grains. Agroprocessing and value addition would provide tremendous backward and forward linkages and multiplier effects, with respect to: increased access to markets that are distant in space and time; extension of the reach of food, also in space and time; creation of non-farm employment and income generation opportunities; reduction of post-harvest losses; and improvement of food quality and safety. To mitigate and/or reduce the negative impacts of these factors, increased investment is required in value addition, processing and preservation to extend the shelf-life of the most perishable commodities. This has to be done without degrading the nutritional value, taste, and presentational characteristics of these commodities. Critical areas of intervention include: investment in agro-processing facilities for priority value chains; warehousing because of the role it plays in bulking commodities and thus reducing transaction costs; establishment and/or expansion of centres of excellence dealing with agro-industries and agri-enterprises; establishment of extension services dealing with agro-industries and agri-enterprises; expansion and prioritisation of skills development in agro-industries and agribusiness; enhancement of 27

52 ASARECA Operational Plan regionally-shared support industries such as those dealing with manufacture of processing equipment; encouragement of strong synergies between agro-industries development and other programmes in agriculture and industries in general; and linkage of small and medium size agricultural producers to markets. The proposed investments require the development and scaling-up of TIMPs for value addition of strategic crops, livestock and fisheries; building of viable and effective public private partnerships (PPP) for post-harvest handling and value addition; mainstreaming of nutrition into value addition and processing; crops, livestock and fisheries research and development processes; and building the regional capacity for value addition and processing of crops, livestock and fisheries resources. 5. Sustainable intensification of crop, livestock and fisheries systems: Sustainable agricultural intensification is defined as the production of more outputs with more efficient use of all inputs on a durable basis, while reducing environmental damage and building resilience, natural capital and the flow of environmental services. Sustainable intensification is implemented through three main approaches: ecological intensification, genetic intensification, and socio-economic intensification. Ecological intensification involves farming practices such as intercropping, integrated pest management, conservation farming and organic farming. Genetic intensification uses both conventional and modern biotechnological applications to avail improved crop varieties and animal breeds for higher yields, improved nutrition, tolerance to pests and diseases, resilience to climate change and efficient resource use. Socio-economic intensification involves creating enabling environments, building social and human capital and creating sustainable livelihoods. The ASARECA interventions will include: development of TIMPs to improve the productivity of crops, livestock and aquaculture, inland and marine fisheries systems; identification of national and regional opportunities to prioritise production; crop, livestock and fish integration to improve overall system productivity; building capacity for adoption of productivity enhancing technologies; enhancement of viable and sustainable seed systems; and enhancement of access and utilisation of nutritious and safe crops, livestock and fisheries products. 6. Conservation and utilisation of plant, animal and fish genetic resources: Climatic shocks and human activities are exacting immense pressure on biodiversity in ECA with negatives consequences on food security. This has resulted in unprecedented levels of species extinction and erosion of natural diversity (plant, animal and fisheries). This is likely to have a negative impact on human wealth, health and security. In 2008 the World Conservation Union 21 estimated that 59% of the known plant species are currently threatened with extinction and likely to be subject to loss of genetic diversity. If left unchecked this may have a serious negative impact on humans and the environment. Through this sub-theme, projects that will promote conservation and use of the plant, animal and fisheries genetic resources will be developed and implemented. 7. Food and nutrition security for improved health: The ECA region has the highest proportion of undernourished people in the world (42.2%), almost double the average for sub Saharan Africa (26.8%). Although some countries are challenged with the double burden of malnutrition, undernourishment poses the greatest challenge in the region. Undernourishment directly and indirectly contributes up to 60% of child mortality in most countries in ECA. Micronutrient deficiencies (hidden hunger) affect most of the population in the region. It causes increased morbidity and mortality, impairs cognitive development and productivity due to frequent illness and disability, and therefore contributes to poverty. Overcoming food and nutrition insecurity is thus a precondition for ensuring a healthy population and sustainable development in ECA. Although increased food production is an underlying tenet to ensuring food security, there is a 21 Now called the International Union for Conservation of Nature and Natural Resources. 28

53 Thematic approach to implementation disparity between food production, food and nutritional security and health, especially amongst smallholder farmers who produce more than 80% of the food. Promoting food and nutrition security involves increasing production, access, and availability of quality nutritious foods to the consumers. This sub-theme will address increased availability and access to quality and safe nutritious foods for improved health. 3.4 Programmes and units This section summarises the Secretariat programmes and units. Details of achievements and priorities are provided in Annex 4. Overview of Staple Crop Programme (SCP) Staple crops contribute to the socio-economic well-being of households by providing food, raw materials for local industries (agro-processing), poverty alleviation, improved nutrition, natural resource management and employment. Currently, the priority crops are banana, cassava, maize, wheat, sorghum, millets, rice, potato and sweet potato. Since 2008 the Staple Crops Programme (SCP) has implemented 17 projects focused on developing packages for integrated crop management and options for integrated pest and disease management, integrated management of maize and sorghum to mitigate the effects of drought and product diversification, value addition and development of agro-enterprises for strategic staple crops. At the end of OP1 the Programme was implementing seven projects. The current projects will end in December However, the upscaling projects will need to continue into the new Plan if they are to result in the desired outcomes. Validation projects will be completed and redesigned as upscaling projects. Overview of High Value, Non-staple Crop (HVNSC) Programme The HVNSC Programme was established against a background of limited relevant research on its crops like pulses, tea, coffee, oil crops, fruits and vegetables, which play a significant role in human nutrition and health in the sub-region. Many are also important cash crops for local and export markets, contributing significantly to the economic empowerment of the community and socioeconomic development. Among the pulses, snow peas and snap beans fetch premium prices in local high-end markets and in Europe. Processed and packaged oil crops increase in economic value several times over. The HVNSC Programme has implemented three projects under OP1. Projects for validation under the current funding phase will be completed and redesigned as upscaling projects. Overview of Livestock and Fisheries Programme (LFP) Livestock and fisheries products contribute a large share of the sub-regional agricultural GDP; milk is ranked as a number one commodity in the ASARECA strategy. Since 2009, the LFP Programme has generated and promoted several technologies and innovations to increase overall productivity in integrated crop livestock systems. These include feeding packaging and feed conservation innovations; establishment of a regional feed database and feed tables; 29

54 ASARECA Operational Plan characterisation of selected indigenous cattle and small ruminant breeds; prevention and control of tick and tick-borne diseases; strengthening the regional capacity for forage seed supply; developing mechanisms for crisis management in pastoral systems and refining innovations to exploit market opportunities for value added meat and milk products. During OP1 the Programme implemented 12 projects in the livestock sector and 1 in fisheries; 10 of these ended on 31 December Current project areas include improving the productivity and competitiveness of aquaculture systems, integrated productivity enhancing technologies to increase the productivity of smallholder dairy farms and upscaling technologies and innovations for crop livestock integration and system s adaptation to climate change. Overview of Agro-biodiversity and Biotechnology (AGROBIO) Programme The Agro-biodiversity and Biotechnology (AGROBIO) Programme was created to access sub-regional agro-biodiversity and genetic resources and to facilitate characterisation and evaluation of the same genetic resources whose potential for use in pharmaceuticals, industrial uses and other bioresources is largely unknown; the preferred tool for this was biotechnology. Through a consultative process, the Programme identified five priority areas. The programme is implementing six projects under OP1: community-based tissue culture systems; drought tolerant and Striga resistant sorghum; Taenia diagnostic kits; Taenia vaccine and genetic engineering of maize for drought tolerance; and using genomic tools to improve goat productivity. All these have produced several documented outputs through research efforts with sub-regional partners comprising the national agricultural research institutes (NARIs), CGIAR centres, the private sector, universities, NGOs and farmers. Overview of Natural Resource Management and Biodiversity (NRMB) Programme The sub-region has experienced declining per capita agricultural productivity over the last 20 years with weak management of natural resources making farming systems vulnerable to shocks associated with changing climatic conditions. The greatest challenge faced by the sub-region is how to respond to these and increased food insecurity. The Programme priority areas include: agricultural water productivity, soil management, management of dryland ecosystems, agroforestry and watershed management, policies and institutions, and climate adaptation and mitigation measures. Over the last three years, a total of eight projects have been successfully completed with a focus on enhancing water productivity; integrated soil fertility management; payment for ecosystem services through locally designed schemes; enhancing adaptive capacities of smallholders to climate variability; and institutional aspects related to sustainable natural resources management. Through these projects, the Programme has demonstrated that through proper management of agricultural water, farm yields increase by over 50%, and through integrated soil fertility management, farm yields have increased by over 50%. Response farming innovations have proved very useful as adaptive mechanisms for smallholders against varying climatic conditions. 30

55 Thematic approach to implementation Overview of Policy Analysis and Advocacy Programme (PAAP) The Policy Analysis and Advocacy Programme (PAAP) has been primarily concerned with analyses of the policy environment, facilitation of policy development and advocating for policy adoption by RECs and national governments. Currently, PAAP is completing support towards approval of regional policies on biosafety, standards for cassava and potato products, development of by-laws for sustainable land management, and harmonisation of standards and procedures for pasture seeds, animal feeds and animal breeding services. Key achievements include gazetting by EAC of 24 standards for cassava and potato, and their products; seed potato standard; and two by-laws on sustainable land management in Ethiopia and Uganda that were approved by local councils and are being implemented. In May 2012 the regional biosafety policies on handling emergency food aid and on planting and trade in GMOs were recommended for submission to the COMESA Ministers of Agriculture, Environment and Natural Resources by 15 out of the 19 COMESA countries. These were approved at the 5th Joint COMESA meeting of Ministers of Agriculture, Environment and Natural Resources in September The same meeting approved harmonized seed regulations for the COMESA/SADC region. Seed laws in Ethiopia, Kenya, Rwanda and Tanzania have been revised to reflect harmonised regional agreements. The Plant Variety Protection Bill for Burundi was drafted, while quarantine pest lists for Burundi, Ethiopia, Kenya, Tanzania and Uganda, and a regional variety catalogue for Burundi, Ethiopia, Kenya, Sudan, South Sudan, Tanzania and Uganda were produced. Overview of Knowledge Management and Upscaling (KMUS) Programme Knowledge management and upscaling (KMUS) is crucial for agricultural transformation that depends on stakeholders adoption of productivity and livelihood enhancing technologies and knowledge. Under OP1 over 35,000 stakeholders (see DONATA reports) have accessed orange fleshed sweet potato and quality protein maize technologies in six countries. Furthermore, lessons on application of innovation platforms and models for farm level seed enterprises for vegetatively propagated and self-pollinating crops have been generated. Currently, the Programme has six value chain scaling-up projects and one on capacity development. The scaling-up projects are promoting selected technologies into uptake pathways and generating best practices and lessons for dissemination. Three will be completed by 2013, and three started in 2012 and will continue for one more year to deliver results. The capacity development project will be completed in The Programme is also collating and disseminating information on technologies from projects ending in Overview of Communication and Public Relations (CPR) Unit The OP1 Information and Communication Unit (ICU) has been split into a Communication and Public Relations (CPR) Unit and an Information Technology Unit. The CPR Unit will handle information and communication issues at corporate, thematic, programme and project level through more clearly defined roles on information management. The Unit will package information about ASARECA and its activities and products for a range of media to raise the organisation s profile and increase the visibility of its achievements. 31

56 ASARECA Operational Plan Activities include the set up and management of online communication platforms to promote, share and disseminate information products from the Secretariat and projects; publishing and disseminating a range of print and audio-visual information products from the Secretariat and projects; and supporting information discovery needs of staff and partners. Public relations entails raising awareness of interest in and ASARECA standing with the public, agriculture sector actors and development circles as follows: building and marketing the corporate identity; developing a series of publicity corporate and newsworthy information materials; and establishing strategic relations with reputable media houses in ECA. Expectations and demand for information and communication services is increasing and the existing skill mix and staffing level will be strengthened and developed, based on the formulation and implementation of the staffing action plan. Overview of Information Technology (IT) Unit The Information Technology (IT) Unit is responsible, inter alia, for the ASARECA IT infrastructure hardware and software for a dynamic and responsive knowledge hub. It will also develop and administer a new IT policy and strategy for ASARECA. The IT Unit will liaise with the Communications and Public Relations Unit, but report to the Executive Director to ensure information and knowledge flows are appropriate and up to date. Overview of Partnerships and Capacity Development (PCD) Unit The Partnership and Capacity Development (PCD) Unit is responsible for establishing and managing functional partnerships, collaboration and joint activities with relevant organisations such as COMESA, EAC, FARA, IGAD, the Regional Universities Forum for Capacity Building in Agriculture (RUFORUM), universities, the African Network for Agriculture, Agroforestry and Natural Resources Education (ANAFE), CGIAR, the African Forum for Agricultural Advisory Services (AFAAS) and the private sector. The PCD strategy emphasises the ASARECA role in coordinating and facilitating capacity strengthening and partnerships, which includes identifying expertise available in the region and using it to further the IAR4D/AIS agenda. It encourages and facilitates the exchange of expertise at the sub-regional level, something happening through EAAPP under OP1 and which will continue. The ASARECA partnering strategy will be revisited given recent changes in the operating landscape including the recently launched Science Agenda for Africa (post-dublin process). The revised strategy will include other partnerships with China and India. It will seek to clarify and formalise the ASARECA role in the CAADP process by continuing to work closely with FARA and COMESA to support CAADP Pillar 4 in the region and to develop useful national and sub-regional partnerships. Capacity strengthening of people and organisations ensures the sustainability of ASARECA. Capacity building activities for NARES will be increased by scaling-up and out the Strengthening Capacity for Agricultural Research and Development in Africa (SCARDA) approach from OP1, working in collaboration with RUFORUM and other organisations involved in capacity building for agricultural development. ASARECA will continue to support implementation of CAADP and other similar initiatives by working with FARA and RECs (COMESA and ECA). The aim will be to ensure that the design and implementation of country and sub-regional CAADP investment programmes and other similar initiatives are relevant, effective and fully address the needs of the countries and the sub-region. 32

57 Thematic approach to implementation The development of partnerships and capacity are core functions of ASARECA and covered fully in Section 4. Overview of Gender Mainstreaming (GM) Unit The focus and activities of the Gender Mainstreaming Unit have a far-reaching influence on all aspects of ASARECA activities. Gender mainstreaming assures efficient delivery of research and the key functions of capacity building, development of guidelines, and review of the research process for gender responsiveness at programme and project level, although the mode of delivery may evolve overtime. Gender mainstreaming is a core function of ASARECA and further information and analysis is given in Section 4. Overview of Environmental and Social Safeguards (ESS) To ensure compliance with MDTF environmental and social criteria, an Environmental and Social Safeguard Specialist (ESSS) was appointed. The specialist reports directly to the DED. The Environmental and Social Safeguards Office (ESSO) provides operational support to ASARECA programme managers, unit heads and principal investigators to enable them to fulfil compliance requirements. The office will ensure environmental and social concerns are effectively integrated into ASARECA MDTF project development and implementation. The office also ensures implementation of mitigation measures identified in ESS instruments and provides the required training. 3.5 Competitive Grant System (CGS) management and implementation Selection and implementation of research project activity is based on a Competitive Grant System (CGS). This has guidelines and a well-defined process and set of procedures (see Chapter 7), established under OP1. This will be further developed and improved upon to address issues that have arisen. Some of the main issues are given in Box 3. The Secretariat will develop a detailed proposal format for the CGS. This will involve explaining what each section means to support the incorporation of FAAP principles into project design. Some units are already developing guidelines for their specific areas: CPR guidelines on project communication planning; the M&E unit is developing a document to guide teams; an ESS screening form has recently been revised and updated, but will continue to be reviewed for its effectiveness during the transition period between OP1 and OP2; and the Gender Unit is developing a checklist on how to incorporate gender analysis into project design. To further support the process of proposal development, relevant unit and programme staff will attend proposal preparation workshops with stakeholders. Under OP2, proposals submitted in French will also be accepted. As part of the approval process, all projects now include consideration of gender issues. The performance against gender sensitive indicators will be followed up during implementation, ensuring there are indicators at all levels to reflect this. 33

58 ASARECA Operational Plan Box 3: CGS related issues to be resolved 1. Principal Investigator performance is variable. The Principal Investigator appointment processes will be reviewed and revised guidelines will be issued. 2. Inadequate levels of infrastructure capacity sometimes exist in sub-grantee organisations; careful assessment of potential sub-grantees against specific infrastructure criteria is needed. 3. Currently, most new project proposals are received from known applicants, with very few innovative multi-stakeholder partnerships. To enable broader partner involvement, non-traditional research actors will be proactively engaged. These will include consultation with end users and other stakeholders, in project development. Alternative dissemination channels for calls for proposals and extension of the time available from call to concept note submission will be extended to 6 weeks. 4. Some ASARECA countries are under-represented in grant allocation and development of project teams; often these are the less well-resourced members. Affirmative action may be needed in selection of countries, research staff, and mentors. 5. To prioritise areas for intervention with limited resources, a needs study is required. From this, a capacity building plan focused on less well-resourced NARIs will be developed in consultation with focal institutions in the member countries and other appropriate organisations. 6. ASARECA will develop and adopt a policy that systematically catalyses the mentoring of scientists across the region. The policy will include MSc and PhD dissertation research in all future projects. This will increase university participation in sub-regional projects and increase the benefits to countries weaker in any particular thematic area, without loss of overall quality. 7. Time for reflection and learning is insufficient in the current grant management cycle, with programme managers using a large proportion of their time commissioning and monitoring individual projects. ASARECA will build reflection and learning into the project management cycle, to inform cluster activities outside the CGS projects. 8. In some cases, backstopping of technical project elements by institutes/organisations with the ability to do so has not been satisfactory in OP1. Mechanisms will be put in place to monitor and improve technical backstopping of projects by partner institutes, documented in project agreements, including possible sanctions for non-compliance. Additional options, beyond the CGS, will be explored to support the ASARECA role as a coordinator and facilitator that adds value to sub-regional agriculture for development and to support its role as an information and knowledge hub. This may include an enterprise and innovation fund and a new strategic role. 3.6 Resource sharing and optimisation The sub-region has limited high-tech facilities. Partnerships with universities and advanced research institutes will be developed and maintained as part of the wider ASARECA networking process. Support to projects by their own research systems to disseminate research findings, socio-economic and gender analysis and M&E can sometimes be less than adequate. Additional sources of good quality backstopping in these circumstances will be identified and clear, practical guidance notes to project staff on these topics will be provided. Programme managers and PIs will work with country NARIs to maximise the use of their in-country capability. New projects will seek partners, collaborators or service providers/consultants who can cover skills not covered by the core partners and identify. The projects will also work with organisations in the region that have experience with research uptake in line with the ASARECA role of harnessing regional capacity. 34

59 Thematic approach to implementation PAAP and KMUS programmes with unit managers and staff, will work closely with other disciplines to generate guidance on how best-bet research outputs can be selected and appropriately scaled out for discreet target audiences through engagement with research into use initiatives such as the Universities Business and Research in Agricultural Innovation (UniBRAIN). 3.7 Quality of science Measuring quality Among the functions of ASARECA are to generate and disseminate technology. Providing a clear validation and quality assurance process for all stages of research activity is critical. A wide range of standards and quality check mechanisms are used in member countries before a new technology or innovation is considered acceptable for registration and wider dissemination. Clarity regarding validation of a new technology enhances rapid and well-targeted action in catalysing scaling-up and sub-regional spillover. ASARECA will aim to institutionalise and promote appropriate sets of harmonised standards or procedures by which technologies of different categories are validated at sub-regional level. Validation of outputs, publishing of information and resources utilisation will be improved by establishing standard procedures for critical processes to reflect corporate quality. ASARECA will establish these standards where they do not exist through a transparent and consultative process organised by the ME&L Unit. ASARECA will ensure that validation and peer review systems are fully implemented. The mechanism for this may involve appointing a Technical Advisory Committee, reporting to the Executive Director, to ensure third party validation of the research programmes selection, planning, implementation, dissemination and upscaling of research (see Figure 8). Priorities and quality ASARECA programmes have well-structured strategies and priorities because of the well-researched and developed technical elements of the Associations Strategic Plan. ASARECA deals with basic livelihood commodities as a result of the prioritisation done in 2005/2006, during the preparation of the Strategic Plan. The prioritisation was based on an IFPRI study. This will now be reviewed to assess the validity of this priority exercise carried out six years ago and consider priorities in the context of the new thematic areas. Themes will use consultative approaches to apply strategies and priorities identified by the programmes, through FAAP principles and the AIS approach. Furthermore, the themes will continue to increase their focus on uptake and upscaling. The approach will be shared with the wider cohort of ASARECA, partners and stakeholders. Value for money Linked to the quality of science is the issue of value for money. ASARECA is determined to ensure that the investment in projects and other initiatives reflects measures of economy, efficiency, effectiveness and cost effectiveness in terms of delivering the Organisation s outputs. 35

60 ASARECA Operational Plan The ME&L unit will craft indicators to deliberately measure and track performance against criteria linked to value for money. 3.8 Monitoring, evaluation and learning ASARECA has institutionalised a functional monitoring, evaluation and learning (ME&L) system. High quality ME&L staff members at the Secretariat have been recruited and are supported by a specific budget. ASARECA-wide, the ME&L Unit also provides capacity building services to organisations in partner NARES. One focus of ME&L will be to identify and build on the lessons learned from the process. The ASARECA ME&L Unit will continue to support NARES in ASARECA member countries in building their capacity to develop and utilise user-friendly tools and instruments to ensure effective ME&L is streamlined in the region. Among the key tools and instruments targeted to be reviewed or developed and institutionalised include the performance monitoring plans; the baseline study guidelines and the performance measurement framework. To ensure consistency under CAADP Pillar IV, the ME&L Unit will ensure closer collaboration and harmonisation of M&E tools with other SROs and FARA. Particularly important will be harmonising the CAADP FAAP principles and indicators. ME&L will constitute a learning area for partners at national and regional levels. Learning will be achieved through timely and periodic collection and analysis of data, and sharing these data with project implementers for effective decision making. Operationalisation of ME&L within NARES will be ensured by providing targeted capacity strengthening in M&E. OP2 will be guided by an elaborate Impact Pathway (see Figure 3). At impact, outcome and outputs levels, smart indicators to be periodically tracked to assess progress towards the outputs, outcomes and impacts have been clearly identified in the OP2 logical framework (Table 2). The indicators will be used in the participatory M&E activities for reflection, learning and planning within the platforms for innovations. This ME&L Unit will be strengthened with increased budget support to enable routine field monitoring, outcome and impact evaluations. The ME&L system is still developing and evolving and will address several key activities including: Operationalising the M&E database and the ASARECA Management information system (MIS). Recovering missing data for the past 10 years, including from external networks. Strengthening M&E support to new projects. Improving data quality management. Applying the logframe systematically across the organisation. Strengthening the M&E capacity of less well-resourced NARES. Impact assessment to evaluate the effects of technology adoption on the socio-economic life of targeted populations will be a major component of evaluating programmes and projects. Impact will be measured against pre-set targets (Table 3) and will be quantified in terms of income, well-being, resilience, vulnerability, food security and sustainability of use of the natural resource base. The scale of analysis will be at household and community level. 36

61 Thematic approach to implementation Impact will be measured using outcome-based indicators which will be developed to measure the transformational changes taking place as a result of ASARECA activities. These qualitative indicators track the outcomes of output delivery and the achievement of purpose, including perceptions/ level of satisfaction of ASARECA stakeholders with innovations. The impact pathway will guide the operationalisation of the ME&L system. As part of ensuring process monitoring, annual mini-surveys will be conducted with target households. These surveys will be more limited in outreach than the larger surveys conducted at the baseline, mid-term and completion stages. The mini-surveys will be based on a structured questionnaire with a limited number of close-ended questions, tailored to assess the expected outcomes of the projects. The surveys will be used for a random or purposive sample of the targeted stakeholders to collect data on various issues including: Changes in production and productivity of selected commodities. Adoption of the technologies and of on- and off-farm income generating activities promoted by the project. Access to markets and price conditions faced. Access to financial and other services provided by the project. Extent to which the stakeholders have become food secure. Changes in household incomes. To ensure continual information flow on project progress, annual progress reports will be prepared. The reports will be based on the results of the annual data collection process for outcome monitoring. Annual workshops will be planned to involve all project stakeholders to draw out major lessons from the annual reporting exercise, allow participatory evaluation of results, and formulate recommendations for improvement. In addition, after mid-term evaluation, the ME&L Unit will convene a post-mid Term Review (MTR) workshop to provide the programme/project management team with an opportunity to critically reflect on results achieved and self-evaluate project performance, based on the M&E findings. To ensure the above action, the ME&L Unit has finalised a new reporting framework and performance management framework, trained users and disseminated it to programmes. Support to all programmes will ensure they adopt the new framework, and ensure reports received from implementing partners are harmonised. This will be backed up by providing training and guidance. The sub-regional focus of ASARECA will be maintained throughout and be clearly articulated in the context of the emerging role of ASARECA in the CAADP process. For example, ASARECA plays an important role in supporting the development of harmonised ME&L systems for EAAPP. The collection of baseline data for new indicators will be treated as a priority. In addition, monitoring and reporting of sub-regional spillover will be improved. 37

62 ASARECA Operational Plan Figure 3: ASARECA impact pathway (minimum targets based on low funding scenario are in parenthesis) 38

63 Thematic approach to implementation Table 2: ASARECA OP2 logical framework Indicators in this logframe are measured using gender disaggregated data (by sex, age, stakeholder types, geographical locations and education levels). Endnotes explaining the definitions of the terms and indicators are presented in Section 10. Narrative Summary Goal Competitiveness 1 of appropriate 2 agricultural systems 3 improved Purpose Equitable access and utilisation of agricultural research and development innovations enhanced Objectively Verifiable Indicators Means of Verification Assumptions 1. Rate of change in total factor productivity 4 2. Percentage change in agricultural and livestock value added 5 3. Percentage change in the inter-regional market share of agricultural products 4. Percentage change in the value of agricultural trade 6 5. Percentage change of food secure stakeholders 7 6. Number of targeted stakeholders with increased climate resilience 7. Percentage change in Coping Strategies Index 8 1. Percentage change in agricultural production and productivity 9 2. Amount of income generated by stakeholders from ASARECA interventions 3. Number of households with improved nutritional levels 4. Number of hectares under improved TIMPs 5. Level of effectiveness of market linkages created to enhance trade 6. Number of policy reforms, regulations and procedures implemented Level of responsiveness to climate change: per cent change in 7.1 Resilience to climatic variability Water use efficiency by men and women 7.3 Human capacity to manage climate risks and reduce weather-related losses 7.4 Nutritional levels of stakeholders 8. Number of stakeholders who have applied new TIMPs 9. Level of effectiveness and efficiency of knowledge accessibility and transfers 10. Beneficiary satisfaction with quality of ASARECA KI-hub, products and services 12 Publications, Statistics and Reports from: ADB and Economic Commission for Africa Appropriate UN organisations ASARECA impact evaluation reports Biodiversity Convention Reports COMESA and RECs (ECOWAS, ECCAS, EAC, etc.) Economic Commission for Africa statistics and reports External evaluation and impact assessment FAO Statistics (e.g. forest assessment reports) Government Statistics ReSAKSS and FARA reports Selected CGIAR reports and impact assessment UN COM-TRADE UNEP and IFPRI World Bank Social and political support and stability is appropriate to support benefits achieved Appropriate levels of external technical and institutional support are maintained Beneficiary s access to credit is adequate Infrastructure is maintained and available at appropriate levels Equal opportunity policy support is implemented Conducive business environment exists to support benefits Enabling policy, regulatory and legal framework exists Intermediate PDO-level Indicators Gender-responsive governance and management strengthened 1. Rate of implementation of the new ASARECA Constitution Percentage growth in research funding Percentage change in level of compliance with gender policy and principles Level of compliance with environmental and social safeguards Level of effectiveness of the ASARECA Knowledge Hub Level of effectiveness of ASARECA Change Management practices Level of effectiveness of the thematic approach to project implementation 19 39

64 ASARECA Operational Plan Narrative Summary Outputs 1. Appropriate technologies, innovations and management practices (TIMPs) adapted or generated 2. Appropriate TIMPs disseminated and upscaled 3. Appropriate policy analysis and advocacy enhanced 4. Stakeholder capacity for innovation strengthened Objectively Verifiable Indicators Means of Verification Assumptions 1.1. Number of demand-driven gender-responsive TIMPs generated Percentage of stakeholders who have adopted selected TIMPs Number of centres (partner organisations)facilitated to incubate TIMPs and agribusinesses Number of target beneficiaries accessing the TIMPS Number of demand driven, gender responsive and cost-effective TIMPs available for uptake Number of businesses that hatch from incubation centres Number of stakeholders accessing new markets 2.3. Number of male- and female-headed households that have gained direct household benefits from more climate-resilient agriculture TIMPs and infrastructure 3.1. Number of gender responsive policy options generated 3.2. Number of policy options presented for adoption Number of policy options adopted Number of gender units established in ASARECA member countries 4.1. Number of stakeholders whose capacity building needs have been addressed Number of research infrastructure and equipment provided Number of innovations incubation centres established and/or strengthened 4.4. Number of partnerships formed and/or strengthened 4.5. Number of market linkages established 4.6. Level of effectiveness of capacity building initiatives Annual Reports of development partners, NARIs and SROs ASARECA: ASARECA Annual Reports Constitution and Governance Manual Information and Communication strategy Operational Manual Priority Setting Documents Special Studies Reports Client Satisfaction Survey Reports Copies of policies, laws, standards, regulations, procedures and by-laws Database on policies presented for adoption by relevant institutions Forum proceedings Gazette notice Minutes of approval, gazette notice Minutes of Dialogue Sessions National Statistical data Registry of policies SRO Annual Reports The IAR4D/AIS paradigm is an effective approach Adequate infrastructure is maintained Credit support services are available Enabling policies and conducive environment exist and are sustained Extension services are effective Effective platforms for consultation exist Partners especially producer organisations are adequately resourced to operate efficiently Political/economic environment does not negate gains Equal opportunity policy support is available and/or implemented Credit support services are readily available Cost sharing mechanism in place Well established stakeholder organisation are maintained and remain engaged 5. Communication, information and knowledge management improved 5.1. Number (and type) of information packages produced 5.2. Number of appropriate information delivery pathways used Number of people reached with information packages through different pathways 5.4. Number of stakeholders benefiting from the activities of the KI Hub in terms of access to information and knowledge, as well as networking and learning Narrative Summary Resource Envelope for Implementation Activities 1.1. Value chain analysis and demand articulation disaggregated by sex/gender 1.2. Development of TIMPs Interventions based on needs and priorities of women, men and the youth 2.1. Communication 2.2. Dissemination 2.3. Upscaling Assumptions Budget and Inputs (Activity to Output) Paradigm shift in approach internalised by all stakeholders Design and implementation of activities successfully follows the approach of the IAR4D/AIS paradigm 40

65 Thematic approach to implementation Narrative Summary 3.1. Policy and Gender Analysis (Identification of constraints, options, stakeholder consultation and validation, etc) 3.2. Policy Advocacy 3.3. Formulation of policy briefs 3.4. Organising policy advocacy platforms 4.1. Develop training and capacity strengthening policy and strategies 4.2. Conduct Institutional capacity needs assessment 4.3. Prioritisation of capacity needs 4.4. Development of a capacity building plan 2. Monitoring implementation of the training plan, outputs and outcomes of the capacity strengthening efforts 5.1. Assessment of current information and communication systems and identification of gaps 5.2. Inventory and profiling of available information, knowledge and stakeholders and develop appropriate linkages 5.3. Developing/establishing/strengthening appropriate knowledge bases, platforms, and networks to share information and knowledge regularly (Information and Knowledge hub) including CAADP, EAC 5.4. Develop right packages of information and communication systems (MIS) that meet different stakeholders requirements (Use of ICT mobiles etc.) 5.5. Implement ASARECA corporate communication strategy and branding to improve ASARECA visibility 5.6. Develop mechanisms for receiving and responding to feedback Means of Verification Assumptions Good/effective extension services are functional in the sub-region Staffing and resource levels are maintained Good relationships with political stakeholders exist Policy research at the sub-regional level appropriate at the national level Financial and physical resource commitments of stakeholders, including public and private sectors, NGO and producer organisations are maintained Improved infrastructure is in place and effective Coordination brings added value Good press and other media organisations exist Preconditions: Change is deliberately managed Gender mainstreaming is institutionalised ME&L is developed and utilised fully Environment and social safeguards are mainstreamed 41

66 ASARECA Operational Plan Table 3: Proposed ASARECA OP2 targets under different funding scenarios (current, low, medium and high) Project outcome indicators Current (US$83.5 million) Low (US$90 million) Medium (US$147 million) High (US$181 million) GOAL: Competitiveness of appropriate agricultural systems improved 1. Per cent change in total factor productivity (p.a.) <3% 4.4% 4.4% 4.4% 2. Percentage change in agricultural and livestock value added TBD TBD TBD TBD 3. Percentage change in inter-regional market share of TBD TBD TBD TBD agricultural products 4. Percentage change in the value of agricultural trade TBD TBD TBD TBD 5. Per cent change of food secure households - 4% 4.5% 5% 6. Number of targeted stakeholders with increased climate - 5,500,000 9,000,000 10,500,000 resilience (ratio: male [6]:female [4]) 7. Per cent change in Coping Strategies Index - TBD TBD TBD Purpose: Equitable access and utilisation of agricultural research and development innovations enhanced 1. Per cent change in agricultural production and productivity <6% 5% 5.5% 6% (tons of crop produced/ha) Per cent change in livestock production and productivity <5% 4% 4.5% 5% 2. Per cent change in income from sale of agricultural - 8% 9% 10% commodities by targeted stakeholders (disaggregated by gender) Number of targeted households with increased income - 1,800,000 2,500,000 3,500,000 Number of targeted population below poverty line - 5,500,000 9,000,000 10,500,000 Per cent change in value of incremental farm gate sales of - 4% 6% 8% targeted commodities Amount of income generated by stakeholders from - 720,000, ,000, ,000,000 ASARECA interventions (US$) 3. Number of households with improved nutritional levels - 11,000,000 18,000,000 21,000,000 Number of children under five reached - 5,500,000 9,000,000 10,500,000 Prevalence of underweight/stunted/wasted children under 5-20% 17.5% 15% years of age Prevalence of underweight pregnant women (15 49 years with BMI < 18.5 kg/m2) - 20% 15% 12.5% 4. Number of hectares under improved TIMPs (ratio: male [7]:female [3] managed) - 300, , ,000 Per cent change in land under improved TIMPs - 2.5% 4% 5% 5. Level of effectiveness of market linkages created to enhance trade - 60% 75% Over 75% Number of jobs created (ratio: males [3]:females [2]) - 5,000 7,000 10, Number of policy reforms, regulations and administrative procedures implemented 7. Per cent change in productive resilience to climatic variability - 3% 5% 7% Number (type) of agricultural productivity interventions with greatest impact on resilience of households and individuals to recover from and withstand common shocks Per cent change in water use efficiency by men and women - 15% 25% 30% 9. Per cent change in human capacity to manage climate risks - 15% 20% 25% and reduce weather-related losses 10. Number of stakeholders who have applied new TIMPs (ratio: males(5):females(3)) 265, ,359 1,100,000 1,800,000 2,100,000 42

67 Thematic approach to implementation Project outcome indicators Current (US$83.5 million) Low (US$90 million) Medium (US$147 million) High (US$181 million) 11. Per cent change in nutritional levels of targeted stakeholders - 4% 4.5% 5% 12. Number of stakeholders benefiting from the activities of the - 30,000,000 37,500,000 40,000,000 KI hub in terms of access to information and knowledge, as well as networking and learning 13. Level of effectiveness and efficiency of knowledge - 70% 80% Over 85% accessibility and transfers 14. Level of stakeholder satisfaction with the KI hub, its - 80% 85% Over 85% functionality and service provision 15. Level of beneficiary satisfaction with quality of ASARECA products and services 55% 75% 80% Over 85% Output 1: Appropriate technologies, innovations and management practices (TIMPs) adapted or generated 1.1. Number of demand-driven gender-responsive technologies/ innovations generated (364) 1.2. Percentage of stakeholders who have adopted selected - 25% 35% 50% TIMPs 1.3. Number of centres facilitated to incubate agribusinesses Output 2: Appropriate TIMPs disseminated and upscaled 2.1. Number of farm households (disaggregated by gender) benefiting from different interventions (e.g. TIMPs) Number of demand driven and cost-effective TIMPs resulting in improved diets and nutritional outcomes (at least 75% of generated and upscaled TIMPs) Number of demand driven gender-responsive technologies available for uptake 1,595,784 1,800,000 2,500,000 3,500,000 1,370, (435) Number of businesses that hatch from incubation centres Number of stakeholders accessing new markets - 1,100,000 1,800,000 2,100, Number of male- and female-headed households that have gained direct household benefits from more climateresilient agriculture TIMPs and infrastructure - 2,750,000 4,500,000 5,250,000 Output 3: Appropriate policy analysis and advocacy enhanced 3.1. Number of gender-responsive policies, laws, regulations and procedures analysed 78 (89) Number of policies, laws, regulations and procedures presented for legislation or decree 3.3. Number of reform of policies, laws, regulations and procedures approved 54 (39) 28 (13) Output 4: Stakeholder capacity for innovation strengthened 4.1. Number of stakeholders whose capacity building needs have been addressed 89,375 (64,896) , , , Infrastructure and equipment provided (413) 4.3. Number of business incubation centres established and/or strengthened Number of partnerships formed to catalyse lasting economic growth 238 (288) Number of market linkages established Increased levels of market linkages (p.a.) - 6% 7.5% 10% 4.6. Level of effectiveness of capacity building initiatives - 70% 85% 90% 43

68 ASARECA Operational Plan Project outcome indicators Current (US$83.5 million) Low (US$90 million) Medium (US$147 million) High (US$181 million) Output 5: Communication, information and knowledge management improved 5.1. Number of different information packages produced ,000 1,600 (794) 5.2. Number of appropriate information delivery pathways used (256) 5.3. Number of people reached with information packages through different pathways - 30,000,000 37,500,000 40,000,000 TBD = To be determined. Results chain ASARECA will achieve the targeted impacts by implementing prioritised activities which, in turn, will contribute to delivery of the targeted outputs. Put together, the outputs will contribute to the desired outcomes and impacts (see Figure 4). Figure 4: ASARECA results chain 44

69 4 Support to ASARECA core functions 4.1 Core functions overview In its Strategic Plan, ASARECA identifies five ways in which it serves its members and investors: Providing intellectual leadership in the design and implementation of research and extension programmes and acting as a resource base for reform, based on the FAAP principles. Providing Strategic guidance on research for development priorities in the sub-region. Representing and providing institutional memory of the sub-region at international and Africawide fora. Maintaining multiple mechanisms to facilitate collaboration at sub-regional level. Providing facilities for ongoing M&E of sub-regional programmes supported by multiple donors. ASARECA adds value to the work of NARES and NARIs where sub-regional collective action is required. ASARECA ownership by its members, and its transparency to investors, gives it a unique character that defines its niche. It is in this context that the Strategic Plan identifies six core functions which this OP addresses: Development of a shared vision and sub-regional goals enhanced through the General Assembly, collaborative work, crosscutting support and partnerships. Coordination of collective action at sub-regional level through its prioritised projects and other initiatives. Contributing to the improvement of networking in the sub-region through the development of partnerships, crosscutting issues and capacity strengthening. Contributing to the development of appropriate knowledge, methodologies and technologies through partnerships, projects, crosscutting issues and capacity strengthening. Facilitating the transfer of knowledge, information and technologies through partnerships and projects. Mobilising and allocating resources for research through partnership development, advocacy and various interactive mechanisms. These core functions of ASARECA reflect its role as a sub-regional association of 11 NARES. The functions are based on FAAP and CAADP principles. They are the foundation which underpins ASARECA value addition to sub-regional agricultural development, and they are crosscutting. 45

70 ASARECA Operational Plan They are supported by ASARECA units at the Secretariat, which provides structure and leadership through several initiatives and strategies developed and implemented with stakeholders, alongside the technical projects. The key approaches that will be used in are described in the following sections. 4.2 Coordination and partnerships ASARECA is sub-regionally owned by NARES and has the opportunity to work directly with a broad base of stakeholders addressing prioritised issues. In doing so, ASARECA builds synergy, adds value, increases ownership and encourages and supports coordination. Operating sub-regionally, creating enabling sub-regional platforms and addressing issues of a sub-regional nature is the specific niche of ASARECA. The importance of partnerships with the private sector and the need to improve these is recognised in this OP. The key potential strategies to address them are summarised in Box 4; further analysis and information is provided in Annex 5. ASARECA implements its sub-regional projects and activities by applying the principle of subsidiarity. This devolves operational authority and decision making to its lowest level consistent with the operational competencies required, and the efficient use of funds. The principle of subsidiarity encapsulated in FAAP and explained further in Box 5, is extremely important for successful implementation of sub-regional work. The number of partnerships will be increased and strengthened whilst at the same time being kept under review to permit reflection on functionality and usefulness. Partnerships will be developed with country and local level programmes within the ASARECA member Countries to ensure synergy and delivery of results, and to integrate research, extension and education. Improved communication will ensure that all member countries have a clear understanding of the benefits which accrue from being a part of ASARECA by participating in research activities, benefiting from research outputs, or both. ASARECA has good linkages with RECs (COMESA and EAC) which provide a platform to harmonise policy at sub-regional level for trade promotion and material exchange. ASARECA will also work with the RECs to support implementation of CAADP processes in the member countries. This support will include sensitisation and capacity building initiatives across all 11 member countries; support for the development of CAADP compact documents for countries that are yet to sign their compacts; support for the development and review of national and regional investment plans; and support to implementation of investment plans, including M&E. ASARECA will also work with other partners to support other initiatives for CAADP implementation including the Dublin process and Team Africa. ASARECA also has a convening role since it has the ability to bring various stakeholders together (NARES, international agricultural research centres, private sector, NGOs, farmer and producer organisations, universities, etc.). This ensures sub-regional priorities are addressed. This enhances the ASARECA image and visibility and extra effort will be made in this area with a particular focus on the new themes. This coordinating/convening mechanism serves as a vehicle to promote subregional approaches (priorities, constraints and opportunities) and facilitate efficiency at subregional level whilst avoiding duplication. 46

71 Support to ASARECA core functions Through support to implementation of EAAPP, ASARECA is playing a pivotal role in efforts to scaleup and develop national research programmes into Regional Centres of Excellence (RCoEs). These centres are taking a leading role in technology generation, dissemination, and training at regional level. Initiatives to support RCoEs will be stepped up under OP2. Box 4: Mechanisms for improved engagement with private sector 1. Align research projects with flagship private sector projects identified in the long-term development objectives of ECA countries. 2. Identify and develop viable commercialisation models for products that are not true public goods. Develop award schemes that recognise innovations and technology use. 3. Identify opportunities of agricultural social responsibility projects supported by regional private sector players, including identification of ways to make urban and peri-urban agriculture safe and compliant with urban/city ordinances. 4. Learn from and adapt marketing models from non-agriculture actors (banks and pharmaceutical sector) working with the private sector. Develop partnerships with partners who are already supporting/working with the private sector (AGRA and East African Business Council). 5. Enhance support to technology incubation centres. Seek a platform to engage with the private sector by either creating the platform or penetrating existing national and regional private sector bodies. 6. Use regional integration as an opportunity to engage the private sector and policy harmonisation. Support and advocate for harmonisation of policies, laws, regulations, standards and certification schemes that support competitiveness of key commodities. Examples of these are the newly approved COMESA biosafety policies that, when approved, will apply in the 20 member states; the 24 EAC standards for cassava and sweet potato products already under implementation in the 5 member states; and the draft harmonised COMESA seeds regulations that, when approved, will apply to EAC, COMESA and SADC countries. 7. Explore implementation of crop and livestock insurance schemes and demonstrate regional benefits of ASARECA products. Work with the private sector to analyse policy constraints. Domestication of the policy frameworks in the region will encourage participation of the private sector. A new mechanism for developing long-term partnerships and linkages will be established in the form of a network of ASARECA alumni. This will involve the design and establishment of a structure and mechanism to ensure all those involved with ASARECA remain in touch and exchange information and ideas after direct support from ASARECA ends. 4.3 Capacity strengthening Capacity strengthening has two aspects: the first is within the Secretariat and the second, and wider remit, is for the organisations which constitute the NARES of the member states. Within ASARECA Secretariat The human resource development of ASARECA Secretariat staff is documented in the Operational Manual. The ASARECA training plan for its staff will be reviewed and further training needs will be analysed. Priority training needs for implementing OP2 will be identified and addressed through this intervention. In addition to addressing the identified training needs, the institutional changes needed to implement the Programme-Thematic Approach, and move ASARECA forward will be addressed. This will include the development of Secretariat staff to provide improved internal communication and stronger leadership/management skills. This is expected to result in better planning and a clearer 47

72 ASARECA Operational Plan and more coherent sense of direction including an improved understanding by managers of their role in broader project cycle management. The shift in institutional culture will, inter alia, create a stronger feeling of corporate cohesion and will be addressed through the change management process. This process will be supported by the completion of a unified headquarters building that will improve the physical proximity of staff. For NARES and stakeholders General capacity strengthening Successful implementation of the principle of subsidiarity requires intensive capacity building which will be addressed through novel ways of supporting and facilitating the development of NARES member organisations. To focus on capacity strengthening, a targeted capacity assessment of member country NARES, not just NARIs, will be undertaken to identify gaps and potential areas for synergy and partnership development. This will be used to provide training through a range of approaches including mentoring, coaching, formal and informal training, training of trainers and conferences. A menu of options for capacity building will be developed constituting, among other elements, training, staff exchanges, and individual and institutional mentoring. Special focus in capacity strengthening will be placed on NARES whose participation in ASARECA activities during OP 1 was limited due to low human resource capacities. The NARES that need this special focus are Burundi, Democratic Republic of Congo (DRC), Eritrea, Madagascar, Rwanda and South Sudan. The CGS guidelines were revised recently to encourage greater participation of these NARES. This will be enhanced under OP2. Capacity strengthening in the NARES will be implemented using several mechanisms. However, developing appropriate partnerships remains crucial to achieving a good mix of partners with strengths in different areas. Training that brings together stakeholders from different ASARECA member countries has the advantage of enabling sub-regional exchange. However, not all partners are able to benefit from this. Researchers and project partners from francophone countries (Burundi, DRC, and Madagascar) and from Sudan (an Arabic speaking country) are often at a disadvantage. Some level of in-country English language training and simultaneous translation at meetings where these countries are involved will be provided as required. Some ASARECA member countries have extensive human resource capacity in different sectors within the sub-region which can be mobilised to support agricultural development in the less resourced NARES. This capacity will be identified, documented and accessed to facilitate the engagement of specialists to build capacity and thus leverage existing capacity within the region. This approach will continue to be used to support and develop partners who are less well resourced. Capacity development functions will also be explicitly built into all new projects and partnership arrangements, and guidance notes will be prepared to support this. Learning by doing will be emphasised. This is a process that is generally considered to be a more effective learning approach than traditional formal training. 48

73 Support to ASARECA core functions Box 5: Principle of subsidiarity Agricultural research for development in Africa is a critical part of the economic growth process necessary to successfully eliminate poverty on the continent. It is complex and extensive, involving countless individuals and organisations in an enormous variety of tasks, projects and programmes. The ASARECA position and role in this is defined by its sub-regional constituency and is governed by the principle of subsidiarity. It is this principle which guides and justifies the ASARECA role in subregional agricultural research for development. This principle devolves operational authority and decision making to the lowest level consistent with the operational competencies required, and the efficient use of funds. Resources are assigned to each level consistent with the authority delegated to them. At the same time, decision making and responsibility is raised to the highest level at which spillover effects and benefits can be achieved. The aim is to increase stakeholder ownership and responsibility on the basis of comparative advantage (or collaborative advantage), improving efficiency and reducing costs. This is shown diagrammatically in Figure 5 (after Pfeiffer 22 ). Checks and balances ensure the actions are implemented at the most appropriate level. The upward and downward flows between the different levels are an important means of ensuring that policies at every level are based on information emerging at the other levels. This is vital to ensuring that policies and decisions at the sub-regional level are consistent and enabling of what is happening at the national levels. Adherence to this principle allows ASARECA to devolve authority to those best placed to deal with it and ensures a focus on functions that spillover national decision domains so that NARES benefit from decisions and actions at the sub-regional level. Figure 5: Balance of functions required by the Principle of Subsidiarity Source: After Pfeiffer (2007). Under its role as a convener and facilitator, ASARECA brings stakeholders together to discuss issues of common interest, creating the same level of awareness about key issues amongst a broad selection of stakeholders. CAADP-related activities fall into this category; this work will be developed further. Although not excluded under the CGS terms and conditions, ASARECA has no system to target and encourage participation of young scientists. This situation continues because project teams comprise established professionals who are able to put together competitive concept notes/proposals. A deliberate scheme to promote young scientists, either through a fellowship type approach or by supporting secondments and exchange visits will be implemented. One measure of the effectiveness of capacity strengthening will be the performance of NARES in terms of the use of the AIS approach. The post-training performance of participants receiving formal training will be monitored to establish the outcomes linked to this aspect of capacity strengthening. 22 Pfeiffer H. 2007, TCIS Framework for African Agricultural Productivity (FAAP) principles and application of subsidiarity. (Draft) FAO Investment Centre, Rome, Italy. 49

74 ASARECA Operational Plan Specific capacity strengthening initiatives Specific activities identified through the NARES capacity building needs assessment will be implemented. ASARECA expects that the initiatives will include, but not be limited to, the following areas: Institutionalising agricultural innovation and value chain development approaches into the planning and implementation of the NARES ASARECA recognises the need to exploit the creative capacities of all potential actors in development in order for agricultural research, extension and education to contribute to enhancing agricultural productivity in a sustainable way. Leadership and research management Senior researchers and administrative staff will be targeted. The aim will be to improve research and institutional management by developing leadership and management skills. The initiative seeks to develop the capacities of organisations within the NARES to be more strategic in their agenda-setting and more proactive in their programme implementation. The learning processes will be adaptive, and will include identification of key issues/challenges within the institutions and addressing them using principles acquired during group learning sessions to ensure concepts are understood and the development of practical strategies and skills are developed to address daily challenges. Similar initiatives were undertaken in OP 1 with promising results. 23 Additional skills gaps This will address topics such as proposal writing for resource mobilisation; technical writing/journal publishing; scientific data analysis and interpretation; formulating and writing policy briefs; performance management and M&E; procurement; and financial management. ASARECA will work with the target NARES to identify the most critical short courses and the staff who will need them most. Institutional mentoring Many of the institutions within the target NARES lack the full complement of staff needed to operate their programmes and deliver their mandates. This invariably reduces the quality of their outputs. To address this, inter-institutional cooperation will be pursued, utilising the strengths of well-resourced NARES to build the capacity of those less well endowed. Under this institutional mentoring initiative, three- to six-month residential placement of senior researchers/scientists will be organised. The process will be demand driven, with clear objectives, and agreed deliverables. Improving the research human resource base The human resource base in the less resourced NARES is a significant challenge not only for their participation in the ASARECA CGS, but also for their capacity to deliver quality research nationally. Success stories on the effect of MSc training under the SCARDA project in OP1 have been reported, 24,25,26 but much more needs to be done. A fund will be set aside for post-graduate training in local universities, in selected disciplines that contribute to the ASARECA mission in the less resourced NARES. The research areas will also be aligned to the ASARECA research programmes/themes to ensure that the research outputs from the training also contributes to the ASARECA outputs. In addition, an award scheme targeting both individuals and institutions from these NARES will be developed under the same fund, as an incentive. Criteria for selecting winners of such awards and the 23 Leonard Oruko, Joseph Methu and Tim Chacellor (2011) 24 ASARECA AgriForum Issue 2 Nov 2011 April 2013 Building Capacity for Research. 25 ASARECA AgriForum Issue 7 May 2013 October 2013 Burundi research gets injection of young well trained scientists. 26 Malcolm Blackie (2011) 50

75 Support to ASARECA core functions specific details of the awards will be developed by a committee consisting of the ASARECA programme managers and members of the Technical Advisory Committee that will be established under the new structure (Figure 8). Infrastructure development The target institutions will identify, justify, prioritise and submit their needs for infrastructure support, namely the equipment that would contribute directly to ASARECA projects in the NARES. The exact nature of support will be determined in a participatory manner, considering the resources available. Participating institutions will be expected to make their own financial and in-kind contributions and to sustain the infrastructure beyond the ASARECA funding. 4.4 Knowledge management Support to increased uptake and upscaling will be addressed through dealing with identified constraints/issues such as: ASARECA operating as a super-nari, where projects are run to generate technologies, as reflected in the Strategy and the logframe for OP1. Project teams not having a sufficiently broad range of disciplines, mostly constituting agricultural scientists focused on commodities. Projects designed without appropriate skills for upscaling/value addition. Minimal engagement of the private sector and extension. Greater emphasis will be placed on the quantifiable outcomes of the technologies, innovations and information generated, with less reliance placed on product-based indicators that measure the number of outputs produced or completed. ASARECA requires that projects be implemented simultaneously in at least three countries. Project design will deliberately incorporate mechanisms to document and share spillover between countries and encourage the dissemination of research findings beyond participating project countries. Innovation platforms and partnerships provide interesting lessons on partnership sustainability, subsidiarity, pluralism and empowerment for other projects. ASARECA will take advantage of this to explore alternative uptake pathways with innovative partnerships including with agribusiness, to incubate and scale-up commercialisation of technologies, supported by the integration of upscaling strategies. This is critical for agricultural transformation. A review of the current Strategic Plan will be necessary to ensure this new strategic role/thrust is captured in formal documentation. Knowledge and Information (KI) Hub The potential that ASARECA has to become a sub-regional hub of knowledge and information (KI) will be realised, using the enormous amounts of information already generated. The Knowledge and Information Hub will ensure mechanisms for sharing of sub-regional benefits of ASARECA work are effective. The Hub will be a focal point for generating and exchanging knowledge, developing new ideas and networking. Among other things, it will mainstream new scientific concepts in TIMPs and policies in the region. It will serve to facilitate learning and increase the capabilities of ASARECA 51

76 ASARECA Operational Plan stakeholders. The Hub will also serve as a sub-regional focal point for data and information generated by ASARECA and other AR4D organisations both in ECA and beyond. The ASARECA Knowledge and Information Hub will achieve the following four mutually reinforcing outputs (see details in Annex 2). 1. A learning and innovation centre for agricultural research and development (AR4D) will be established and operationalised: The focus will be on sharing information and knowledge on policies and TIMPs that are relevant to commercialisation and agro-enterprise, and on information on marketing forces and requirements such as quality, quantity, price and enabling policy environments. This knowledge and information will come from past and ongoing ASARECA initiatives in research, generation and scaling-up of TIMPs, and its experience with agricultural innovation systems, gender mainstreaming, and agricultural policies and standards among others. 2. The Knowledge and Information Hub will facilitate ASARECA to play its role as a regional AR4D think tank: The AR4D think tank will aim at advising and influencing agricultural related decisions, strategies and policies at national, regional and global levels. Through the ASARECA research projects, the think tank will collect, corroborate, analyse, synthesise, produce and document relevant data and information that supports discourse and advocacy for agriculture and related trade strategies and policy issues. Recommendations from the AR4D think tank will be documented, published and brought to the attention of persons (individuals, organisations and governments) that need to take action. 3. ASARECA will establish robust platforms for information exchange that enable access to its data, information and knowledge: Key elements of the platforms will be targeted communication products; a one-stop web-based portal; an information resource centre; gender responsive feedback and demand articulation mechanisms; and capacity development. The one-stop webbased portal will be the major channel of access to ASARECA communication products. The portal will host several e-platforms including: databases (for example a TIMPs inventory), e-repositories, mobile platforms, geospatial data and collaboration tools. The web-based portal will be supported by a user-friendly, cutting edge information and communication technology (ICT) environment. The information resource centre will be setup to provide access to hard-copy communication products and serve the needs of stakeholders that have poor access to the Internet. It will also physically post materials to other AR4D libraries. The ASARECA Knowledge and Information Hub will institute gender responsive mechanisms for feedback and demand articulation from different categories of stakeholders paying attention to women and youth. These will entail both electronic and face-to-face interaction. Electronic mechanisms will comprise social media (facebook, twitter and YouTube) targeting the youth and face-to-face mechanisms (conferences, meetings, workshops, seminars, agricultural trade shows, and mass media) will ensure equal participation by women. Capacity development will entail training, set-up and maintenance of the infrastructure that supports the platforms for information exchange. 4. The ASARECA Knowledge and Information Hub will serve as the clearinghouse for AR4D technology and information from the ECA sub-region: The hub will be a central place for coordination, collection, maintenance and access to AR4D data and information. ASARECA will collect, collate and avail relevant data and information for AR4D in the ECA region. It will ensure that data and information are sieved through credible quality assurance systems and that appropriate intellectual property rights regimes are adhered to. Apart from the ECA TIMPs, geographic information system (GIS) maps will be availed through the clearing house. These will be useful for mapping ongoing project locations in the ECA region to ensure complementarities 52

77 Support to ASARECA core functions and eliminate duplication. The clearing house will also link with existing online knowledge bases (NARES, CGIAR centres, SROs and development partners). Communications and public relations The ASARECA activities, outputs and achievements need to be strategically marketed to the external community. The public profile of ASARECA will be developed and strengthened by increasing the budget for marketing and publicising events and activities; a specific marketing strategy and a visibility manual will be developed. ASARECA will establish a public relations and communication team, to support both the internal and external communication of ASARECA initiatives. The initiatives include generating the publicity necessary to stimulate commercialisation of technology and innovation that ASARECA develops through its thematic, multi-disciplinary projects. Low cost, widespread access to the Internet in ECA will allow improved knowledge sharing and management at all levels and all categories of stakeholders. This improved accessibility will provide information, knowledge and better communication with partners and linkages with value chain actors. This will facilitate the dissemination of technology packages and evidence-based decision making. The development and roll-out of key information management tools and systems and development and sharing of well defined communication strategies with targeted audiences for project design will be encouraged. This will ensure that themes and projects are supported in developing appropriate upscaling and communication strategies. Each thematic area will identify an individual who understands the theme and who can translate this into appropriate material for the public and for development partners. 4.5 Integration of upscaling Upscaling of technologies and support to agricultural advisory services Upscaling will be integrated in the Programme-Thematic Approach, which will focus on multidisciplinary initiatives that consider the value chain and the numerous parameters involved in creating interest in new technologies across a range of stakeholders. In doing so, it is expected that more diverse partners including the private sector will be involved in the ASARECA research continuum than was the case under OP1. This will facilitate more interaction, foster collective responsibility among key actors and, hence, contribute to resolving the obstacles to upscaling. Key obstacles to upscaling noted during OP1 include lack of effective market linkages; lack of institutional and organisational capacities that can reduce risks and increase economies of scale for profitable engagement of smallholders in value chains; inadequate involvement of the private sector and weaknesses in technology dissemination and knowledge exchange. In OP2, value chain and innovation system approaches, partnering with private sector and agricultural advisory service provider organisations and using ICTs will be key to achieving knowledge management and upscaling through social learning. 53

78 ASARECA Operational Plan ASARECA projects will include resources and strategies to support spillover of benefits. Furthermore, the projects will adopt a more integrated approach with thematic and multi-disciplinary project teams created to have the right mix of skills, qualifications and experience. Up- and out-scaling will be integrated into activities throughout the life of projects and be governed by a communications strategy which is defined, agreed and budgeted for. The influences of research products on the whole system will be considered before upscaling, and indicators of success will target transformational outcomes. Promoting the widespread uptake of promising TIMPS identified during OP1 will be emphasised. Some projects and initiatives under OP1 will continue in OP2, but with more focus on upscaling and wider stakeholder engagement. The integration of upscaling in OP2 initiatives will be guided by the new ASARECA Scaling-up Strategy which defines the role of ASARECA in upscaling and also outlines key interventions and output areas. In line with its mandate, the ASARECA role in upscaling will be supportive and catalytic, assisting other actors in the agricultural value chains to play their roles more effectively. The roles of ASARECA in upscaling will be: (1) facilitating the sharing of knowledge of new technologies and innovations; (2) developing and facilitating the sharing of best practices and scaling-up methodologies; (3) coordinating the sharing/movement of new technologies and innovations across borders; (4) facilitating networking amongst extension service providers in the sub-region; (5) where possible and through strategic partnerships, facilitating the development of agribusiness along commodity value chains; (6) advocating for policy environments that will support upscaling in all member countries; and (7) strengthening institutional and individual capacities for scaling-up. To play these roles, ASARECA will adopt diverse pathways and seek strategic partnerships with other relevant organisations. Partnerships will be essential to enable ASARECA reach out to many end users, and effectively deliver TIMPs and also farm and business development services through coaching and training. Towards this end, ASARECA under OP2 fully recognises that strategic partnerships between different stakeholders will be key to successful accomplishment of its mission. ASARECA will strive to improve its partnerships with the private sector and other national, regional and international institutions to enhance her capacity to effectively address key agricultural priority and strategic issues. This approach is expected to result in diverse partnership models which will serve as innovative channels for sharing information and knowledge; disseminating TIMPs across a range of stakeholders; and facilitating the development of agribusiness along commodity value chains. National and regional expertise in using existing innovative systems with the private sector as a key partner will be used. As part of its strategy to facilitate upscaling, ASARECA will also strengthen its partnerships with organisations that provide advisory services, and undertake research on uptake with the help of the appropriate resource clusters. Evidence based knowledge management will be an integral part of learning and scaling-up. ASARECA will facilitate this with its Knowledge and Information Hub through continuous harnessing of knowledge about what works, through ME&L, and using various platforms and ICT to share information with relevant stakeholders. To strengthen this further, the ASARECA partnership with AFAAS will be formalised through a mutually negotiated Memorandum of Understanding. This will provide a framework for ASARECA to collaborate more effectively with extension service providers. The sustainability and uptake of new technology adoption will be encouraged through cost sharing with end-users. ASARECA will carry out research into the types of outputs that different categories of farmers and end-users are prepared to pay for and facilitate the development of purposive partnerships with farmer organisations that will ensure sustainability. Significant informal transfer 54

79 Support to ASARECA core functions (spillover) of technologies has occurred within and across countries, and ASARECA will invest more effort in systematically monitoring the scope and scale of this. Project support will be used to facilitate the movement of material, germplasm, seeds and research products and therefore enhance transboundary implementation of projects. Projects under OP2 will be required to develop mechanisms to document lessons learned from innovation platforms and share spill-in/spillover among partners within and between countries. This will be done through uptake pathways targeting innovative partnerships, and thus encourage the dissemination of research findings beyond participating partners and countries. Support to agribusiness incubation ASARECA will take advantage of the lessons learned through implementation of the UniBRAIN initiative. UniBRAIN is a collaborative programme with FARA and the SROs to support agri-business incubation through strategic partnerships that encourage the private sector in the uptake of value addition and other technologies. Under OP2, ASARECA will undertake the following activities, building on the UniBRAIN initiative to support agri-business incubation: Stock taking of existing agribusiness incubators in the ECA sub region. Capacity building for the incubators to handle more incubatees and to provide a wide range of essential business development services such as business plan development, value addition, market information and linkages with financial service providers. Select at least 10 TIMPs developed under OP1 that have good potential and support them for upscaling through the incubation centres. Conduct value chain analyses around the TIMPs to identify critical gaps that could be addressed by the incubators. Work with selected networks such as the non-governmental organisation (NGO)/community based organisation forum, university and private sector networks such as RUFORUM and the Pan African Agribusiness and Agro-Industry consortium (PANAAC), and others to identify potential incubatees that can be linked to the incubators. 4.6 Advocacy Compliance with ASARECA-catalysed policy changes remains a limitation to moving beyond outcomes to impact. 27 At the start of OP1, the entry point for policy harmonisation through strengthened advocacy and lobbying in member countries was unclear. ASARECA had carried out several strategic studies that should have led to adoption of policies by member countries, but there was limited success. During OP1, the reasons for this were identified and a strategy and plan 28 to address them were developed. These consider ways in which stronger influence can be exerted at the highest subregional and national policy levels to ensure compliance of member countries to agreements brokered by ASARECA. The advocacy strategy and implementation plan that will support the development of 27 For example, there can be institutional and financial incentives for a national ministry to retain requirements for mandatory trials before commercial release, even when agro-ecological conditions are identical in bordering countries. 28 ASARECA [Association for Strengthening Agricultural Research in Eastern and Central Africa] Strategy for enhancing the impact of policy research in Eastern and Central Africa. ASARECA, Entebbe, Uganda. 55

80 ASARECA Operational Plan high-level advocacy skills and build a stronger more focused advocacy thrust will be developed as a key element of Theme 3, Market, Market Linkages and Trade. ASARECA has no legal framework or procedures to ensure access by member countries and stakeholders to technologies using sub-regional funding; linked to this is the issue of intellectual property rights which needs more attention. The Board of Directors will ensure that internal policies and an appropriate legal framework that ensures sharing of benefits of sub-regional public goods are developed. ASARECA representation in high-level, regional, agriculture-related fora at COMESA ministerial meetings and at AU/NEPAD will be treated as an extremely high priority intervention. Success in this area will increase the ability of ASARECA to engage and influence high-level policy processes in the sub-region. The Communication and IT units are in a position to provide suitable material to reinforce the advocacy role of senior management, and this will be encouraged and supported. Recent CGIAR reforms and the new CGIAR Research Programmes (CRPs), provide opportunities to redefine roles for partnering with the CGIAR. Relevant CRPs will be identified and participation in the CRP design meetings as the connection point between the CGIAR centres and NARES will be encouraged and advocated. Political pressure from influential stakeholders to politicise the organisation and the growing influence of donors through micro-management of ASARECA activities could prove a threat to smooth implementation. This will be addressed through high-level advocacy and a deliberately managed change process, which includes sensitisation to the issues. The current challenge of sub-optimal investment in issues that require regional solutions resulting in wasteful, duplicative research will be addressed through: (1) an effective communication strategy at all levels seeking to increase awareness and the mainstreaming of OP2 in key country strategic papers and CAADP compacts; (2) enhancing political commitment to the regional research agenda by facilitating ministerial dialogues for the patron ministers who are also ministers of agriculture in each member state; and (3) strengthening linkages to national budgetary processes to ensure that regional issues find their way into national strategies, work plans and budgets. 4.7 Gender mainstreaming Institutionalising gender mainstreaming ASARECA recognises the importance of gender mainstreaming and the fact that it enhances the understanding of socio-economic issues, putting a human face on activities. This is seen through the adoption of FAAP and CAADP principles 29 in planning, and has been strengthened through the recruitment of a gender specialist and subsequent capacity building of stakeholders. 29 The nine principles of FAAP are: Empowerment of end-users; Planned subsidiarity; Pluralism in delivery; Evidence-based approaches; Integration of agricultural research; Explicit incorporation of sustainability criteria; Systematic utilisation of improved management information systems; Introduction of cost-sharing; and Institutionalisation of gender. 56

81 Support to ASARECA core functions During OP1, gender equality was mainstreamed into project design and implementation of activities. ASARECA achieved gender responsiveness at all levels of its institutional framework and all stages of the design, planning, implementation and M&E of its agricultural research agenda. Successful gender mainstreaming requires buy-in from the highest policy organs in a country/ institution, involving key policy makers such as the ministers of agriculture, research directors and centre managers. Training programmes implemented by ASARECA have raised the profile of gender mainstreaming efforts including developing action plans. Forming a platform of trainers of trainers in gender mainstreaming at regional and in-country level is likely to yield faster gains. Gender is no longer viewed as a women s issue or an issue for development partners, but as something important for understanding the needs of women and men as the people for whom ASARECA exists. The inclusion of gender analysis among intended beneficiaries as one of several socio-economic factors to be considered in project targeting and outcomes/impacts will raise the effectiveness of ASARECA in targeting gender issues and poverty. The formation of a gender oversight role for national focal points will be developed to strengthen gender mainstreaming and accountability for gender results at project level. A platform for trainers of trainers in gender mainstreaming at the regional and in-country level will also be developed. A gender policy will be operationalised and the gender capacity at the ASARECA Secretariat has been enhanced by creating a fully-fledged unit to strengthen gender mainstreaming and socio-economic differentiation by partner institutions in project implementation. One of the key factors in achieving gender equality will be empowering women and the youth. OP2 will also focus on establishing a common framework through which regional interventions will be designed for empowering poor rural women and the youth. Focus will be on fewer, more strategic, interventions that will strengthen the ASARECA capacity to address gender mainstreaming across socio-economic differentiation at all levels of its institutional and thematic work. This will make the most efficient use of available resources and include using existing stakeholder platforms and regional and sub-regional consultative forums to build synergies and share experiences that promote and strengthen gender mainstreaming. Current, unilateral initiatives at national level to address gender mainstreaming will be treated as an opportunity to facilitate it in projects, ensuring holistic and sustainable agricultural development. Some of the other issues that will be addressed include: The low numbers of women in scientific/research positions which may be partially addressed through increased opportunities for women in higher education. The inequitable distribution of agricultural resources with specific gender categories of women, youth, other interest groups and targeted minority groups. Policy advocacy for equitable resource distribution. The creation of gender-responsive stakeholder platforms at national and regional level. Addressing some of the factors embedded in gender roles, that hinder women s participation in decision making and other opportunities such as training (for example, establishing how women can be encouraged to take up training slots allocated to them). 57

82 ASARECA Operational Plan The youth and the unemployed display a lack of enthusiasm for agriculture, and with an aging population in the farming community, the future of agricultural production is under threat. As part of the broader approach, extra efforts will be made to engage with organisations that deal with youth. Gender at thematic and project level A gender strategy has been developed and approved by the ASARECA Board of Directors and a monitoring system will be developed to measure its success and identify areas for review and development. This will be done by developing and institutionalising performance management plans for projects and resource clusters which include baselines and targets that are appropriately disaggregated, by gender or sex, but also other socio-economic categories. The inclusion of gender-related differences among intended beneficiaries as one of several socioeconomic factors to be considered in project targeting and outcomes/impact assessment, will raise ASARECA effectiveness in targeting gender and poverty. 4.8 Environmental and social safeguards Sustainability is one of the driving forces for ASARECA, although compliance to existing safeguard policies and procedures has sometimes proved a challenge. To address this, an office for ESS was established under the office of the DED which will emphasise compliance with environmental and social safeguards. In addition to the available operational support for programme managers and NARES, existing country systems for environmental and social assessments will be used and adapted to strengthen technical capacity. The systems will then be used in the process of preparing environmental and social management instruments for approved projects. Emphasis will be placed on implementation of mitigation measures, identified ESS instruments and reporting on both the outputs and outcomes on a regular basis. To ensure effective implementation of ESS, ASARECA plans to provide training for programme managers, principal investigators and sub-grantees as part of its capacity building initiatives. This will enable them to integrate ESS considerations during design, development, approval and implementation of sub-projects. To succeed in integrating and mainstreaming ESS, building of partnerships and networking is considered as key. The role of establishing and managing functional partnerships with relevant organisations belongs to the ASARECA Partnerships and Capacity Development (PCD) Unit. Therefore, working with this unit, key partnerships will be identified, established and managed. Networks will also be identified and initiated with agencies at international, regional and local levels to advance the ESS agenda and programme. Information is important in empowering ASARECA and partners to conduct effective environmental and social management. ASARECA will therefore create and disseminate (both internally and externally) information on environmental and social sustainability. This will be done through collaboration with programme managers, IT and the Communication and Public Relations Unit. 58

83 5 Organisation and governance 5.1 Changes to support the paradigm shift The organisational structure under OP1 is shown in Figure 6. This structure is supported by Governance 30 and Operation 31 manuals. Figure 6: ASARECA organisational structure under OP1 The above structure has proved useful and effective during the implementation of OP1, but is constantly evolving to meet fresh demands and needs. Under OP2 several further changes are proposed to increase accountability, transparency and efficiency. These are driven by the shift to a Programme-Thematic Approach and by the need to address issues described elsewhere in this document. 30 Central Africa. ASARECA, Plot 5, Mpigi Road, Entebbe, Uganda. [In English and French]. 31 ASARECA Operations Manual, Approved 17 December 2009, Revised July, ASARECA Plot 5, Mpigi Road, Entebbe, Uganda. 59

84 ASARECA Operational Plan Issues of change and change management ASARECA has successfully gone through substantial changes since These changes include adopting a programme approach to replace NPPs, expanding the Secretariat, bringing all staff to the Entebbe office and recruiting additional staff to support the Association s strategy. No formal organisational change management programme had been in place to oversee these changes. Some significant areas were therefore neglected including issues linked to institutional norms and culture, leadership and management style, communication and the profile of ASARECA and its activities. To address this, an integrated, formal and structured management of change process was initiated and mentored by a Change Management Specialist in 2013 to guide and support the process in collaboration with a Change Management Team comprising ASARECA staff members. The change management initiative is not being treated as a separate project or programme, but is integrated into everything that ASARECA does. It follows a structured approach that addresses all the key issues (see Figure 7) through a change management framework that deals with the obvious, and less obvious, factors. Figure 7: The 4-Step Change Management Framework The framework focuses on, but is not limited to 12 key areas listed in Box Further information on the process is detailed in Annex 6. To develop a clear timetable and plan, the change management process uses a logframe approach to identify the deliverables and what the process is aiming to 32 These were identified by stakeholders at a Consultative Workshop in Nairobi, Kenya from September 2012 as well as the processes involved for some of them. Further work is required to develop these as part of the change process itself, however, this marks a first step in the change process. 60

85 Organisation and governance achieve. A draft logframe is shown in Annex 7. Finalisation of this will form part of the planning process during the inception phase 0f OP2 (see Chapter 6). An indicative timetable is shown in Annex 8. The revised organisational structure is shown in Figure 8. The establishment of this revised structure will be integrated into the change process. Box 6: Substance of change for OP2 1. Programme to hybrid approach is a prerequisite for OP2. Sensitise management from lower to higher levels including Board members (creative capacity building). 2. Revision of current structures, processes and roles: Review of procedures in Operations Manual to minise conflict of interest at governance/board level (to look at the decision-making processes and beneficiary roles) with definition of clear roles and responsibilities for management and the Board. 3. Corporate identity: Enhance the profile and visibility of ASARECA nationally, sub-regionally, regionally and internationally. Resolve the issue of legal status of ASARECA in Uganda (by completing the Host country Agreement); Address issue if status at the regional level with special emphasis on how member countries view ASARECA and reaches out to it. 4. Institutionalising outreach and communication tasks. 5. Institutionalising gender mainstreaming: Harmonised implementation of gender mainstreaming, communication strategies within ASARECA region. 6. Institutionalising effective ESS: Integration of ESS to ensure its contribution towards sustainable agricultural systems. 7. Human resources: Equal opportunity, participation, training on soft skills, capacity building, evolution into a learning organisation. Review incentive scheme/reward system. 8. ME&L: Performance of initiatives, staff and the organisation as a whole. 9. Partnership development: Engagement with stakeholders and new partners, especially the private sector. Establish private sector contact point at ASARECA. Build capacity and partnership for private sector, civil society organisations. 10. Advocacy: Examine the tools related to this aspect to develop coherent mechanisms. In-reach (advocacy within ASARECA as an organisation) before outreach needs focus and galvanised support. 11. Capacity building of NARES: Emphasis should be on institutional capacity building of partners (processes, systems, etc.) particularly the less competitive NARES. Popularise ASARECA products and strengthen feedback mechanism. 12. Impact orientation: Tracking adoption and impact of technologies (using appropriate social economic and gender analysis tools). 13. Proactive resource mobilisation: Develop a strategy and be able to mobilise resources from within the region, other donors and the private sector. 5.3 The Board of Directors The ASARECA Board of Directors currently comprises the Directors General of the 11 NARIs and 1 representative from each of the key stakeholder groups. The stakeholder groups are: COMESA, agricultural universities, the private sector, farmer organisations/associations, international agricultural research centres of the CGIAR, agricultural research extension advisory services and NGOs; development partners attend as observers. The Board meets twice a year and is responsible for the stewardship and strategic leadership of the ASARECA Secretariat. A General Assembly (GA) was also established to serve as the oversight organ to which the Board of Directors is responsible to. The GA reviews the strategies, priorities and assesses the progress and research programmes and initiatives of ASARECA every two years. 61

86 ASARECA Operational Plan Strengthening of governance mechanisms General Assembly and Business Committee members are currently uncertain of their precise roles. To enhance the stewardship and leadership of ASARECA, the Secretariat will continue to organise Board induction retreats to build the capacity of new Board members on their roles. The roles will also be clarified through a consultative review of their functions, and as part of the formal support to the change process. The Committee and General Assembly will also be sensitised to their roles in the implementation of OP2. Once all of them understand their roles and responsibilities, they will provide the right guidance to ASARECA and hence increase its efficiency. The Board of Directors must feel able to challenge the ASARECA management. In its oversight role, the Board should be able to approve or reject recommendations presented by the Secretariat. The change management process will enhance the governance and management skills of the Board of Directors and of Committee members through training. This should enable the Board to take informed decisions that will make ASARECA a more efficient organisation. The extensive technical and specialist skills that Board members possess do not always include those necessary to operate effectively and efficiently in the role of ASARECA oversight. This sometimes prevents full engagement of the Board of Directors with the Secretariat and other stakeholders, restricting their ability to ensure quality and alignment with the wider policy and political environment, something which may lead to compromised and reduced quality decision making. The change management process will therefore equip Board members with soft skills such as decision making, effective communication and problem solving. Improved quality of decisions made will increase the organisational efficiency. ASARECA proposed revisiting the Board composition to balance stakeholders and their skills and develop a formal training policy for members with specific training including corporate governance. A familiarisation programme for Board members will also be developed and implemented. 33 When Board members are from diverse backgrounds; are empowered with corporate governance skills, which the change management process will facilitate; and they are well oriented to their roles and responsibilities, they will be more effective. This will in turn result to ASARECA being a more efficient and effective organisation. A self-appraisal process for the Board of Directors and its committees is being implemented under OP1, and will continue to be promoted and supported. The appraisal document will be reviewed to conform to best practice. Interaction between the Board and Secretariat staff will be encouraged with more Board and Committee visits to the Secretariat to meet senior management and staff. This will allow them to take a more proactive role in providing guidance and oversight. The change management process will encourage effective communication between the Board, Committee members and staff at the Secretariat. This will build solid communication and knowledge sharing channels. When people talk to each other, day-to-day operations will be smoother, as bottlenecks will be easily eliminated. In that way, ASARECA will be more efficient and effective as an organisation. 33 Improvements in the Board performance will include ensuring that decisions made by the Board at previous Board meetings are subsequently checked and reviewed and that decisions taken are assigned to specific staff or a management committee with timelines for their implementation. 62

87 Organisation and governance In OP1 the Board has had three committees 34 with functions spelt out in the Governance Manual. Currently, the Finance and Audit Committee has been split into a Finance and Administration Committee and Audit Committee (see Figure 8). The Audit Committee s responsibilities and activities address the Board s obligation to establish formal and transparent arrangements for considering how it should apply financial reporting and internal control principles. Areas where there is potential for conflict of interest will also be reviewed and addressed. This is important because audit and financial duties need to be segregated. Changes in the structure will lead to this segregation and this will result in the audit function checking the finance one. This creation of checks and balance will result in more accountability which will in turn enhance efficiency. A Nomination and Governance Committee will be established to replace the OP1 Nomination Committee. It will have a broader role and set of responsibilities to be decided by the Board of Directors. Technical Advisory Committee A Technical Advisory Committee (TAC) will be established to act as the technical advisory arm to the Executive Director. This will have clear terms of reference and a clear OP of its own. A draft of these for discussion is shown in Annex 9. ASARECA envisages that TAC will comprise 12 experts appointed from organisations within the NARES of member states, partner institutions and international organisations, on the basis of their personal merit, proven expertise and experience in agricultural research for development and capacity strengthening. Composition of the membership of TAC will ensure representation of the areas of ASARECA activities, official working languages and gender. The functions of TAC will include, inter alia: Review programmes and advise the Executive Director on scientific and technical matters and the relevance of the themes projects to the ASARECA strategic and operational plans. Assist the Secretariat in the functions of facilitating scientific cooperation and coordination. Assist the Secretariat and Board of Directors to conduct evaluation of the scientific activities of ASARECA between meetings of the General Assembly. Monitor and evaluate scientific cooperation activities, including scientific publication and dissemination of technical information, implemented by ASARECA. Assist the Secretariat to coordinate the scientific activities of ASARECA to promote scientific excellence and enhancing the influence of ASARECA in the ECA sub-region. Members of TAC will be appointed by the Board of Directors and will meet once or twice a year in ordinary sessions when at least two-thirds of the members have confirmed their participation. Extraordinary sessions of TAC may be convened if half its members and the Executive Director give approval. To facilitate implementation of its functions, TAC may also be empowered to set up special ad hoc sub-committees to address specific issues. The precise nature and governance of TAC will be discussed and decided during the inception phase of OP2. 34 Programme Committee, Finance and Audit Committee, Nomination Committee. 63

88 ASARECA Operational Plan The Secretariat Management of themes and projects The Secretariat has highly qualified staff and a strong pool of human resources with diverse skills. The staff were all recruited using a transparent, competitive and merit-based process. The special focus on staff motivation and retention will continue and, if necessary, skills sets will be broadened to reflect the changes implied in the thematic, multi-disciplinary approach. The change management process will continue to motivate employees because with high morale, productivity is elevated, and employees offer new ideas to help increase organisational efficiency. The process may create incentive plans that offer merit awards to individuals who perform above expectations, constantly compare the salaries and pay structures ASARECA is offering with those of other organisations in the same industry to remain competitive and encourage employee feedback on organisational issues. ASARECA carried out a human resource capital requirement evaluation exercise to determine the optimal level of staff to operationalise OP2 (Annex 10). The Association will endeavour to maintain a lean and effective human resource base and optimise the strength of this resource by regularly carrying out skills audits. The new Programme-Thematic Approach will be coordinated and managed by the Deputy Executive Director. Senior technical staff will remain as they were under OP1, as programme managers and unit heads. Programmes and unit functions and responsibilities will be reviewed to ensure they are appropriate to the new approach and priorities. The Executive Director will assign a Programme Manager as Theme Coordinator for each theme in consultation with the Deputy Executive Director and with the approval of the Board of Directors. Theme Coordinators will be responsible for convening meetings; they will each use a small budget, held by the Deputy Executive Director, to facilitate this process. It is possible that this role could rotate amongst the Programme Managers on a biennial basis. Programme assistants will continue to provide additional technical support for the management of activities. Prioritised issues within each theme will be addressed by developing calls for concept notes by programme managers and unit heads under the coordination of the Theme Coordinator. The Environment and Social Safeguard Specialist will ensure projects concept notes and proposals satisfy environmental and social criteria. Each individual multi-disciplinary project will have a designated Programme Manager, who may be the Theme Coordinator, if appropriate. Programme managers will report projects to the Deputy Executive Director, as is currently done. Other technical staff will provide any necessary support and inputs. The specific roles and responsibilities will be reviewed and developed as part of the managed change process during the start-up (see Implementation schedule, Chapter 6). When employees know what is expected of them in terms of roles, responsibilities and performance standards, they tend to perform better, have high morale and, hence, increase organisational efficiency. To ensure that ESS, gender, partnership and advocacy issues, principles and initiatives are institutionalised across the organisation, a special Crosscutting Committee, chaired by the Executive Director, will be created. Membership of the committee will come from policy, advocacy, partnerships, knowledge management, upscaling, gender and capacity strengthening. 64

89 Organisation and governance The Crosscutting Committee will advise, support and develop ASARECA-wide policy and initiatives on these key issues and ensure that they are resourced and addressed. The scope and scale of the committee will be beyond that covered by the themes, projects and activities. The Information Communication Unit of OP1 has been split into a Communications and Public Relations Unit and an Information Technology Unit (Figure 8). Support to the paradigm shift will be provided through access to resource persons or mentors to provide guidance and support as part of the managed process of change. Profiles of the ASARECA OP2 functional units OP2 will be implemented by the following ASARECA functional units/offices: The Executive Director s office The Deputy Executive Director s office Programme management units Partnerships and Capacity Development Unit Information, Communication and Public Relations Unit Information Technology Unit Gender Mainstreaming Unit Internal Audit Unit Procurement and Contracting Unit Environmental and Social Safeguards office Human Resources and Administration Unit Finance Unit Monitoring, Evaluation and Learning Unit The required profile for the functions above is detailed in Annex 11. Other human resource issues Job titles and descriptions will be reviewed to improve perceptions and conditions of Secretariat staff. It may be necessary to redefine roles and responsibilities through a human resources development review, before reassigning staff and units. The change management process will involve all staff in the review of their job descriptions and the redefining of their roles to suit the OP2 requirements. This will increase staff morale which should translate to elevated productivity and therefore increased organisational efficiency. A programme for regular staff or management meetings specifically to deal with human resources issues will be established to allow sufficient time to deal with critical agenda items. Once staff members understand that the organisation cares for their welfare and involves them in taking decisions affecting them, their morale will increase and they will be more productive. 65

90 ASARECA Operational Plan Figure 8: Organisational structure for OP2 (Dotted lines reflect collaborative-interactive links on regular or day-to-day basis, purple boxes are new positions or units.) The staff representation outlined in the Operations Manual will be operationalised to create a forum in which staff can be represented and which can receive feedback on staff suggestions presented to the Board. Operations Manual The ASARECA Operations Manual is an extensive document that has been developed and used during OP1. It contains good systems and procedures which create confidence and predictability and reduce the risk of problems. It allows ASARECA to promote itself and demonstrate good value for money. For it to remain a useful document, the processes and procedures in it will be implemented according to the principles and policies it contains. Where elements of it are unhelpful or obstructive, they will be reviewed and changed. Since the Operations Manual is a living document it will be systematically reviewed and revised to ensure that it remains relevant to the changing environment in which ASARECA operates. 66

91 Organisation and governance 5.5 Financial management Programme-thematic support ASARECA bears the fiduciary responsibility for all funds utilised or advanced by the Secretariat, and must closely monitor the use of funds by its sub-grantees. This ensures the funds are used for the purposes intended. The ASARECA Finance Unit has in place a robust automated accounting system and well documented operational policies and guidelines that can fulfil these fiduciary responsibilities. The transparency and effectiveness of financial accounting has met all types of development partner funding requirements and criteria, and this has been well documented and demonstrated over the last five years. The current automated system and guidelines are flexible and will be able to accommodate the new programme-thematic approach with minimal modifications. Capacity building of sub-grantees to handle financial management procedures will continue, including where necessary, language skills for non-english speakers so that, inter alia, sub-grantee finance officers will be better placed to fulfil reporting requirements. The Finance Unit will determine how best to simplify the financial reporting standards and templates and also determine how to move from financial accountabilities to performance accountabilities for smaller and target-specific projects and activities. There is a continuing need and demand for funding for ASARECA activities. To address this, it is proposed to develop a coordinated and comprehensive fund-raising strategy that is included as an activity in job descriptions of senior management. Low burn rate of ASARECA programmes Issues resulting in sub-optimal budget utilisation (burn rate) will be addressed. Burn rate is a function of both the ability to make disbursements for actual expenditure efficiently, and implementation of project activities on the ground. If one lags behind, the burn rate will suffer. The focus will be on an all-inclusive review that includes project coordinators, finance and M&E performance. The assessment of sub-grantees needs to be strengthened with their institutional capacity reviewed. Budgets submitted by sub-grantees will be validated to a greater level of detail to identify instances of over-budgeting, in relation to the outputs that the sub-grantees promise to deliver. Programmes which involve the contracting of individual scientists will be closely monitored and will have contract clauses which emphasise the time and the quality of project deliverables. The general sentiment at ASARECA is that burn rate is an issue only for finance. However, the concept is broader than that and will be handled as an institutional concern for ASARECA. Burn rate is an informal institution that will be addressed under the change management process. 67

92 ASARECA Operational Plan Risks in financial operations The various reviews of the ASARECA financial operations have identified the following risks, and these will be addressed: Insufficient involvement of the Human Resources Unit in the payroll process which leads to errors in payment. No risk management policy in place to identify, assess, communicate, document and manage institutional risks, as stipulated by the Operations Manual. Inadequate risk assessment with no rating for identified risks; the last assessment, for example, was carried out in

93 6 Implementation schedule 6.1 Overview and introduction ASARECA must consider several practical issues in the context of implementation. The principal one is the projects for which funds are already committed and which are operating under the programme approach. These needs to be completed and, where appropriate, absorbed into the new paradigm based on thematic areas and resource clusters. The preparation for implementation of OP2 will start as soon as the document has been approved, with the official start date being 1 January It is anticipated that an Inception Transition Phase of 12 to 18 months will address several key issues. An indicative timetable is summarised in Figure 9 and shown in full in Annex 8 (this highlights key activities). The activities were identified by stakeholders as priority areas (see Box 6). Figure 9: Summary of key change management events Green blocks indicate start and period of intensive inputs further detail in Annex 8. Once the Inception Transition Phase is completed the full implementation will include not only the research and other activities of ASARECA, but also the institutionalisation of the changes identified in this OP. These are linked to the structures and processes of ASARECA and will be covered through a managed process which will ensure the successful incorporation of the changes into the operation of the organisation. 69

94 ASARECA Operational Plan Inception Transition phase Completion of OP1 projects Projects and initiatives started under OP1 will continue but will also, wherever possible and where they are not already doing so, refocus on key issues of upscaling and wider stakeholder engagement. Any potential to continue after 2013 will be identified and integrated into the planning phase of the new initiatives, projects and calls for proposals. Each OP1 programme manager will audit project portfolios to determine which would be suitable for developing further and incorporating directly into the new structure. Participatory identification of key components There are technical, structural and process-based changes that are an inherent part of this Plan. For these to be successfully institutionalised, a broad base of ASARECA stakeholders must both understand and agree on the main elements. Some of these changes are shown in Box 6. However, they will need to be shared with a wider cohort of stakeholders and developed into a plan which addresses each. This will be done through a participatory, workshop-based approach which is managed and facilitated as part of the change management process; it will serve two functions. First, it will provide the technical elements that will drive the development of research calls and the schedule of activities for delivering the outputs. Second, it will develop a sense of stakeholder-ownership and engagement with the new plan and approach. Change will also address the sharing and development of new and improved soft-skills (management, facilitation, decision making and delegation). Furthermore, it will include developing a wider appreciation of the need to manage change and the identification and facilitation of champions of change and change agents to support the process throughout the organisation at national and subregional levels. 6.3 Main implementation of OP2 All the changes that must be made to effectively implement OP2 will be aided and managed. Stakeholders will need to be sensitised and given the appropriate skills and resources to implement the Plan. It is for this reason that capacity strengthening is a core function of the ASARECA approach to transforming agriculture in the sub-region. Technical implementation to ensure delivery of the outputs will be addressed through the approaches described in Chapter 3. This will ensure that ASARECA fully meets its role as a facilitating and synergising SRO that adds value to the skills and resources at national level. It is anticipated that the main Implementation Phase will overlap with the Inception Transition Phase, as it would be unrealistic to imagine them as separate activities. Some of the issues addressed in the Inception Transition Phase will continue and become an integral part of the implementation, although their emphasis will undoubtedly shift. These will include, for example, a continuous process of sensitisation and capacity development with a move to training of trainers to ensure sustainability once a core level of competence had been developed. The cost and resource implications of all these are considered in Chapter 7 and will be finalised during the Inception Transition Phase. 70

95 7 Financial plan for the Operational Plan ( ) 7.1 The model of the financing plan The indicative, total budgets summarised in Table 4 compare three levels of funding for activities. The three possible scenarios, or activity levels, support: A high case level which reflects the maximum absorptive capacity of the organisation and that is likely to create the anticipated impact. A medium case portfolio, which would be appropriate in the face of limited funding. A low case portfolio which would be appropriate in the face of highly constrained funding and is benchmarked to the previous five year OP impact. 7.2 Budgeting methodology To estimate the costs of research activities, priorities identified by the current programmes, have been used and are summarised in Sub-section 3.3. The priorities were identified in consultation with stakeholders and articulated in the analyses performed by the Secretariat s sub-committee that reviewed current and future priorities. The costs for management, administration have been fixed based on the current contractual obligations; the OP1 cost trends and also taking into account inflation and exchange rate fluctuations. An overview of total budgets for the three funding levels of activity is shown in Table 4 and a summary of the budgets for these levels of investment is given in Table 5. Detailed breakdowns of these forecasts are given in Annex 13. Table 4: Overview of projected costs at three funding scenarios ASARECA Operational Plan 2 Financing Scenarios ( ) Cost Elements High Medium Low (US$ millions) (US$ millions) (US$ millions) Research Sub-granted projects % % % Technical support activities by ASARECA % % % BOD and Governance % % % Secretariat running costs, rent, capital items % % % Staff costs Directly managing projects % % % Staff costs Administration & management units % % % Total

96 ASARECA Operational Plan For the sub-granted projects, the following parameters were used to derive the budget shown in Table High Ecosystem services 14 US$ 2.6 million each for 5 years with 2.5% inflation Markets, market linkages and trade 14 US$ 3.7 million each for 5 years with 2.5% inflation Sustainable agriculture 14 US$ 2.6 million each for 5 years with 2.5% inflation 2. Medium Ecosystem services 14 US$ 2.1 million each for 5 years with 2.5% inflation Markets, market linkages and trade 14 US$ 2.3 million each for 5 years with 2.5% inflation Sustainable agriculture 14 US$ 2.1 million each for 5 years with 2.5% inflation 3. Low Ecosystem services 8 US$ 2.0 million each for 5 years with 2.5% inflation Markets, market linkages and trade 8 US$ 2.2 million each for 5 years with 2.5% inflation Sustainable agriculture 8 US$ 2.2 million each for 5 years with 2.5% inflation Table 5: Summary of budget costs for the three funding levels ASARECA Operational Plan 2 Financing Scenarios ( ) Cost elements High Medium Low (US$ millions) (US$ millions) (US$ millions) I) Reasearch Themes Eco-Systems % % % Markets & Market Linkages % % % Sustainable Agriculture % % % Sub-Total % % % II) Technical Services Deputy ED Theme Cordination Office % % % Monitoring & Evaluation % % % Partnerships & Capacity Development % % % Information Technology 1.9 7% 1.9 7% 1.4 9% Sub-Total % % % III) Management & Administration Executive Director s Office % % % Financial Management % % % Administration & HRD % % % Communication & Public Relations % % % Procurement & Contracting 0.9 8% 0.9 8% 0.7 8% Gender Mainstreaming % % % 72

97 Financial plan for Cost elements High Medium Low (US$ millions) (US$ millions) (US$ millions) Sub-Total Management & Administration % % % IV) Board & Governance Board of Directors % % % General Assembly % % % Sub-Total BOD 3.0 2% 3.0 2% 1.7 2% OVERALL TOTAL FOR OP The financial reporting structure There are no major fundamental differences between the reporting formats of OP1 and OP2. The proposed organisational management structure, as described in the organogram (see Figure 8), will guide the systematic cost accumulation for budget purposes and reporting. Systems and mechanisms remain the same. 7.4 Resource mobilisation strategy ASARECA has developed a resource mobilisation strategy which is intended to guide the Secretariat in raising the necessary resources to stimulate agricultural transformation in the sub-region. These are not limited to financial but also include human and capital resources. ASARECA considers these resources as critical to realising the mission and objectives. The scope of mobilising resources is not limited to traditional sources of development partners but will also bring on board national governments and institutions (universities, farmer organisations, research institutions and the private sector among others). In putting together this strategy, ASARECA recognised the significant contributions made by the national governments through NARES, universities, farming and pastoral communities, research institutions and farmer organisations in form of indirect counterpart funding that have proved pivotal in supporting ASARECA operations. Although not always directly quantified in monetary terms, the contributions in kind (human resource and capital) run into several millions of dollars. ASARECA will continue to encourage these critical partners for support in the implementation of OP2. The current ASARECA Operational Plan (OP1) is estimated to cost about US$80 million over a period of 5 years. 35 Under OP2, it is estimated that ASARECA shall require between US$90 million to about US$181 million over 5 years. Under OP2, ASARECA therefore requires an increase of between 12.5% and 125% above the OP1 funding level, to manage core programme activities to be implemented under the three indicative themes, establish and sustain the ASARECA Knowledge and Information Hub, and run the Secretariat. ASARECA shall start a new five-year cycle in 2014 without committed funds and hence every effort must be made to raise the requisite financial resources to fund OP2 activities if the anticipated agricultural transformation is to be realised. Raised funds can be managed as is currently done under MDTF, or through special bilateral arrangements with other partners. The ASARECA Resource Mobilisation Strategy identifies various mechanisms through which ASARECA can 35 Based on three scenarios: low (US$90 million), medium (US$147 million) and high (US$180) with scale being based on the expected impact. 73

98 ASARECA Operational Plan raise the required funds to fulfil its mission. Based on the assumption that the unit of transformation is the household, it is estimated that about 11 to 21 million people will be influenced positively over the lifespan of OP2 and a total area of 300,000 hectares will be brought under sustainable natural resource management. 36 As earlier noted, the required resources would be financial, human, and capital. This is on the understanding that some development partners would be willing to provide technical backstopping or capital equipment (such as irrigation equipment, laboratory equipment, water pumps, and certified and clean planting materials). The purpose of the ASARECA Resource Mobilisation Strategy is to facilitate the mobilisation of adequate resources to: (1) support ASARECA key result areas and related activities; (2) support operations at the ASARECA Secretariat; (3) fund activities that support the vision and goal of ASARECA; and (4) facilitate the establishment and operationalisation of the proposed ASARECA Knowledge and Information Hub. This strategy is founded on the ASARECA organisational setup as a sub-regional agency with the mandate to guide and support agricultural transformation in the ECA agriculture sub-sector. Through the fund, ASARECA will position itself as a sub-regional think-tank, knowledge and information hub, and a learning centre on how to truly transform the agriculture sector. The strategy guides how the ASARECA management structure and governance will be mobilised to: 1. Scope the nature and magnitude of resources to be mobilised. 2. Prioritise OP2 investment areas and partnerships needed to mobilise resources and implement actions that deliver ASARECA results. 3. Optimise resource use within institutional operations so as to ensure programme coherence, cost effectiveness and competitiveness, as ASARECA implements OP2 through the hybrid of thematicprogrammatic implementation approach. This approach is designed to ensure cross learning and wider development impacts over the next five years and beyond. 4. Intensify marketing, advocacy and communication as part of a broader approach to showcase the organisation s impacts in the ECA sub-region, in turn demonstrating the ASARECA position as an important agricultural development vehicle worth investing in. 36 Based on the economy of scale, it is estimated that with an effectiveness input of US$20, one person will be positively touched either through capacity enhancement, food security enhancement, nutritional status, provision of quality ecosystem services or otherwise. 74

99 8 Conclusions ASARECA has had many successes during the period of its first Operational Plan ( ) and these are well documented elsewhere. The successes are in large part due to the dedication of its staff and partners combined with a prioritised strategic approach and focused programmes. Success, and the search for success, has provided many useful lessons for stakeholders. As the period covered by OP1 draws to a close, these lessons form an excellent basis for the development of a plan and approach to cover the next period of implementation ( ). Applying these lessons in a way which recognises the importance of engaging with a broad base of stakeholders has led to the development of a new paradigm for the next five years. This paradigm is not the radical shift that occurred when programmes and centralised management replaced the scattered NPP, but a gentle evolution of a successful approach which has served ASARECA well since It aims to institutionalise the collaborative and coordinated use of the technical skills available to develop calls for initiatives that will address prioritised issues clustered under the distinct challenges and opportunities which face agricultural transformation in the sub-region. These are the thematic areas where programmes and crosscutting issues can pool their collective knowledge and resources to develop integrated responses that satisfy the demands of clients. Integrated into this paradigm is the recognition that to gain the required impact, the changes that are explicit and implicit in the lessons learned and interactions with stakeholders will need a deliberate and formal process to manage them. The technical aspects of the plan build on strong foundations that have been developed in the many different disciplines needed to reach targets and provide a holistic approach. Institutionalising the new paradigm through deliberately managed change, coupled with continued technical excellence and the incorporation of critical crosscutting issues, will ensure that ASARECA enjoys even greater success over the next five years. 75

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101 9. Bibliography ASARECA Board of Directors Visioning Meeting. 29 June 2012, Meeting Report. ASARECA Secretariat. ASARECA Consultative Workshop of the Transformation Sub-Committee of the ASARECA Secretariat. Synthesis Report, 26 and 27 April ASARECA Operational Plan Towards achieving the Millennium Development Goals and NEPAD s agenda CAADP through the improved delivery and impact of sub-regional research. Revised Version. [draft] ASARECA Operations Manual. Approved 17 December 2009, Revised July ASARECA Plot 5, Mpigi Road, Entebbe, Uganda. ASARECA Strategic Plan , Agricultural Research-for-Development in Eastern and Central Africa. ASARECA, Plot 5 Mpigi Road, Entebbe, Uganda. Evaluation of USAID/East Africa Support to the Association for Strengthening Agricultural Research in Eastern And Central Africa [ASARECA]. Revised Final Report. August Framework for African Agricultural Productivity. June Forum for Agricultural Research in Africa, Secretariat, Accra, Ghana. Governance Manual for the Association for Strengthening Agricultural Research in Eastern and Central Africa. ASARECA, Plot 5, Mpigi Road, Entebbe, Uganda. [In English and French] Internal Review of the Performance of ASARECA Operational Plan. Price Waterhouse Cooper. September Key Issues and Potential/Proposed Responses for ASARECA Operational Plan A Synthesis of Internal and External Monitoring and Evaluation Reviews and Workshops of ASARECA JA Sutherland, May Mid-term Review Mission of the ASARECA MDTF. Aide Memoire ASARECA P The World Bank. 28 October Mid-term Review of ASARECA by the Joint Mission of Development Partners. Final Report. 5 January Mid-term Review of the Operational Plan of ASARECA. Final Report. External Review by Tripleline. 26 August

102 ASARECA Operational Plan NEPAD: Comprehensive Africa Agriculture Development Programme. Midrand, South Africa. August Proposed Strategic Investment Priorities For ASARECA OP2. Report of ASARECA Subcommittee on Strategic Investment Priorities. May Retreat of the Stocktaking Sub-Committee of ASARECA Secretariat March Summary Report. Stakeholder Working Group Consultation Workshop for Operational Plan Development. Workshop Report. ASARECA Secretariat. 11 and 12 June Stakeholder Working Group Consultation Workshop for Operational Plan Development. Workshop Report. ASARECA Secretariat September Nairobi, Kenya. SWOT and Situation Analysis Workshop for Operational Plan Development. 11 and 12 May Workshop Report. ASARECA Secretariat.

103 10 Definitions for the terms and indicators in the OP2 logical framework (Table 2) 1. Competitiveness is shorthand for increased productivity and access to input and output markets and their supporting and enabling policies. 2. Appropriate covers all aspects of the innovation systems, meaning they should be addressing the following issues: prioritised and strategic, gender responsive, environment and social safeguards, demand-driven, environmentally sensitive, climate-smart, equitable and subregionally significant. 3. Innovation systems include key aspects of agricultural systems including value chains and stakeholder platforms. It will involve a network of organisations, enterprises and individuals focused on bringing new products, new processes and new forms of organisation into economic use, together with the institutions and policies that affect their behaviour and performance. 4. This indicator is intended to track the trends in total factor productivity (TFP), including assessing the cumulative percentage change in the value of agricultural output and yield of selected crops and livestock. This indicator is based on the projection that to achieve the desired agricultural growth rate of 6.6% or more will require annual TFP growth rates of 4.4%. 5. This indicator aims to track the annual growth in values of inputs and outputs of agricultural commodities. Time series data on value added in the agriculture sector will be collected. Yearto-year growth rates will be calculated, and where necessary, triennium ending moving averages will be adopted. 6. This indicator tracks the trends in the intra- and inter-country trade (plus intra-regional trade) and value of agricultural trade, including market access and export volumes, etc. It is one of the key indicators in the expanded CAADP M&E systems for agricultural innovation at national and sub-regional level. 7. Food security exists when all people, at all times, have physical, social, and economic access to sufficient, safe, and nutritious food that meets their dietary needs and food preferences for an active and healthy life. Household food security is therefore regarded as the application of this concept to the family level, with individuals in households being the focus of concern (FAO 2003). 79

104 ASARECA Operational Plan The Coping Strategies Index (CSI) is a rapid method of assessing what targeted stakeholders do when faced with food insecurity. It acts as an early warning system and whether projects are implemented in the most food insecure households. It is based on the response to a single question: What do you do when you don t have adequate food, and don t have the money to buy food? The CSI will be constructed by the ASARECA M&E Unit, and administered to stakeholders annually. 9. This indicator measures the increases in agricultural productivity across different crop, livestock and fishery systems and by different categories of farmers (large, commercial; small- and medium-scale; subsistence and women farmers). It tracks increases in yields for staple food crops and other high-value speciality crops; increases in livestock productivity (annual milk production per cow), increases in the yield of fish ponds (annual tons per area), and increases in the productivity of other enterprises. 10. This indicator measures the number of agricultural enabling environment policies, regulations, and administrative procedures in the areas of food, market standards and regulation, natural resource management (NRM), agricultural resource, soil and water management, climate change adaptation/mitigation that implemented new or revised policies by relevant authorities. It also measures the policy progress milestones. 11. This will also include the assessment of the number of project participants reporting positive changes in their food security situation (e.g. changes in productivity, income, nutrition and child feeding practices) as a result of using their new capacities in coping with climate variability. Other key indicators to be tracked include: better knowledge of new practices/technologies for food security; better understanding of the constraints and possible actions and strategies to improve the food security situation. 12. This includes assessing the level of beneficiary satisfaction with the generated TIMPs, the functionality of the incubation centres and knowledge hub, the quality of information products developed, the various pathways used, as well as governance and management, etc. It will also assess changes in stakeholder skills, knowledge and attitudes. 13. This indicator will continue to measure the rate at which the fundamental sections of the Constitution are respected and complied with. 14. This indicator will measure the rate at which ASARECA receives new funds from the various development partners, either through MDTF or any other sources. 15. As a measure of gender mainstreaming processes, this indicator will assess the annual rate of compliance with the general gender policy and principles. This indicator will involve indexed measures for tracking. 16. Given that most of the targeted projects are of Category B, this indicator will track all the projects and ensure that all the potential environmental or social impacts are readily identified, and the mitigation and management measures identified, availed and handled. Focused environmental and social impact assessment (ESIA) will be conducted (alongside other targeted programmatic evaluations) to address specific issues. 80

105 Definitions for the terms 17. ASARECA Knowledge and Information Hub is expected to be an ensemble of knowledgeintensive institutions and organisations, public, private and inter-regional, involved to generate, store, transfer, apply and transmit knowledge through education and training with the overall objective of fostering economic and social development. This indicator will therefore help track the effectiveness of this hub in meeting the needs of the partners served, as well as assessing the levels of improved sharing of knowledge within and between like-minded organisations. 18. This indicator will track the level of adoption of the change management practices by ASARECA. Among the key parameters of assessment include: adherence to the vision for the change as well as changes in leadership, planning and organisation, consultation, communication, support characteristics of organisational members, nature of the changes, impact of the change on individuals, and attitudes towards the changes. 19. This intermediate indicator is aimed at tracking the effectiveness and advantages of the thematic approach to project implementation as opposed to the programmatic approach. Its contribution to enhancing rural livelihoods, sustainable NRM practices, strengthening of sustainable producer groups, farmer associations and rural youth groups will be assessed. 20. This indicator assesses the number of beneficiaries who already know about the available TIMPs, and who can physically get them (in terms of time and distance), and can afford and use them. 21. It is the same indicator with refinement of the wording to align with the indicator measured by ASARECA. It tracks the percentage change in adoption of new varieties, breeds, management practices, integrated NRM practices, and improved processing and handling methods by processors and other market intermediaries. 22. This indicator is introduced to enhance tracking of rate of uptake of already generated TIMPs. 23. This indicator assesses the number of beneficiaries who already know about the available TIMPs, and who can physically get them (in terms of time and distance), and can afford and use them. 24. In this indicator, incubation centres are typically designed to serve as an incubating base for TIMPs promotion, training base for persons with new, innovating skills, as well as experimental zones for new TIMPs. This indicator intends to measure the number of such incubators used to avail relevant TIMPs to targeted stakeholders. 25. This indicator looks at the number of agricultural enabling environment policy options including reforms, regulations and administrative procedures in the area of agricultural resources, food, market standards and regulations as well as public investment which are formally presented before legislators through meetings, workshops, seminars, conferences, fora, etc. 26. This indicator addresses the number of agricultural enabling environment policies, regulations and administrative procedures that were passed or approved by legislators. 27. This indicator tracks the number of persons benefiting from short- and long-term training courses (e.g. MSc, PhD, technicians, farmers and the private sector). 81

106 ASARECA Operational Plan The research infrastructure and equipment include physical facilities, such as laboratory equipment, computers and software, greenhouses, refurbishments, farm equipment and vehicles. It also includes tracking of the number, type and quality of needed equipment and technologies made available to support implementation of food security programmes. 29. This indicator tracks the different pathways used in disseminating the packaged information, and includes multimedia events, workshops, exchange visits, website hits, publications, etc.

107 11 Annexes Annex 1: Recommendations adopted by the 1st ASARECA General Assembly The following recommendations were adopted by the 1st ASARECA General Assembly. 1. Agricultural development challenges and opportunities ASARECA should: Work with national governments to increase investment in science, technology and innovation (STI), particularly advances in biotechnology and ICTs. Support mechanisms and approaches that encourage participation of targeted technology users in the development of new technologies for relevance and easy uptake. Strengthen the mechanisms for member countries to tap into existing opportunities (including technological options) to enhance regional agricultural production and productivity. Increase focus on scaling out of best practices informed by a dynamic inventory of proven technologies and innovations that will contribute to enhancing production, food security and adaptation to effects of climate change. In addition to increasing agricultural production and productivity, increase efforts towards regional market integration and trade, removal of non-tariff trade barriers, infrastructural development to enhance access to markets and trade within the countries. Increase efforts towards addressing food price volatility. 2. Climate change ASARECA should: Make climate change a focal and crosscutting issue in its programmes and projects. Support its member countries to generate reliable weather data through building the capacity at national and regional levels for dependable weather forecasts to aid decision-making and appropriate responses to climate change. Sensitise its membership and promote best practices that enhance production, food security and adaptation to effects of climate change. Play a key role in raising awareness on climate change to minimise post-harvest losses and 83

108 ASARECA Operational Plan address the issue of access to food. Post-harvest handling and storage (warehousing) should also be emphasised. 3. Policies and political commitment Policies and political commitment are the most critical success/failure factors for advancement and use of science, technology and innovation for agricultural development. ASARECA should: Strengthen its engagement and that of its stakeholders in policy advocacy and dialogue to solicit political will and development of supportive policies for agricultural development. Facilitate mechanisms for effective coordination of research, extension and training to effectively deliver services to a wide range of stakeholders in the agricultural sector. Lobby for government support to smallholder farmers to access inputs and credit services to invest in more productive technologies and practices. Strengthen its collaboration with regional economic communities (RECs) to influence political support to the Comprehensive Africa Agriculture Development Programme (CAADP) process. 4. Disconnect between national agricultural research institutes and the faculties of agricultural sciences To address the gap between agricultural research in the national agricultural research institutes (NARIs), and the various faculties of agricultural sciences in Eastern and Central Africa (ECA), ASARECA should: Initiate and strengthen national institutional frameworks that coordinate and consolidate agricultural research in NARIs and training in faculties and schools of agriculture and related institutions. Support universities to undertake reforms that make them more relevant to current and future needs. Champion the establishment of a new generation of agricultural universities that integrate agricultural research and university training. Such universities should be anchored in the ministries of agriculture but linked with other relevant sectoral ministries such as education, environment and roads. Influence and lobby for new policies that nurture universities that keep pace with change. Mobilise more resources and extend more funding to universities as a strategy to strengthen the relationship between the private sector and national research institutions. Support and foster collaborative research between universities and NARIs, and engage with the private sector to commercialise the research output. Increase representation of universities on the ASARECA Board based on the number of agricultural universities, the number of scientists and the diversity of disciplines. 5. Contribution towards CAADP 84

109 Annexes ASARECA should: Strengthen its collaboration with regional economic communities to garner political support for the CAADP process. Ensure that all stakeholders (NARIs, universities, extension organisations, non-governmental organisations (NGOs), the private sector and farmer organisations) fully participate in the CAADP process through increased support for their capacity building. Engage more with the private sector to develop the agricultural value chain. Provide directions and guidelines to advance science and technology, particularly biotechnology. Adopt English and French as official languages to enable the various stakeholders to interact and communicate more effectively. 6. Supporting farmers and their organisations ASARECA should assist farmer organisations: To build their capacity and that of their partners so as to engage in post-production activities in the value chain, such as value addition, marketing and enterprise development, and develop entrepreneurial skills such as record keeping, business planning, market intelligence, negotiation, and monitoring and evaluation (M&E). To establish strong governance and leadership structures that represent the needs and interests of members; manage their organisations in an efficient and accountable manner and solicit or access support services such as credit, advisory services and market information. To lobby, advocate and influence policies (such as land reforms) that favour investment in their development plans, including agricultural technologies. To create an innovative platform and network for information and knowledge management, including indigenous knowledge and information sharing to promote continuous learning and adaptation among the different stakeholders. Multiple approaches to the dissemination of information and technologies should be encouraged, including the use of electronic media such as radio, TV, mobile phones and the internet. To articulate and pursue their needs and priorities. To develop systems that guarantee access and utilisation of productivity-enhancing technologies such as improved seed and agro-inputs. 7. Strengthening extension ASARECA should: Commission studies to understand the underlying bottlenecks to technology adoption. Review and critique the extension approaches and their relevance in different contexts. Widen its scope of capacity building to include extension and contribute to building the capacity of pluralistic extension services delivery systems encompassing public, private and farmer-based extension. Support initiatives that foster partnerships and closer collaboration between research/ training and extension service providers, including farmer organisations, NGOs, private sector organisations and civil society. 8. Supporting non-governmental organisation 85

110 ASARECA Operational Plan ASARECA should: Encourage and support genuine NGOs that play a supportive role to functions of ASARECA and create platforms for their networking and partnerships with research/training institutes. Broaden its concept of NGOs to embrace civil society organisations to tap into the contribution of professional associations in agriculture-related disciplines. Enhance the participation of NGOs in programme priority setting. Nurture and enhance the capacity of NGOs to mobilise resources, including competing for agricultural research and development (ARD) funds, and create a window through which they can favourably compete for resources from ASARECA. 9. Supporting the private sector and their strategic partners ASARECA should empower the private sector by: Building its capacity to lobby and advocate for favourable policies, for example tax exemptions on agricultural goods and products, and increased access to finance for agriculture. Commissioning research into strategic entry points for greater interaction between the private sector and farmers that could trigger economic transformation within the agricultural subsector. Providing access to an inventory of available technologies and their suitability in the different areas within the region, production levels, potential markets, value addition and so forth. Facilitating an innovation systems approach to make value chains and agribusiness in the regional work, and support dialogue among the different actors. Supporting agribusiness incubation centres in research institutions so that the private sector and the farmers can learn about how the business works. Providing evidence-based recommendations that inform the policy formulation processes, with an emphasis on activities, processes and procedures that support commercialisation of agriculture, including financial services and risk aversion. 10. Dealing with emerging issues underlying food insecurity To coordinate agricultural research and development (R&D) efforts to deal with emerging issues underlying food insecurity, ASARECA should: Strengthen its efforts in engendering agricultural research and enhance equity to boost food production. Strengthen centres of excellence and build their capacity by recruiting outstanding scientists and developing infrastructure to produce or exploit appropriate technologies for diverse cultures. Support member countries to invest in rainwater harvesting, water harnessing and irrigation to boost agricultural productivity and enhance food security. Strengthen quality assurance in the entire agricultural research and production system. Zone the ECA region and implement mega projects in suitable agro-ecological zones for greater impact. 86

111 Annexes 11. Mainstreaming universities in the R&D system ASARECA should: Support a mapping exercise as a step towards building a database of experts within the ECA region and initiate ways of sharing that capacity within the individual countries and across the region. Establish and co-ordinate national platforms which bring together various faculties of agricultural sciences in the ECA region to foster and develop regional programmes on capacity building as well as R&D. Explore the possibility of using the institutional infrastructure which has been established in the ECA region to develop regional programmes on human resource (HR) capacity building and R&D efforts in agricultural sciences in the region. Tap into the existing regional and global networks that strengthen collaboration between universities and national research institutions, to strengthen human resource capacity development, institutional knowledge management and learning. Support universities to undertake reforms that make them more relevant to the current and future needs. Increase representation of universities on the ASARECA Board based on the number agricultureoriented universities, the number of scientists and the diversity of disciplines. 87

112 ASARECA Operational Plan Annex 2: Proposed ASARECA Knowledge and Information Hub Under the programme structure in OP1, ASARECA has continued to implement several projects. A lot of knowledge and information has been generated in the context of these projects. In addition, ASARECA projects have continued to generate data, information and new knowledge that guide the formulation of agriculture-related policies and strategies. The data, information and knowledge generated by ASARECA projects and activities during the OP1 period have continued to be captured, organised and packaged into targeted communication products. These communication products are designed to be responsive to the needs of specific stakeholders and include training resources, reports, technical and training manuals, research data, research papers, journal articles, policy briefs, books, pamphlets, brochures, position papers, newsletters and video documentaries. A database of technologies, innovations and management practices (TIMPs) which are available for dissemination to and uptake by farmers has also been developed. The TIMPs include technologies and innovations generated through The ASARECA research programmes, as well as those generated by partners in the ECA, especially NARIs and universities. A public website ( has been set up and is in use. This website functions as a tool for disseminating information to the public. ASARECA envisages that the above approaches will continue to be relevant during the OP2 implementation period. However, ASARECA also proposes to establish a knowledge and information hub (KI-hub). The KI-hub will be a focal point for the generation and exchange of knowledge, the development of new ideas and networking. It will also serve as a sub-regional focal point for data and information generated by ASARECA and other AR4D organisations both in the ECA sub-region and beyond. ASARECA will implement several projects under each of the three thematic areas. A lot of knowledge and information will be generated by these projects as they engage in research, generating, promoting and scaling-up of TIMPs. In addition, ASARECA projects will generate data, information and new knowledge that will continue to guide the formulation of agriculture-related policies and strategies in the sub-region. The ASARECA KI-hub will put in place organised systems (structures, strategies, policies and guidelines) that support generation, documentation, sharing, advocacy and promotion of quality information and knowledge generated within and as a result of ASARECA projects, present and past. In addition, ASARECA will establish itself as a central clearing house for data, information and technology generated by other AR4D organisations within the ECA sub-region related to the three thematic areas. This will be done through a series of negotiations and formal agreements with various AR4D organisations. The ASARECA Intellectual Property Rights (IPR) policy will guide in implementing this role. The proposed ASARECA KI-Hub will achieve four mutually reinforcing outputs (see scheme below): Learning and innovation centre for agricultural research for development (AR4D) AR4D think tank Platforms for information exchange Technology and information clearing house 88

113 Annexes Mutually reinforcing outputs for ASARECA KI-Hub KI-Hub output 1: Learning and innovation centre for agricultural research for development (AR4D) To achieve this output, ASARECA aims at developing and spreading practical knowledge and information, promoting learning and innovations in AR4D that will assist in transforming agriculture into a viable market-oriented venture. The focus will be on sharing of information and knowledge on policies and TIMPs that are relevant to commercialisation and agro-enterprise, and on information on marketing forces and requirements such as quality, quantity, price and enabling policy environments. This knowledge and information will come from past and ongoing ASARECA initiatives in research, generation and scaling-up of TIMPs, and its experience with agricultural innovation systems, gender mainstreaming, and agricultural policies and standards. It will also draw from work conducted by other organisations such as RECs, CGIAR, NARIs, international development organisations, the private sector and NGOs. ASARECA projects conduct action research whereby stakeholders (e.g. farmers, extension and local leaders) are involved throughout the project life cycle from problem identification, planning, implementation to monitoring and evaluation. Mechanisms that support learning from action research will be enforced as part of the KI-hub. ASARECA projects will promote TIMPs through innovative platforms for technology adoption (IPTAs) with the aim of addressing loopholes in the existing agricultural value chains and strengthening market linkages and innovations. Emphasis will be on strategic partnerships for scaling up of TIMPs through commercialisation, agro-enterprises and support to business incubation centres. ASARECA will endeavour to influence as many small-scale farmers as possible by working through national and regional strategic partnerships with the private sector, farmer organisations, national agricultural advisory and extension, research and academic institutions, relevant government institutions, NGOs, the CGIAR, RECs and the media. These strategic partnerships will be used to catalyse social or collective learning and innovation that takes 89

114 ASARECA Operational Plan place in the innovation platforms, farmer field schools, communities of practice and engagement with the media. Participatory learning, action research, on-field peer-to-peer learning, farmer-tofarmer learning, field visits, study tours, edutainment programmes, media talk shows, trade shows, mentoring, coaching, sensitisation and experience-sharing events are among the methods that will be used to facilitate social learning. Through its projects, ASARECA will carry out formal stakeholder capacity development events such as training workshops, farmer field schools and demonstration sites. It will ensure that related training resources are documented and made accessible through the KI-hub. Monitoring and evaluation at ASARECA will reinforce learning by generating practical lessons from action research, capacity development and the scaling-up of TIMPs and methodologies and best practices. It will conduct process monitoring and evaluation in order to generate and document lessons, case studies, baseline surveys, surveillance studies and success stories. These targeted evaluations will be contracted or commissioned by ASARECA. The new ideas, data, information and knowledge gathered under this output will feed into the AR4D think tank output. It will also be fed into the information exchange platform output. KI-Hub output 2: AR4D think tank The KI-hub will facilitate ASARECA to play its role as a regional AR4D think tank. The AR4D think tank will aim at advising and influencing agriculture-related decisions, strategies and policies at national, regional and global levels. The think tank will be constituted by ASARECA around issues arising from ASARECA research projects, initiatives and other issues of concern. The maize lethal necrotic disease is an example of a prevailing issue of concern in the ECA sub-region. Through the ASARECA research projects, the AR4D think tank will collect, corroborate, analyse, synthesise, produce and document relevant data and information that supports discourse and advocacy for agriculture and related trade strategies and policy issues. Recommendations from the AR4D think tank will be documented, published and brought to the attention of persons (individuals, organisations, governments) that need to take action. The ASARECA think tank will seek to collaborate with the regional economic communities (EAC, COMESA, IGAD, SADC, AU) and other regional bodies (FARA, SROs, AFAAS, EAFF, PAFF, private sector, NGOs). The recommendations resulting from this output will feed into the AR4D think tank output. It will also be fed into the information exchange platform output. KI-Hub output 3: Platforms for information exchange Through its projects and other activities, ASARECA generates data, knowledge and information that is important to a wide range of AR4D stakeholders across all the ASARECA member states and beyond. The ASARECA KI-hub will establish robust platforms for information exchange that enable access to ASARECA data, information and knowledge. These platforms will be designed to provide socially and environmentally friendly solutions that facilitate effective processing, storage and retrieval, promotion and sharing of data, information and knowledge with ASARECA stakeholders. It will support effective feedback and demand articulation mechanisms. Key elements of the platforms will be targeted communication products; a one-stop web-based portal; an information resource centre; gender-responsive feedback and demand articulation mechanisms; and capacity development. The data, information and knowledge generated by ASARECA projects, activities and initiatives will be captured, organised and packaged into targeted communication products. Targeted communication products are responsive to the needs of specific stakeholders and include training resources, reports, technical and training manuals, geospatial data, research data, research papers, journal articles, policy briefs, books, pamphlets, brochures, position papers, newsletters and video documentaries. Several targeted communication products will result from the AR4D think 90

115 Annexes tank and learning and innovation centre for AR4D activities. The one-stop web-based portal will be the major channel of access to the ASARECA communication products. The web-based portal will host several e-platforms including databases (TIMPs inventory), e-repositories, mobile platforms, geospatial data and collaboration tools. The web-based portal will be supported by a user-friendly, cutting edge ICT environment. The information resource centre will be set up to provide access to hard-copy communication products including publications, CD-ROMs and DVDs. The resource centre will serve the needs of stakeholders with poor access to the internet. It will also physically post materials to other AR4D libraries. The KI-hub will institute gender responsive mechanisms for feedback and demand articulation from different categories of stakeholders paying attention to women and youth. These will entail both electronic and face-to-face interaction. Electronic mechanisms will comprise social media (facebook, twitter, YouTube) targeting the youth and face-toface mechanisms (conferences, meetings, workshops, seminars, agricultural trade shows and mass media) will ensure equal participation by women. Capacity development entails training as well as set-up and maintenance of the infrastructure that supports the information exchange platforms. KI-Hub output 4: Technology and information clearing house The ASARECA KI-hub will serve as the clearing house for AR4D technology and information from the ECA sub-region. It will be a central place for coordination, collection, maintenance and access to AR4D data and information, including an inventory of TIMPs, produced from the work of other AR4D organisations within the ECA and beyond. These AR4D organisations include NARES, CGIAR-CRPs and development partners. Through negotiations, ASARECA will seek to partner with AR4D organisations for sub-regional sharing and access to their information. ASARECA will enter into formal agreements (Memoranda of Understanding, contract agreements) with the AR4D organisations for coordination of the sub-regional information resources through the KI-technology and clearing house. Through the KI-technology and clearing house, ASARECA will collect, collate and avail relevant data and information for AR4D in the ECA. It will ensure that data and information is sieved through credible quality assurance systems and that appropriate IPR regimes are adhered to. In addition to the inventory of ECA TIMPs, GIS maps will be availed through the clearing house. These will be useful for mapping of ongoing project locations in the ECA region to ensure complementarity and eliminate duplication. The clearing house will also link with existing online knowledge bases (NARES, CGIAR centres, SROs and development partners) The purpose of the KI-hub will be to enhance access to and utilisation of agricultural knowledge and information within and beyond the ECA sub-region. This will tracked through the following indicators: The number of stakeholders benefiting from the activities of the hub in terms of access to information and knowledge, as well as networking and learning. Level of effectiveness and efficiency of knowledge accessibility and transfers. Level of stakeholder satisfaction with the hub, including its functionality and service provision. 91

116 ASARECA Operational Plan Annex 3: Preconditions for implementation of OP2 ASARECA institutional development strengthened and gender responsive structure and organisation Activity Area Milestones Means of Verification Assumptions 1. Change management activities 1.1 Development and implementation of change management strategy a) Sensitisation of stakeholders b) Support to new structures including training c) Development of consensus 2. Gender mainstreaming activities 2.1. Implementation of gender mainstreaming (GM) strategy 2.2. Strengthening capacity of ASARECA staff and partners in GM a) Strengthening NARS capacity in engendering research projects b) Cogenerate tools for collecting gender disaggregated data 2.3. Operationalise the ASARECA GM policy 2.4. Communication and advocacy a) Establish a regional consultative gender mainstreaming platform for networking and fostering learning and innovation b) Provide gender-related information on the ASARECA website for knowledge sharing 2.5. Support to M&E systems to ensure gender responsive planning and reporting 3. Monitoring, Evaluation and Learning 3.1. Launching ASARECA Planning, Monitoring, Evaluation, Learning and Reporting (PMERL) system 3.2. Setting of measurable targets with stakeholders 3.3. Development of relevant M&E tools, e.g. for data collection, collation, analysis, reporting, etc Development of relevant M&E frameworks for themes, programmes and projects (e.g. performance monitoring plans; baseline study guidelines) Terms and conditions of change management harmonised Consensus on changes developed and implementation initiated GM strategy implemented in ECA 100% ASARECA Secretariat staff trained in GM 500 partners strengthened in GM At least 10 gender training manuals developed ASARECA formats, guidelines and frameworks engendered Gender compliant checklist developed GM policy developed and operationalised Regional gender consultative platform established Bi-annual information submitted to ASARECA website PMERL launched Measurable targets set based on KPIs Quarterly reports based on ASARECA guidelines and PMERL system Baseline surveys done for all projects, programmes and themes ASARECA periodic reports ASARECA impact evaluation reports External evaluation and impact assessment ASARECA periodic reports ASARECA impact evaluation reports External evaluation and impact assessment Government statistics FARA reports CGIAR reports and impact assessment reports World Bank and other development partner reports ASARECA periodic reports ASARECA impact evaluation reports COMESA, RECs (ECCAS, EAC, IGAAD, etc.) reports External evaluation and impact assessment FAO statistics (e.g. forest assessment reports) Change management is deliberately mainstreamed in all activities Gender mainstreaming is institutionalised PMERL system fully utilised in all themes, programmes and project activities 92

117 Annexes Activity Area Milestones Means of Verification Assumptions 3.5. Development of key performance indicators 3.6. Conducting and backstopping baseline studies 3.7. Strengthening of NARS capacity in M&E approaches and methodologies 3.8. Tracking of themes, programme and project progress, including crosscutting issues (e.g. gender, ESS, change management, procurement) 3.9. Data quality assessment, validation and quality assurance Coordinate impact assessments, process monitoring and evaluations, economic and financial analyses, and other relevant studies (e.g. adoption studies, etc.) 4. Environment and social safeguard 4.1. Development of Environment and Social Management Policy (ESMP) 4.2. Strengthening existing technical and institutional capacity for environmental and social assessments 4.3. Preparation of environmental and social management instruments for approved projects Implementation of ESS instruments and reporting on outputs on a regular basis 4.5. Training of programme managers, principal investigators and sub-grantees in ESS 4.6. Work with Partnerships and Capacity Development Unit to identify, establish and manage key partnerships At least 1,225 targeted stakeholders trained in M&E Bi-annual data quality assessments done At least five targeted studies, reviews and evaluations conducted ESMP in place At least 750 persons trained in ESS At least 80% of category B projects compliant on ESS Government statistics ReSAKSS and FARA reports CGIAR reports and impact assessment reports World Bank and other development partner reports Policy document ESS reports Project reports ESS completely mainstreamed into all ASARECA projects 93

118 ASARECA Operational Plan Annex 4: Programme and unit achievements and priorities 1. Staple Crops Programme The staple crops are among the most important commodities for the people of Eastern and Central Africa (ECA). The crops contribute to the socio-economic well-being of the people in the ECA region through provision of food, raw materials for local industries (agro-processing), poverty alleviation, improved nutrition, natural resource management and employment. These crops have been prioritised as the most important commodities to be addressed if the ECA countries are to meet the MDG goals of halving poverty by 2015 for propelling agro-industries and hence revolutionising the industrial sector in the region. The priority crops addressed during OP1 are banana, cassava, maize, wheat, sorghum, millet, rice, potato and sweet potato. Documented output since 2008 The staple crops programme has implemented 17 projects since 2008 and the focus has been on (a) developing packages for integrated crop management (b) developing management options for integrated pest and disease management (c) integrated management for maize and sorghum to mitigate the effects of drought and (d) product diversification, value addition and development of agro-enterprises for strategic staple crops. To this end, a total of 38 technologies and innovations have been generated and 40 are in uptake pathways. A total of 5,738 stakeholders have had their capacity built in various skills and at least 73 information packages have been produced. Current priorities 1. Enhancing regional competitiveness and value chains of strategic staple crops in ECA. 2. Strategic capacity building to enhance research in innovation systems for selected staple crops. 3. Enhancing viable and sustainable seed systems for staple crops. 4. Integrated management of bacterial wilt to enhance productivity and utilisation of banana in ECA. 5. Integrated management of cassava brown streak disease to enhance productivity and utilisation. 6. Integration and validation of staple crops management practices to mitigate the effects of drought. Research areas being completed and those continuing At the end of OP1, the programme will be implementing seven projects. The projects are (1) Sustainable intensification of sorghum-legume system to improve livelihood and adaptation to climate change in ECA; (2) Pearl millet innovations for improved livelihoods in drought-prone areas of ECA; (3) Upscaling integrated technologies for quality potato seed; (4) Management of BBW; (5) Upscaling highland maize in Ethiopia; (6) Validation of highland maize in Kenya and Uganda, and (7) Validation of banana beverages. The current projects have been designed to end in December 2013 since the funding period ends in However, these are upscaling projects which will need continuation in OP2 if they are to achieve the desired outcomes. The projects for validation under the current funding phase will be completed and will be redesigned as upscaling projects in OP2. 94

119 Annexes Outline of programme priorities for OP2 All the projects that were implementing development of innovations and technologies were successful. They were either integrated crop management, integrated pest and disease management or integrated soil and water management for mitigating the effects of drought. As mentioned above, 38 packages were generated and 40 entered the uptake pathway. Capacity building for stakeholders went on successfully. The stakeholders were enthusiastic to learn, especially when the technologies and innovations resulted in increased productivity and income. What did not work well was that these projects were of very short duration. They ended before the beneficiaries could realise the real benefits from the implementation. Regarding the product diversification and value addition, a period of incubation to allow the products to make it into the market should have been allocated. Lessons learned from the process 1. The stakeholders were enthusiastic to learn, especially when the technologies and innovations resulted in increased productivity and income. 2. For the projects to benefit the stakeholders, they should be designed to last at least 4 5 years rather than the usual 1 3 years which is very short. 3. Projects designed to address the value chain, involving a wide range of stakeholders, are more likely to be adopted. 4. Partnerships between different stakeholders are key to successful implementation of any project. 5. Product diversification and value addition are more likely to benefit the stakeholders if business incubation is incorporated in the process (at different levels). None of the priorities will be dropped in OP2. There will, however, be need to rationalise and refocus the initiatives. For example, the priority on cassava brown streak will require that more focus be placed on the cassava centre of excellence. ASARECA will have a coordination role but also ensuring that the non-eaapp countries participate. Greater integration with other programmes in implementation of the priorities will also be necessary. Key priorities for OP2 1. Enhancing regional competitiveness, value addition, processing, value chains and commercialisation of strategic staple crops. This area is critical if the farmer is to be successfully transformed to produce for the market. This area was not addressed in OP1. There is need to link producers to processors and markets. 2. Effects of climate change on strategic staple crops production. This area is of concern given the current fluctuations in climate. There is need to develop innovations to address and mitigate the effects of climate change. 3. Management of emerging diseases and pests for different strategic staple crops, for example, maize lethal necrosis disease (MLND). This will also include surveillance for effective monitoring of the diseases in the region. It is very important to ensure that in addition to other constraints, crops are not damaged by pests and diseases. 4. Integration of staple crops with natural resource management (water/soil) for improved productivity. Soil fertility and water management are critical for crop productivity and should be addressed. 5. Enhancing viable and sustainable seed systems. There is need to develop innovative ways for addressing seed systems, especially for vegetatively propagated staple crops. In OP1, this was 95

120 ASARECA Operational Plan only addressed for potato and even for this particular commodity, there is need to scale out what was done. New research areas 1. Integration of staple crops with natural resource management for improved productivity. 2. Effect of climate change on all strategic staple crops (cassava, maize, Irish potato, sweet potato, banana, sorghum, millet and wheat). 3. Surveillance for effective monitoring of new diseases and pests in the region. Timely response will help reduce the damage these new diseases and pests may cause. 4. Enhancing innovative partnerships that can result in change and commercialisation of products is important and needs to be encouraged for staple crops in OP2. Inter-programme collaboration is important to the programme to ensure a well integrated value chain and innovation system approach. For example the two projects currently being implemented by the programme include crop (sorghum/pearl millet/legume) livestock integration. Such a project requires integration of the staples/hvns/lfp/nrm/kmus/icu programmes to complement it. The crosscutting issues such as gender and capacity building should be inbuilt into all projects or activities. 2. High Value Non-Staple Crops Programme (HVNSC) The programme was established against a background of limited relevant research on its nonstaple crops such as pulses, tea, coffee, oil crops, fruits and vegetables, which play a significant role in human nutrition and health in the sub-region. Many are also important cash-crops for local and export markets, contributing significantly to the economic empowerment of the community and socio-economic development. Among the pulses, snow-peas and snap-beans are continually fetching premium prices in local high-end markets and in Europe. Processed and packaged oil crops increase in economic value several times over. The programme has implemented three projects under OP1 with a focus on: Breeding varieties for higher yields, pests and disease resistance, efficiency in input use and to meet international quality standards. Enhanced utilisation of various crops at farm level and technology development to minimise post-harvest losses. Improving access and use of agricultural knowledge, technologies and market systems. Improving the policy environment for better livelihoods of farmers. Seed production, processing, marketing and distribution. These projects have produced several useful products and technologies Kimenye L, Odeke M and Nampala MP Inventory and synthesis of technologies and innovations generated from ASARECA supported projects 96

121 Annexes Current priorities are: 1. Enhancing sustainable production, productivity and quality of high value non-staple crops (HVNSC). 2. Generating and developing adaptation and mitigation strategies for effective response to climate change. 3. Boosting accessibility and competitiveness of high value non-staple crops in the domestic, regional and global markets. 4. Developing and maintaining a sustainable financial base. 5. Improving information and knowledge sharing on high value non-staple crops. 6. Influencing policy makers to support high value non-staple crops. 7. Enhancing sustainable utilisation of high value non-staple crops for improved nutrition and health. Current research areas and activities At the end of OP1, the programme will be implementing three projects. The ongoing projects cover: (1) The use of bean innovations for food security and improved livelihoods in eastern and central Africa; (2) Upscaling innovations for fruits and vegetables and; (3) Validation of snap-bean lines in Kenya and Uganda. The projects for validation under the current funding phase will be completed and will be redesigned as upscaling projects in OP2. Lessons learned from the process The following lessons were learned from the implementation process during OP1. Projects that included an international agricultural research centre as a partner succeeded because of technical support provided by the IARC; however, these projects were of very short duration and ended before beneficiaries could realise the real benefits from the implementation. 1. Staff had insufficient skills to implement projects and capacity building is needed. 2. Facilities/infrastructure in the sub-region are not appropriate for the cutting edge research demands of the programme s work. 3. Francophone and Arabic speaking partners had problems communicating in English, restricting their effective participation in project concept writing and implementation. 4. The socio-economic and cultural state of some countries requires careful and sensitive planning of projects. 5. Partners perceive information differently and this results in different interpretations of the performance reports. It is important to discuss reports with partners during monitoring visits so as to sort out inconsistencies. The programme s priorities remain the same for OP2 though greater integration with other programmes will be sought in implementation of OP2. Priorities for OP2 1. Enhancing sub-regional competitiveness, value addition, processing, value chains and commercialisation of strategic high value non-staple crops for the market. This area was not addressed in OP1. There is need to link producers to processors and markets. 97

122 ASARECA Operational Plan Effects of climate change on strategic high value non-staple crops production. 3. Management of emerging diseases and pests for different strategic high value non-staple crops, including monitoring of diseases. 4. Integration of high value non-staple crops with natural resource management (water/soil) for improved productivity. Soil fertility and water management are critical for crop productivity. 5. Uptake and upscaling research to generate best practices. Enhancing innovative partnerships that can result in change and commercialisation of products. 3. Livestock and Fisheries Programme (LFP) Livestock and fisheries products contribute a large share of the regional agricultural gross domestic product. Milk alone is ranked as a number one commodity in the ASARECA strategy. For this sector to keep pace with demand, it is imperative that animal and fisheries production is enhanced. From 2009, the LFP generated and promoted a number of technologies or innovations to increase the overall productivity. These comprised of integrated crop-livestock systems including feeding packaging and feed conservation innovations; establishment of a regional feed database and feed tables; characterisation of selected indigenous cattle and small ruminants breeds; prevention and control of tick and tick-borne diseases; strengthening the regional capacity for forage seed supply; developing mechanisms for crisis management in pastoral systems and refining innovations to exploit market opportunities for value added meat and milk products. Current LFP priorities Current priorities include four themes: (1) Improving livestock and fisheries productivity; (2) Improving access to markets; (3) Improving value addition in input and output marketing chain; and (4) Improving sustainable interaction between livestock, fisheries and the environment. Sub-themes identified include 13 crosscutting sub-themes for livestock and fisheries and one sub-theme specific to fisheries. Research areas completed and areas to be continued During OP1, LFP spearheaded implementation of 13 projects, 12 of them addressing the livestock component sector and only one project for fisheries. Ten of the implemented projects closed by 31 December Current project areas include improving the productivity and competitiveness of aquaculture systems; integrated productivity enhancing technologies to increase the productivity of smallholder dairy farms and upscaling technologies and innovations for crop-livestock integration and system adaptation to climate change. Under OP2, the upscaling of productivity-enhancing technologies and innovations to enhance resilience to climate change will continue in addition to the generation, validation and upscaling of technologies for enhancing productivity and competitiveness of aquaculture systems. Programme priorities for OP2 During OP1, the recommendation to reactivate projects inherited from the EU funding support to ASARECA through the networks resulted in a research portfolio exclusively focusing on the livestock sector. Inadequate funding to start new projects hampered the implementation of the priorities as defined by stakeholders in The fisheries component of the programme was therefore largely 98

123 Annexes untouched. Moreover, inherited projects also mainly focused on livestock productivity with very little activities on the other components of the value chains, particularly marketing and value addition. During OP2, the priorities for investment could therefore be as follows: Enhancing productivity of inland and marine fisheries Major focus should be on establishing and implementing the right institutional arrangements, policies and regulations to counter the continuing decline in fish catches by taming overfishing and utilisation of destructive fishing gear. Enhancing conservation and utilisation of genetic resources The priority interventions under OP2 will focus on facilitating processes that establish synergies among national breeding programmes including information and germplasm exchange and promoting appropriate breeding policies that favour public-private partnership and participation of farmers in animal genetic resources (AnGR) improvement programmes. Enhancing regional capacity for surveillance and control of major livestock diseases Major interventions will focus on development and utilisation of appropriate diagnostic and early warning tools for surveillance and control of major livestock diseases and pests; development of cost effective disease control packages and delivery systems; promoting appropriate policies to minimise the cost of drug and disease control packages; and enhancing regional capacity for prevention and control of emerging epizootic diseases and pests. Improving market access of livestock and fish products The programme should invest more significantly in research to generate innovations to enhance market access for livestock and fish products. It is therefore suggested that investment be made to address the following priority areas: (1) market analyses to inform policy and investment options; (2) support the development and harmonisation of standards and regulations in ECA that affect market access; and (3) improving the utilisation of innovations to enhance market opportunities. Development of innovative technologies for value addition Activities should focus on developing innovative technologies for value addition. In the livestock sector, the programme should identify or develop and upscale appropriate processing technologies for small-scale producers and processors of livestock products and enhanced utilisation of technologies to reduce post-harvest losses. For the fisheries sector, activities should focus on inventorying, testing and validating technologies for small-scale post-harvest handling and value addition. The other area should be improving efficiency and value addition in the input and output markets through policy and institutional arrangements. This should be done through policy and institutional analysis to enhance value addition in the input/ output market chains and build the capacity for continuous assessment of market requirements of value addition innovations to enhance market opportunities. Development of strategies for adaptation to climate change Developing strategies for adaptation to climate variability and change for both livestock and fisheries sectors, developing regional ability for climate forecasting and interpretation of changes for use by farmers and other stakeholder for crisis mitigation; enhancing the use of new and indigenous knowledge for predicting climate change and variability and strengthening coping strategies to buffer poor farmers from climate-induced shocks; developing sustainable crop livestock fisheries environment interactions for improved systems productivity. 99

124 ASARECA Operational Plan Agro-biodiversity and Biotechnology Programme (AGROBIO) The Agro-biodiversity and Biotechnology Programme (AGROBIO) was created to tap the immense potential of the regional agro-biodiversity and genetic resources using biotechnology as a preferred tool of innovation for food and feed purposes. In addition, there was a felt need for the use of biotechnology tools to facilitate characterisation and evaluation of the same genetic resources whose potential for use in pharmaceuticals, industrial uses and other bio-resources is largely unknown. Accordingly, AGROBIO through a consultative process identified five priority areas: (1) Technology development, transfer and commercialisation; (2) Biotechnology infrastructure and human capacity mobilisation; (3) Agro-biodiversity conservation, utilisation and development; (4) Bio-policy development and harmonisation; and (5) Biotechnology communication and outreach. Research areas being completed Currently, AGROBIO is implementing six projects to the end of 2013 under the current OP. These are: (1) Evaluation of Striga resistant and drought tolerant farmer preferred sorghum varieties; (2) Developing community-based low-cost tissue culture innovations for improved food security and livelihoods; (3) Validation of Taenia solium cysticercosis (Tsol) diagnostic kit; (4) Validation of Tsol 18 vaccine for control of pig tapeworm in ECA; (5) Improving livestock productivity through enhanced breeding programmes applications in goat genomics; and (6) Genetic engineering of maize for drought tolerance in ECA. Outline of programme priorities Since 2008 the following issues worked well under AGROBIO: (1) Stakeholder priority dialogues for priority setting; (2) Engaging universities in research projects; (3) Working with private sector and NGOs; (4) Bringing scientists together to address regional research issues; and (5) creation of public private sector platforms for information sharing of research issues. Thus, since 2008 several documented outputs have been achieved through research efforts mounted with our regional partners comprising of the NARIs, CGIAR centres, private sector, universities, NGOs and farmers. These include: 1. Genetic engineering of maize for drought tolerance 2. Enhancement of plant tissue culture applications on banana, cassava and sweet potato, and transfer of banana tissue culture to farmers fields 3. Conservation and sustainable utilisation of cassava and sweet potato genetic resources through the application biotechnology 4. Establishment of a virus indexing system and certification scheme for tissue culture materials in Eastern and Central Africa region 5. Development of Striga resistant sorghum varieties for enhanced sorghum productivity 6. Development of a pen-side diagnostic kit for detection of Taenia solium parasite in pigs 7. Trials with Taenia solium vaccine for controlling pig tapeworm 8. Development of a genetic linkage mapping of field resistance to cassava brown streak disease (CBSD) 100

125 Annexes Lessons learned from the process The following lessons were learned: (1) Project duration of three years is grossly inadequate to bring commissioned projects to a logical conclusion and consequently there is need to develop projects that last at least 4 5 years; (2) There is generally a tendency for sub-grantees to work in isolation, calling for the need to promote sharing of information from different countries as projects progress, and (3) To ensure compliance with financial accountability by sub-grantees, there is need for more capacity building at sub-grantee level. Priorities to be dropped in OP2 Two priorities will be dropped because these have been overtaken by events and besides, there is a lot of information available now than was the case some five years ago. These priorities include: (1) Developing global access mechanisms for proprietary and non-proprietary novel and applied biotechnologies and agro-biodiversity resources for the ASARECA region, and (2) Further regional and global assessment, validation, selection and documentation of applied biotechnologies and agro-biodiversity resources. Key priorities for OP2 Continue developing pilot novel biotechnology and business incubation models and biotech business development training modules for the ASARECA region. There is urgent need for more biotechnology incubation projects especially with respect to the establishment of low-cost community-based tissue culture innovation platforms involving farming communities operating their own low-cost tissue culture facilities to micropropagate clean planting materials for their use. Further work and speeding up staple cereals breeding for resilience to drought and biotic stresses including diseases using molecular marker-assisted selection. There is need for a second phase of the project to advance the genetically engineered drought-tolerant transgenic maize for confined and open field trials and commercial release (GEMADOT Phase II Project) in the ECA. The efforts to breed climate-smart cereals, especially sorghum using MAS, have yielded positive results and will also continue. Sequencing and searching for novel genes for adaptability to climate change will also be continued. Enhancing conservation and utilisation of underutilised plant species in ECA. Agricultural transformation in the region will depend to a large extent on innovativeness in agricultural research and development driven by creating alternatives such as targeting special market opportunities (niches) or creating new ones for underutilised plant species. Market niches will entail new species, product diversification, value addition, and environmentally sound products and practices offered by underutilised plant species. Scaling up of agro-diversity community conservancy innovations in the savannah regions of the ECA. This innovation aims at building on work that was initiated in establishing a conservancy model based on ecotourism principles where profitable livestock production is innovatively integrated with wildlife conservation and ecotourism to create sustainable social and economic benefits to the landowning community, most of whom currently live below the poverty line. Scaling up gene bank operations involving cryopreservation and molecular characterisation of collected accessions in the gene banks of the ECA. The previous project focused on long-term ex situ conservation and sustainable utilisation of cassava and sweet potato plant genetic resources 101

126 ASARECA Operational Plan of actual and potential value for the benefit of present and future generations. This project will continue conserving and characterising cassava and sweet potato germplasm for use to improve cassava for traits demanded by the market using conservation biotechnology. East and Central Africa Plant and Animal Genetic Resources Project. The goal of this project is to contribute to sustainable agricultural productivity and food security through conservation and sustainable use of PGRs in the ECA region. This work will build on the previous project Eastern African plant genetic resources network (EAPGREN). The main outputs from this project will be: (1) Development of an operational regional PGR network and well coordinated national PGR programmes; (2) Collection or conservation through ex situ and in situ methods done; (3) Development of appropriate conservation protocols and establishment of diversity and storage behaviour studies; (4) Accessing more germplasm for conservation and utilisation; (5) Development of a critical mass of trained personnel in the national programmes; (6) Development and use of a compatible regional information and documentation system; and (7) Increased level of awareness of PGR at policy and community levels. Improving livestock productivity through enhanced breeding programmes. applications in livestock genomics. Many biotechnological tools are now available for improving livestock production to supply human food in East and Central Africa. Some of these tools have already been tested and validated. The objectives of this work will be to (1) Develop livestock genome sequences as a research tool; (2) Develop tools to characterise breed structure and geographic distribution in livestock genome; (3) Develop genotype/phenotype programmes for selective breeding; (4) Identify teams and methods for implementing breeding; and (5) Develop a policy paper that will guide the planning and implementation of the objectives of this research group with partners. Inter-programme collaboration is important to the programme Biotechnology is fast becoming a necessary cutting edge application for value addition in virtually all ASARECA commodity programmes including policy and natural resource management areas. AGROBIO will therefore work with other programmes, particularly the staple crops, high value nonstaple crops, livestock and fisheries and natural resource management and biodiversity to add value to the initiatives being carried out by these programmes. The thematic approach will be used to develop joint initiatives. 5. Policy Analysis and Advocacy Programme (PAAP) The Policy Analysis and Advocacy Programme (PAAP) is the key agency for delivery of ASARECA Result 3 Policy options for enhancing the performance of the agricultural sector in the ECA subregion facilitated. The PAAP outcome is: Enhanced utilisation of appropriate policy options for sustainable agricultural growth in the ECA sub-region. PAAP supports adoption and utilisation of improved technologies and innovations through the provision of appropriate regulatory and incentive structures. This is done through analyses of the policy environment, facilitation of policy development and advocating for policy adoption by regional economic communities and national governments. Research areas being completed and those continuing Currently, PAAP is completing support towards approval of regional policies on biosafety, standards for cassava and potato products, development of by-laws for sustainable land management, and 102

127 Annexes harmonisation of standards and procedures for pasture seeds, animal feeds and animal breeding services. Achievements for OP1 Since 2008, PAAP has been working on four research themes: 1. Rationalisation and harmonisation of policies, laws and regulations in key agricultural commodity and input sectors in the ECA region. 2. Trends analysis. 3. Policy issues for natural resource management. 4. Options and opportunities for small-scale agricultural growth. Key achievements include gazetting by the East African Community of 24 standards for cassava and potato and their products, as well as for seed potato. Application of these standards in the five EAC partner states has the potential to spur commercialisation of the cassava and potato industries. The Kenya Seed Policy was launched, opening the way for a review of various seed industry regulations in the country. The Kenya dairy policy that recognises the role of the dominant informal dairy sector and supports active integration of the sector in the formal value chain was approved by cabinet. The Rwanda Dairy Board, an autonomous regulatory body for the dairy sector, was established. Two by-laws on sustainable land management in Ethiopia and Uganda were approved by local councils and are being implemented. The regional biosafety policies on handling of emergency food aid, and the planting and trade in genetically modified organisms (GMOs) were approved by the 5th Ministerial meeting of Ministers of Agriculture and Environment in September Seed laws were revised in Kenya and Ethiopia, Uganda.. The Plant Variety Protection Bill for Burundi was drafted, while quarantine pest lists for Burundi, Ethiopia, Kenya, Tanzania and Uganda, and a regional variety catalogue for Burundi, Ethiopia, Kenya, Sudan, South Sudan, Tanzania and Uganda were produced. Proposed options for policy reform for dry land areas include: review and consolidation of diverse sectoral policies (land, wildlife and livestock) with a bearing on pastoralism, biodiversity conservation and dry lands; and securing of pastoral mobility within and outside the borders. Development of standards through the EAC has worked well. Implementation of harmonised agreements on seed laws and regulations at country level was still slow. Approval of biosafety policies on GMOs was slowed down by the expansion of the Joint COMESA ministerial committee to include the ministries of environment and trade, which necessitated further dialogue. Lessons learned from the process Due to the uncertainty in timing of approval of policy agreements, projects should be at least three years long. There should be flexibility in budgeting to allow for quick follow-up for unanticipated opportunities. Key priorities for OP2 The following are identified as priority areas for OP2. 1. Capacity building in influencing policy process for enactment and implementation of laws and regulations. 103

128 ASARECA Operational Plan Advocacy for enactment of policy agreements, such as harmonised seed regulations and standards, regulations for animal feeds and artificial insemination at regional and national levels. 3. Adoption and utilisation of approved standards for roots and other crops and biosafety guidelines. 4. Addressing trade barriers to promote regional trade. 5. Value chain upgrading. 6. Guiding policy on emerging areas such as biofuel production in relation to food security and environmental concerns. Although not new, there will be emphasis on analysis of how to be more effective in policy processes through collaborative projects and enhanced communication. PAAP is already collaborating with other programmes in the new projects from development of concept notes to review of proposals and follow-up during implementation. These include sorghum and pearl millet, crop livestock intensification and aquaculture. Through the thematic approach, crosscutting issues will be addressed through joint projects and will involve collaboration right from the development of concept notes, proposals and implementation. 6. Natural Resource Management and Biodiversity Programme The sub-region has experienced declining per capita agricultural productivity over the last 20 years, soil fertility decline, watershed destruction, and reduced water balance within specific ecological zones and has hence become vulnerable to shocks associated with changing climatic conditions. The greatest challenge faced by the sub-region is identifying an adequate response to these challenges that have resulted in food insecurity. Consequently, the Natural Resource Management and Biodiversity Programme, using a consultative approach, identified strategic interventions to promote the use of appropriate technologies/ innovations in the management of the sub-region s natural capital. The key strategic interventions are: 1. Improved water productivity and management in agricultural systems 2. Enhancing sustainable management of forestry, agroforestry and biodiversity for improved livelihoods and environmental services 3. Managing the productive potential of soils 4. Institutions and governance for sustainable natural resource management 5. Managing fragile and dry-land ecosystems for sustainable livelihoods 6. Adapting to climate variability and mitigation of climate change. Achievements under OP1 Emerging results from the programme s investment since 2009 include: Soil fertility enhancement and upscaling approaches Climate variability adaptation approaches particularly at downscaled levels 104

129 Annexes Incentive mechanisms for promoting sustainable natural resource management models for estimating below and above ground carbon sequestration potentials for forest-based ecosystems Innovative approaches for estimating the value, compensation and attribution of environmental services Integrated water management technologies with gender considerations. Current priorities The current priorities are: 1. Integrated water resource management with emphasis on enhancing water productivity at farm and watershed levels 2. Linking farm level gains made on agricultural productivity to the market through the value chain 3. Promoting soil fertility and conservation enhancement approaches through the application of various concepts 4. Watershed management using innovative approaches including carbon markets and payment for environmental services schemes 5. Enhancing smallholders adaptive capacity under varying climatic conditions Research areas and activities completed Integrated management of water for food security and livelihoods under varying and changing climatic conditions. Key activities under this project include: 1. Developing and promoting gender responsive integrated water management options to improve water productivity and to cope with impacts of climate variability and change 2. Enhancing the capacity of stakeholders to develop and implement integrated water management options at farm and watershed scales 3. Piloting on IWM policy options and institutional arrangements to minimise smallholder farmer vulnerability to climate uncertainties 4. Strengthening of learning alliances and knowledge exchange systems for scaling up technologies and sharing information on improved water management Linking integrated soil fertility management to agricultural produce markets in Eastern and Central Africa sub-region. Key activities are: 1. Scaling out of promising integrated soil fertility management (ISFM) and value addition technologies and innovations. 2. Strengthening of institutional innovations including markets, credit access and policy for promoting ISFM and value addition along the value chain. 3. Building of capacities of value chain actors to implement ISFM and value addition technologies. 4. Documentation and dissemination of knowledge, information and lessons learned on ISFM and value addition/innovations. 105

130 ASARECA Operational Plan Enhancing adaptive capacity of smallholders through response farming. Key activities include: 1. Validation of response farming in Ethiopia and Tanzania 2. Promotion of response farming in Kenya 3. Establishment and promotion of response farming supporting institutions, particularly agroadvisory centres 4. Support capacity building of researchers and participating smallholders in the collection and interpretation of weather and climate-related data and information. All current priorities will be carried over to OP2 with emphasis on integration with other programmes through the themes. Programme lessons learned Over the last three years, the following are noted to have worked well: 1. Priority identification for the programme this was conducted through a regional consultative process and the priorities identified then are still key in addressing the competitiveness of the agricultural sector. 2. Establishment of partnerships across institutions and countries this has been established through the formation of innovation platforms, community of practices through which exchange of information, knowledge and experiences has been shared. 3. Capacity building based on the priority needs of the partners. Issues to be addressed under OP2 include: 1. Regionality this aspect has not been adequately understood by the ASARECA partners. 2. Integration of the projects across programmes and across countries. 3. Market orientation this is a key element in addressing rural poverty through agricultural innovation, but little seems to have been achieved. 4. Sustainability this is not clearly demonstrated in the just-concluded projects. 5. The need to enhance the level of understanding on key principles of regionality and a shift in the criteria for project selection to ensure that this attribute is taken into consideration. 6. The need to use a systems approach given that challenges facing farmers are not commodity based but rather based on the entire household needs. 7. More strategic efforts to foster closer collaboration at programme and unit levels in ASARECA through the themes. Key areas for inclusion in OP2 The following are considered to be the key priorities for OP2. 1. Integrated water resource management with emphasis on enhancing water productivity at farm and watershed levels micro-irrigation and water harvesting. 2. Linking farm-level gains made on agricultural productivity to the market through the value chain, including local cooperative societies. 106

131 Annexes 3. Promoting soil fertility and conservation enhancement approaches through the application of various concepts conservation agriculture, evergreen agriculture, and soil nutrient boosting techniques among others. 4. Watershed management using innovative approaches including carbon markets and payment for environmental service schemes. 5. Enhancing smallholders adaptive capacity under varying climatic conditions. 6. Mitigation of climate change. Finally, crosscutting issues, notably gender and capacity building, will be built into all projects or activities. 7. Knowledge Management and Upscaling (KMUS) Programme Knowledge management and upscaling (KMUS) is a crosscutting domain that requires the leveraging of numerous soft skills to achieve the anticipated level of effectiveness. It is crucial for the overall ASARECA mission and the envisaged agricultural transformation. The latter will depend on stakeholders adoption of productivity and livelihood enhancing technologies and knowledge. How to enhance this and achieve impact at scale is a key challenge for the national agricultural research and extension systems (NARES). The KMUS Programme has worked on direct promotion of technologies into uptake pathways and in generating approaches and methods for doing this. Over 35,000 stakeholders have accessed orange fleshed sweet potato and quality protein maize technologies in six countries. The programme has generated lessons on application of the innovation platforms and models for farm level seed enterprises for vegetatively propagated and self-pollinating crops. Its current priorities are: (1) development and promotion of approaches for scaling-up; (2) empowerment of farmer organisations; (3) scaling-up technologies and innovations in selected value chains; and (4) disseminating information on available technologies and innovations. Research areas being completed and continuing Currently, KMUS has six action research value chains scaling-up projects and one capacity development project. The scaling up projects are promoting selected technologies into uptake pathways and also generating best practices and lessons for dissemination. Three of these projects, called DONATA, will be completed while three, which started in 2012, will need to be continued for another year to achieve meaningful results. The capacity development project will be completed in KMUS is also collating and disseminating information on technologies. This will be carried over to OP2 for technologies from projects that end in Outline of programme priorities for OP2 What worked well and what did not The DONATA projects have successfully scaled-out technologies reaching more than 30,000 beneficiaries and contributed to food and nutrition security and incomes of many households. 38 Among the contributing factors is the use of the innovation platform approach with diverse partners 38 See various DONATA projects and ASARECA 2010, 2011 annual performance reports. 107

132 ASARECA Operational Plan including serious private sector engagement. The interventions focused on participatory identified challenges and opportunities along the commodity value chains and had inbuilt participatory action research and joint regional lesson sharing and learning. The nature of the technologies themselves 39 also contributed to the success of the initiatives. The fairly long project duration and adequate budget (over U$3.5m for 4.5 years) contributed to the success. The leadership provided by the relevant CGIAR centres was instrumental especially in the action research and collating lessons on the partnering processes. Engagement with private sector and excellent coordination and facilitation of the regional partnering and lesson learning arrangements provided by an international NGO in addition to the nature of the technology and crop also led to the success of the farmer-led seed enterprise project where in one model each farmer earned on average US$3,500 per year. The three models with illustrative case studies were documented. 40 None of the six priorities under the KMUS strategy should be dropped. Indeed, they should be implemented within this framework. They would be better delivered in an intra-programme implementation arrangement rather than stand-alone KMUS implemented value chain or capacity development activities Lessons learned Lessons learned include: (1) Demand-driven scaling-up is key for success; (2) Successful scaling up requires multiple stakeholders, especially involvement of extension agencies (public or private) and depending on the commodity, private sector engagement; (3) marketing technologies are crucial for the private sector for enhanced sustainability; and (4) For action research oriented projects aimed at generating lessons learned in methodology, leadership by organisations with resource pools of diverse skill sets such as international bodies (CGIAR, international research or NGOs) yield better results. Key priorities for OP2 The following are the key priorities for OP2: 1. Regional knowledge-sharing platforms including functional communities of practice. This priority was not addressed and is very important especially if ASARECA is to evolve into a knowledge hub (regional think tank). The demand side of research knowledge such as farmer organisations and extension in particular should be strengthened. An efficient information and knowledge-sharing system would contribute significantly to this. 2. Strengthening the demand side of agricultural research extension and farmer organisations through innovative partnering with AFAAS and EAFF. Other than the single farmer empowerment project, this priority has not been implemented much, yet it is one of the priorities that can support functions within CAADP Pillar IV. 3. Uptake and upscaling research to generate best practices, lessons and case studies on topical methodological issues on upscaling. 39 The orange fleshed sweet potato and quality protein maize production and value addition technologies generated high demand and it was easy to demonstrate economic, food and nutrition benefits to stakeholders. 40 Promoting farmer-led seed enterprises of African indigenous vegetables to boost household incomes and nutrition in Kenya and Tanzania - paper presented at ASARECA 1st General Assembly in December

133 Annexes New research areas 1. Systematic, well-structured research on extension system organisation, delivery, management and financing models or approaches is required. 2. Collective enterprise development as an approach for smallholder access to technology, services and functions such as assembly; storage; marketing and financing, including factoring arrangements and business development services in general. Importance of inter-programme collaboration Both knowledge management and upscaling thrusts of KMUS are best optimised through interprogramme/unit collaboration. The KMUS strategy identifies the programme as being 75% service entity, delivering such inputs as guidance, capacity building/coaching, best practices on upscaling methodological issues and related topical areas to ASARECA programmes, their projects and to the NARES. In addition, KMUS is also expected to obtain and make available to the stakeholders in ECA information and knowledge on available research products. These services are best realised through such collaborative team arrangements. Being a technical support entity delivering such inputs to programmes and the NARES could be more effective in OP2 than a programme implementing own stand-alone value chain projects. As part of a thematic team providing such inputs, it would also enhance the collation, documentation and dissemination of research and capacity development outputs from ASARECA work. Action research activities to generate lessons on methodology would be well anchored and delivered with this collaborative approach. Crosscutting issues At the project or research activity level, crosscutting areas such as gender mainstreaming, capacity development, information and communication and scaling are best addressed with the said interprogramme/unit collaboration. 8. Gender Mainstreaming Unit Within its overall vision for change, ASARECA has taken concrete steps to mainstream gender into its agriculture research agenda and institutional frameworks by developing a gender mainstreaming strategy for the period ASARECA embraced gender equality as a vital consideration in agricultural production. The Gender Mainstreaming Strategy marks the beginning of the systematic gender mainstreaming into ASARECA programmes, policies and activities. The principal purpose of gender mainstreaming (GM) in regional agricultural research ensures that gender responsiveness is achieved at the institutional level and in all stages of the project cycle. The ultimate goal is to ensure that women and men participate and benefit equally from research and development efforts in the agricultural sector and that inequality is not perpetuated. The current strategy focuses on two key priority areas: the first is developing institutional mechanisms for GM through a clear regional policy, establishment of a regional network of gender specialists to foster learning and innovation and entrenching systems for GM in the NARES in the region. The second priority integrating gender in ASARECA programmes and projects is being carried out through development of appropriate tools and capacity building. An elaborate training programme has been developed and over 600 scientists have been trained in gender mainstreaming in research. National action plans for at least six countries will be implemented in 2012/2013. A gender policy will also be developed. 109

134 ASARECA Operational Plan Research areas being completed and those continuing Outline of current activities: 1. Develop guidelines and backstop preparation of programme and project performance monitoring plans, concept notes, proposals and baseline instruments to assure gender responsiveness. 2. Operationalise the ASARECA gender strategy and develop regional policy. 3. Implement training programme on gender mainstreaming concepts, analysis and field application for ASARECA NARES scientists rolled out in seven ASARECA and SIMLESA project countries with the rest to follow. 4. Facilitate development of gender mainstreaming action plans for NARES in Burundi, DRC, Ethiopia, Kenya, Rwanda, Madagascar and Uganda, as well as the SIMLESA project. During OP1, recommendations from the gender audit resulted in the need for a GM mechanism and regional gender policy in the NARES and support to enhancing the capacity of NARES members in gender analysis approaches. During OP2, the priorities for investment will focus on facilitating and consolidating the processes that were established and to have gender mainstreaming permeate through all the processes of the institution as discussed below. Short-term plan The immediate activities and areas of focus for gender mainstreaming are as follows: 1. Implement the ASARECA gender policy and gender mainstreaming action plans. This is expected to entail a thorough gender audit and to inform the review of key governance and management structures including the ASARECA operational manual and establishment of a gender unit to ensure gender mainstreaming in research. 2. Engender all the ASARECA formats, guidelines, frameworks, and harmonise these with gender strategy and policy. 3. Support engendering of the research project cycle in ASARECA. 4. Establish a gender disaggregated database in programmes/units. 5. Establish a regional consultative gender mainstreaming platform for networking and fostering learning and innovation. 6. Implement country gender mainstreaming action plans. 7. Support M&E systems to ensure gender responsive planning and reporting. 8. Implement the trainer of trainers programme including finalising the training manuals and use of other options such as mentoring, research-based training, etc. 9. Engender ASARECA super goal and objectives. 10. Establish an internal forum to facilitate equal opportunity and well-being in the organisation. 11. Establish a comprehensive website for knowledge sharing. Long-term plan In the longer term, the Gender Mainstreaming Unit will: 1. Establish a gender disaggregated data resource centre in ASARECA and partner organisations for references. 110

135 Annexes 2. Continue with the ongoing capacity building for gender analysis initiatives. 3. Engender the ASARECA constitution. 4. Develop the approach to implementation to take advantage of advancements in gender mainstreaming. Lessons learned The training programme on gender mainstreaming has been rolled out to seven countries and gender action plans developed. However, limited human resources has been a key constraining factor. The key lessons learned are: 1. Successful gender mainstreaming requires buy-in from the highest policy organs in the country/ institution rather than being approached from the margins. 2. Involving key policy makers such as ministers of agriculture, research directors and centre managers in a one-day training programme has raised the profile of GM efforts including development of action plans. Forming a platform of trainers of trainers in GM at regional and in-country level is likely to yield faster gains. Key priorities for OP2 1. Establish a regional network of gender mainstreaming practitioners in agricultural research to foster a community of practice for learning, capacity building and innovation in this area. 2. Integrate gender mainstreaming indicators within the overall M&E system, institutional framework and research management guidelines and track and backstop their realisation. This should institutionalise the approach and provide a research input into understanding the higher level impacts of engendered research processes. As capacity is enhanced, the impact of gender mainstreaming efforts will need to be tracked and documented and particular effort placed on identifying new approaches to GM in agricultural research. Gender mainstreaming is a programme support function to assure efficient delivery of research and the key functions of capacity building, development of guidelines and review of the research process for gender responsiveness at programme and project level although the mode of delivery may evolve over time. Gender mainstreaming is an important crosscutting function central to good governance, and addressing gender inequalities will serve the purpose of engendering the regional agricultural research and development agenda. Therefore, conducting a gender audit will help determine how much support is still required at programme and institutional level with regard to gender mainstreaming and develop a clear plan of implementation to address any capacity gaps. 9. Capacity strengthening During OP2, ASARECA will step up capacity-building activities for NARES, by scaling-up and out the SCARDA approach which was quite successful during OP1. As in SCARDA, ASARECA will work in collaboration with RUFORUM and other organisations involved in capacity building for agricultural development as needs arise. 111

136 ASARECA Operational Plan A comprehensive needs assessment for capacity building for NARES is planned during the conclusion of OP1. Specific activities identified will be implemented under OP2. However, it is expected that the proposed initiatives will include but not be limited to the following areas of capacity building: Inculcating agricultural innovation and value chain development approaches in the businesses of the NARES: ASARECA recognises the need to exploit the creative capacities of all potential actors in development in order for agricultural research, extension and education to contribute to enhancing agricultural productivity in a sustainable way. More than ever before, there is need for a more interactive approach to development. The initiative for inculcating agricultural innovation and value chain development approaches in the NARES will ensure an understanding of the existing potential innovation processes and recognition of the potential to catalyse such processes. 2. Leadership and research management: This capacity building initiative was a key component of SCARDA. Senior researchers and administrative staff will be targeted and the aim is to improve on research as well as institutional management, through the development of leadership and management skills. The initiative seeks to develop the capacities of institutions within NARES to be more strategic in their agenda setting and more proactive in their programme implementation. The learning process is adaptive, and includes identification of key issues and challenges within the institutions and trying to address them using principles acquired during group learning sessions. Thus the aim is not only to ensure understanding of concepts but also the development of practical strategies and skills for addressing daily leadership and management challenges. 3. Other short skill enhancement courses: During the implementation of SCARDA, a number of skill gaps were identified among the young researchers trained under the programme, as well as their senior colleagues in the focal institutes. These common skill gap areas include proposal writing for resource mobilisation; technical writing/journal publishing; scientific data analysis and interpretation; formulating and writing policy briefs; performance management and M&E; and procurement and financial management. ASARECA will work with the target NARs to identify the most critical short courses and the staff who will need them most. 3. Institutional mentorship: Many of the institutions within the target NARES lack the full complement of staff needed to operate their programmes and deliver on their mandate. This invariably has an adverse effect on the quality of their outputs. In order to enhance the quality of the products and outcomes from the NARS, inter-institutional cooperation will be pursued as a cardinal objective under the institutional mentorship initiative. Thus the initiative will involve leveraging on the strengths of strong NARS to build the capacity the other NARS through a demand-driven and facilitated interactive process. 4. It is expected that in general under the institutional mentoring initiative, three- to six-month residential placement of senior researchers and scientists from the strong NARS (NARIs or universities) to the target NARS will be organised. Alternatively, staff from the target NARS will spend three to six months at identified strong institutions (NARIs, universities, CG centres, etc.). The process will be demand driven, with clear objectives and agreed deliverables. Infrastructure development This refers to support on equipment that would contribute directly to current ASARECA programmes in the NARES. The target institutions will identify, justify, prioritise and submit their needy areas of infrastructural support to ASARECA. This will then be followed by face-to-face discussion between the institutions and ASARECA. The exact nature of support will be determined in a participatory 112

137 Annexes manner, considering the resources available. Participating institutions will be expected to make their own contribution, including in-kind contribution, and will be expected to sustain the infrastructure beyond the ASARECA funding. Overview of partnerships ASARECA will continue to support implementation of CAADP and other similar initiatives by working with FARA and the regional economic communities (COMESA and ECA). The aim will be to ensure that the design and implementation of country and sub-regional CAADP investment programmes and other similar initiatives are relevant, effective and fully address the needs of the countries and the sub-region. With respect to supporting CAADP implementation, the aim will be to: (1) ensure that pillar four issues are well articulated in the CAADP processes and investment programmes; (2) ensure that expert information, knowledge and skills are effectively coordinated, managed and incorporated in supporting CAADP implementation at country and sub-regional levels; (3) link with and coordinate efforts with other regional and sub-regional bodies in implementing CAADP and other similar initiatives; and (4) work with ASARECA programme managers and heads of units to coordinate ASARECA inputs into the Africa-wide initiative. In addition to supporting implementation of the CAADP processes, ASARECA will ensure that sound partnerships are developed within the projects under our implementation and the NARES in implementing them. The aim will be to ensure strong, effective and efficient NARES that are able to successfully develop and manage successful partnerships and ARD in ECA. Systems, approaches, methods and databases will be put in place to enhance the efficiency and effectiveness of partnership development and management efforts in ASARECA and the sub-region. Emphasis will be placed on individual, organisational and institutional capacity building of NARES to manage the partnerships. 113

138 ASARECA Operational Plan Annex 5: Issues and options for engagement with private sector The information in this annex was generated in a consultative stakeholder workshop held as part of the process of developing OP2. (See workshop report for full details of proceedings, listed in Chapter 9.) Reasons for currently limited private sector engagement with ASARECA 1. No clear definitions of who the private sector is and some private sector needs have never been addressed since most of them are unknown to ASARECA and they have never been profiled. 2. Need for partnership is an emerging need not felt before and different member states have different policy frameworks for engaging private sector in research and development activities. 3. Private sector is profit oriented and ASARECA is driven by desire to produce sub-regional public goods. There is also dominance by large multinationals whose interests and those of ASARECA are not aligned. 4. There is a low level of awareness of commercially viable technologies and innovations produced by ASARECA and limited knowledge in ASARECA of how private sector works. 5. Weak private sector unable to participate in development of viable partnerships with other players. Most SMEs are struggling businesses and they may not meet compliance standards for participation in ASARECA projects. 6. The current competitive grants system (CGS) in ASARECA is not attractive to private sector which is not geared to access that support. 7. ASARECA work has been mainly focused on technology generation with limited targeting of the private sector. 8. Gender mainstreaming is not included in the value chain. Viability and market research does not accompany technologies and innovations, increasing costs and risks to potential users. Options for ASARECA to address these issues 1. Mapping of stakeholders including private sector, identify knowledge and information gaps/ needs for informed capacity building and develop a clear framework on how to engage private sector. Identify pillar organisations that ASARECA can engage with as entry points. Faith-based groups should be included in the potential partner groups. 2. Few farmers organised into registered groups, but they need to be organised to establish partnerships cooperative sector (in Kenya) is mobilising farmers and this offers opportunities. Building the capacity of cooperatives should be adopted as an approach across the sub-region. 3. Review the CGS and sub-grant agreements. Develop targeted calls to attract private sector stakeholders (SMEs, youth and crosscutting issues). Consider direct commissioning for involvement of private sector and setting aside some funds for private sector engagement. 4. Involve the private sector in the planning and implementation of projects and develop business incubation models with them to support commercialisation of technologies. Look for ways to provide incentives to enable the private sector to adopt ASARECA technologies which address some of the risks involved in agriculture. 114

139 Annexes 5. Develop a platform for private sector to encourage strategic engagement in specific aspects including information and knowledge sharing. This should have value chain approach and share information at national level between the sector and researchers. Need to follow the value chain, including gender analysis in these value chains, and build business entrepreneurship, skills and capacity among SMEs. 6. Create awareness of ASARECA through ICT, trade fairs and open days, and develop a communication and sensitisation strategy that addresses the interaction between ASARECA and the private sector. 7. Besides producing technologies, also consider producing supporting equipment and machinery, involving the media as partners in promotion of technology. Opportunities and strategies for ASARECA to develop in order to increase engagement with the private sector 1. Align research projects with flagship private sector projects identified in ECA countries long-term development objectives (Uganda s vision 2025, Rwanda s vision 2020 and Kenya s vision 2030). 2. Identify and develop viable commercialisation models for products that are not true public goods (open pollinated varieties through farmers, community based enterprises linked to private sector). Develop award schemes that recognise innovations and technology use. 3. Identify opportunities of agricultural social responsibility projects supported by regional private sector players, including identification of ways to make urban and peri-urban agriculture safe and compliant with city ordinances. 4. Learn from, and adapt, marketing models from non-agriculture actor players (banks, pharmaceutical sector) who work with the private sector. Develop partnerships with partners who are already supporting or working with the private sector (AGRA, East African Business Council, export promotion zones). 5. Enhance support to technology incubation centres. Seek a platform to engage with the private sector by either creating the platform or penetrating existing national and regional private sector bodies. 6. Use regional integration as an opportunity to engage the private sector and policy harmonisation. Support and advocate for harmonisation of policies, laws, regulations, standards and certification schemes that support competitiveness of key commodities. 7. Explore implementation of crop and livestock insurance schemes and demonstrate regional benefits of ASARECA products. Work with the private sector to analyse policy constraints. Domestication of the policy frameworks in the region will encourage participation of the private sector (the harmonised seed policy to take advantage of economies of scale). 115

140 ASARECA Operational Plan Annex 6: The substance and process of change The following outline of the things that need changing, and the process by which this might be done, was generated by stakeholders during a consultative workshop held in Nairobi, Kenya 18 to 21 September This is incomplete, but provides a starting point for developing a timetable and a series of initiatives to address key issues. The key areas for change identified by stakeholders were: 1. Programme to hybrid approach is a prerequisite for OP2. Sensitise change management to all ASARECA internal stakeholders from the lower to higher levels including Board members [creative capacity building]. To ensure that there is leadership by paradigm change. 2. Revision of current structures, processes and roles. Review of procedures in operations manual to minimise conflict of interest at governance/board level (The Board of Directors will look at the decision making and beneficiary roles) with delineation of roles and responsibilities between management and the Board. 3. Corporate identity. Enhance the profile and visibility of ASARECA nationally, sub-regionally, regionally and internationally. Resolve the issue of the legal status of ASARECA in Uganda by completing the host country agreement. 4. Institutionalising outreach and communication. 5. Institutionalising of gender mainstreaming. Harmonised implementation of gender mainstreaming and communication strategies within ASARECA region. 6. Human resources. Equal opportunity, enhance participation by all ASARECA internal and external stakeholders, train staff on soft skills, capacity building, evolve ASARECA into a learning organisation. Review incentive scheme and reward system. 7. M&E. Enhance the monitoring of performance of initiatives, staff and the organisation as a whole. 8. Partnership development. Engagement with stakeholders and new partners, especially the private sector. Establish private sector contact point at ASARECA. Build capacity and partnership for private sector and civil society organisations. 9. Advocacy. Examine the tools related to this aspect to develop coherent mechanisms. In-reach (advocacy within ASARECA as an organisation) before outreach needs focus and galvanised support. 10. Capacity building of NARES. Emphasis should be on institutional capacity building of partners [processes, systems, etc] including less competitive NARES. Popularise ASARECA products and strengthen feedback mechanism. 11. Impact orientation. Tracking adoption and impact of technologies [using appropriate socioeconomic and gender analysis tools]. 12. Proactive resource mobilisation. Be able to mobilise resources from within the region, other donors and private sector. 116

141 Annexes Strengthening capacity of NARES What needs to be managed Strengthen the less competitive NARIs Understanding of the knowledge and management capacity [management of partnerships] Research infrastructure and materials Project duration Language Use different media in ASARECA region Review calls for proposals criteria, procedures and protocols Strengthening partnerships What needs to be managed Partnership strategy Visibility of ASARECA to partners Programme-thematic hybrid approach What needs to be managed Inter-programme/unit linkage Governance and management formal system, procedures and processes Roles and responsibilities Staff, partners Harmonisation at country level, with partners Attitude and culture How to make the changes Identify the management and scientific training needs of partners Mobilise funds for training diplomas and various specialisations of researchers (granting of scholarships) Integrate a training component in each project Create incentives Develop partnerships with local universities and other research centres Identify the gaps Develop a framework for collaboration between centres Equip the research centres Ensure project and training duration is coherent Adopting both French and English as working languages in ASARECA Build language capacity Engage stakeholders Develop a database of researchers Programme managers start networking with less competitive NARIs Review the criteria, procedures and protocol for proposals How to make the changes Regular partners visits Adopt a policy specific to each category of partners Adopt a system of partnership based on a participatory approach Identify common interests Adapt the tools of communication the partners need Take a commercial approach similar to Coca Cola advertising Promote the achievements of ASARECA How to make the changes Sensitisation at all levels including staff, stakeholders, etc. Establish timelines and means of monitoring the whole process Set up inbuilt communication and feedback mechanisms Internalise and own the process Joint planning and review Delegate responsibility for implementation Development of policies and implementation guidelines Identify champions Address structural changes that have been recommended Revision of current structures, processes and roles What needs to be managed Documentation Board and management approval How to make the changes Document policies and guidelines Orientation Commission external expert to guide process 117

142 ASARECA Operational Plan Corporate identity promotion of ownership What needs to be managed How to make the changes Re-branding Corporate communication plan Promotion Customisation of ASARECA products Visibility Attend high level meetings Promotional materials Revise TORs for national focal points Institutionalising of gender mainstreaming What needs to be managed How to make the changes Enabling environment for all peoples to participate Human resource policy capacity building among both at Secretariat and among stakeholders stakeholders Demystifying gender mainstreaming Identify gaps in development opportunities and apply Conceptualisation of the gender mainstreaming affirmative action approach Design on-the-job gender coaching mechanism Culture of mainstreaming Collection of gender disaggregated data for problem Engendering the BOD, as gender champions identification, technology generation, baselines and M&E Develop pool of gender champions at the country level Capacity building for the BOD Strengthening the gender unit personnel, funds Orientation of new staff Revision of current structures, processes and roles What needs to be managed How to make the changes The processes Policies and guidelines Content Operational manual Staff, partners Governance manual Governance and management Change management specialist Harmonisation at country level, with partners Committee for change Job descriptions and titles Orientation and guidance Clear roles and responsibilities at all levels Monitoring the process Attitude, culture Corporate governance training for the Board and senior managers Engage organisational development specialist in reviewing structures and staffing levels Sensitisation of staff at every step Proactive resource mobilisation [mobilise resources from within the region, other donors and private sector] What needs to be managed How to make the changes Expedite the finalisation of fundraising/mobilisation strategy Arrange consultative workshop/write-shop Operationalise resource mobilisation plan Respond to global call for resources Creative capacity building and clarified roles of Secretariat and Board members What needs to be managed How to make the changes Review operational manual (governance issues with detailed clear roles and responsibilities) Information sharing/capacity building training Organise information sharing External visit for Board members 118

143 Annexes Annex 7: Indicative draft logframe for change management Note: This is a draft covering a period of approximately 18 months. It will need to be reviewed and assessed with stakeholders as part of the change process. It will include both substance and process of change. It is incomplete and its inclusion is for indicative purposes only. Change Management Logical Framework Period: 18 months Narrative Objectively Verifiable Indicators Means of Verification Assumptions Impact Equitable access and utilisation of agricultural research and development innovations enhanced 1. To be identified Government statistics United Nations Economic Commission for Africa statistics and reports Regional organisation Reports Selected CGIAR reports and publications Outcome Capacity of ASARECA as an organisation to function effectively in the new paradigm sustainably established 1. All ASARECA new organisational structures staffed and operational by % increase, over 2012 levels, in the number of positive responses for financial and technical support to sub-regional requests by 2015 Annual reports of the RECs ASARECA published and internal reports ASARECA technical reports Annual reports from member NARS and ARIs [Purpose to goal] 1. Adequate infrastructure is maintained 2. National policies and unfair competition do not compromise gains 3. Enabling policies, resources and conducive environment exist and are sustained 4. Effective platforms for consultation exist 5. Political/economic environment does not negate gains 119

144 ASARECA Operational Plan Narrative Objectively Verifiable Indicators Means of Verification Assumptions [Outputs to purpose] Results 1. Programme-thematic AIS paradigm for sub-regional agricultural research and development established 2. Sub-regional capacity of stakeholders for operating in a programme-thematic AIS paradigm strengthened 1.1 All projects based on programme-thematic approach at sub-regional level by To be identified 2.1 At least 30% member NARES designing programme-thematic based projects by To be identified Annual reports of the RECs ASARECA published and internal reports ASARECA technical reports Annual reports from member NARS and ARIs ASARECA audit reports Multi-media announcements Annual and occasional reports of development partners 1. Staffing and resource levels within the NARWS of the sub-region are adequate and are maintained 2. Good relationships with political stakeholders exist 3. The financial and physical resource commitments of stakeholders, including public and private sectors, NGO and producer organisations are maintained 4. Improved infrastructure is in place and effective 5. Coordination brings added value 6. Good press and other media organisations exist 7. Potential clients able to articulate demand effectively and have resources to respond to output 8. Political/economic environment does not negate gains 3. Effective sub-regional partnerships supporting and encouraging programmethematic AIS research and upscaling established and operational 3.1 At least 50% of the initiatives under each theme being implemented by At least three new sources of funding established by 2015 As above As above 4. Secretariat-level human and organisational capacity to support sub-regional programme-thematic based AIS activities strengthened 4.1 A positive increase, over 2012 levels, in the number of staff performance scores rated as outstanding by A 15% increase in proactive media enquiries for information concerning ASARECA activities by

145 Annexes Narrative summary Budget and inputs Assumptions 1. Sub-regional communication systems operate at adequate levels Activities The CMT/consultant[s] would provide technical and mentoring support and guidance to the following activities: [Output 1 Programme-thematic AIS paradigm for sub-regional agricultural research and development established] 1.1 Review and development of terms of reference and appointment of appropriate professional staff to programmes/themes 1.2 Development and implementation of a systematic approach to mentoring and supporting lead professionals in new paradigm 1.3 Scoping studies aimed at identifying and addressing the constraints of the value chain for each thematic area 1.4 Development of a programme implementation manual including M&E systems 1.5 Development of information and communication strategy [Output 2 Sub-regional capacity of stakeholders for operating in a programme-thematic AIS paradigm strengthened] 2.1 Development of a package of AIS and programme-thematic paradigm promotional and explanatory material 2.2 Implementation of a capacity strengthening programme to increase awareness and understanding of AIS issues 2.3 Promote understanding through implementation of a programme for stakeholder sensitisation to the changes in sub-regional research captured in the new paradigm and the current Operational Plan 2.4 Identification of sub-regional champions of change 2.5 Provision of support to sub-regional champions of change 2.6 Identification of key areas of resistance to change and the development of mechanisms to address these in a practical way 2.7 Implementation of mechanisms to address specific issues of resistance to change 2. A clear and shared vision and commitment exists/is adopted amongst stakeholders 3. Compatible organisational structures exist within the sub-region 4. Political/economic environment does not negate gains 121

146 ASARECA Operational Plan Narrative Summary Budget and Inputs Assumptions [Output 3 Effective sub-regional partnerships supporting and encouraging programme-thematic AIS research and upscaling established and operational] 3.1 Identification of key partners in focal priority value chains 3.2 Development and implementation of strengthened partnerships to support AIS and programme-thematic approach in priority areas 3.3 Development and implementation of formal and informal communication systems with RECs 3.4 Development and implementation of regular, multi-media mechanisms for promoting AIS in sub-regional research 3.5 Development and implementation of formal links between ASARECA and CORAF/WECARD and CCARDESA as sub-regional organisations, to promote understanding and the sharing of information 3.6 Development and implementation of mechanisms for effective communication between sub-regional stakeholders [Output 4 Secretariat-level human and organisational capacity to support sub-regional programme-thematic based AIS activities strengthened] 1.1 Development and implementation of a strategy for institutionalising the organisational changes identified in the Operational Plan 1.2 Development of TOR for staff recruitment, competitively appoint new professional staff 1.3 Development of a HRM manual 1.4 Development of transparent financial management policies, systems and procurement procedures 1.5 Development and implementation of new job descriptions for all serving and new staff 1.6 Training and skills needs assessment of new and serving staff 1.7 Development and implementation of training and HRD strategy 1.8 Development and implementation of systematic approaches for mentoring new and serving staff on the new paradigm identified in the Operational Plan 1.9 Development and implementation of mechanisms to promote ownership of ASARECA by its membership - promotion of corporate identity 122

147 Annexes Annex 8: Indicative change management timetable This timetable is indicative and is included in this Operational Plan to reflect the views of stakeholders at the time of its development. Further work on detail and precise content will be required. Substance of change identified by stakeholders J F M A M J J A S O N D J F M A M J J A S O N D Support funding from existing sources Start of OP2 project funding Formal funding for OP2 through MDTF 2 1. Programme to Hybrid Approach is a prerequisite for OP2. Sensitise change management from lower to higher level including board members [creative capacity building]. Leading by paradigm change, publish new innovations, property rights. 2. Revision of current structures, processes and roles: Review of procedures in operations manual, conflict of interest at governance/board level (The Board will look at the decision making and beneficiary roles) with clear roles and responsibilities from management to the board. 3. Rebranding of ASARECA: Profile and visibility of ASARECA nationally, sub-regionally, regionally and internationally. Legal status in Uganda and at a regional level. With special emphasis on how host country views and reaches out to ASARECA. A programme of sensitisation workshops to discuss the new Operational Plan and its implications. Identifying issues and strategies to address them [processes of change]. Identifying champions and change agents for the AIS approach in the context of programmes-themes and new leadership. Additional inputs may be identified and require action. A programme of workshops to discuss issues with stakeholders affected, in context of OP2. Consensus building and revision of necessary documentation, with external technical support where necessary. Soft-skills development to address approaches and attitudes for those concerned. Development of strategy and targets. Technical support if necessary in preparation of preliminary material. Ongoing activity once process has been primed and started. 4. Institutionalising outreach and communication Ongoing activity of OP2 linked to [3] 5. Institutionalising of gender mainstreaming: Harmonised implementation of gender mainstreaming, communication strategies within ASARECA region 6. Human resources: Equal opportunity, participation, soft skills, capacity building, learning organisation. Review incentive scheme/reward system Linked to [1] as part of sensitisation process. Included in discussions and workshops and analysis of issues. Ongoing activities as part of overall ASARECA implementation of OP2. Integrated into both projects and wider institutional capacity strengthening and development Soft skills development in collaboration with outputs from sensitisation and participatory workshops with stakeholders. With external support as necessary. Ongoing 7. M&E: Performance of initiatives, staff and the organisation as a whole Review of issues and development of solutions in consultation. Ongoing 8. Partnership development: Engagement with stakeholders and new partners, especially private sector. Establish private sector contact point at ASARECA. Build capacity and partnership for private sector, civil society organisations Initial focus linked closely to [1] and [3] addressing issues through participatory discussions and locating funding for initiatives. Targeting specific organisations and events to increase impact. Engagement with project development under themes with programme and unit managers. Ongoing 123

148 ASARECA Operational Plan Substance of change identified by stakeholders J F M A M J J A S O N D J F M A M J J A S O N D Support funding from existing sources Start of OP2 project funding Formal funding for OP2 through MDTF 2 9. Advocacy: Examine the tools related to this aspect to develop coherent mechanisms. Advocacy within ASARECA as an organisation to be addressed before outreach focuses and galvanises support 10. Capacity building of NARS: Emphasis should be on institutional capacity building of partners [processes, systems, etc] particularly for the less competitive NARS. Popularise ASARECA products and strengthen feedback mechanism 11. Impact orientation: Tracking adoption and impact of technologies [using appropriate socio-economic and gender analysis tools] 12. Proactive resource mobilisation: Be able to mobilise resources from within the region, other donors and private sector Linked to [2], [3] and [4]. Soft skills development and identification of opportunities. Development approaches and implementation of targeted responses - quick win targets. Ongoing Part of the sensitisation process to OP2 [1]. Including NARS stakeholders in discussions and workshops to understand OP2 and its implications. Developing strategies to address needs. Built into current and planned capacity strengthening initiatives linked to wider levels of understanding and appreciation of the role of ASARECA [3]. Ongoing Linked to (7) and (1). Sensitisation of stakeholders on role and function of M&E as well as its focus and emphasis. Ongoing Linked to (3) and (9), dependent on raising the profile of ASARECA, the development of a fund-raising strategy and the development of soft skills to interact with stakeholders. Ongoing 124

149 Annexes Annex 9: Possible terms of reference of Technical Advisory Committee 1. Status and authority a) The technical advisory committee (TAC) shall be the technical advisory arm to the Executive Director and Governing Board. b) The rules and regulations governing the operations of the technical advisory committee shall be approved by the Governing Board. 2. Composition a) The TAC shall consist of twelve (12) experts appointed from the National Agricultural Research and Extension Systems of ASARECA members, partner institutions and international organisations on the basis of their personal merit, proven expertise and experience in agricultural research for development and capacity strengthening. Composition of the TAC shall ensure representation of the areas of ASARECA activities, official working languages and gender. 3. Functions of technical advisory committee a) The TAC shall: Review programmes and advise the Governing Board on technical advisory matters and the relevance of research programme activities, base centres, networks and research poles to the vision and mission of ASARECA. Assist the Executive Secretariat in carrying out the functions of scientific coopera-tion and coordination. Assist the Governing Board in evaluating the scientific activities of ASARECA between meetings of the General Assembly. Monitor and evaluate all scientific co-operation programme activities, including scientific publication and dissemination of technical information, implemented by ASARECA. Assist the Executive Secretariat in coordinating the scientific activities of ASARECA with a view to promoting scientific excellence and enhancing the influence of ASARECA in the East and Central Africa sub-region and throughout Africa. 4. Appointment of members and tenure a) Members of the TAC are appointed by the Governing Board which later informs the General Assembly. b) Members of the TAC shall serve for a period of three years renewable only once for a further period of three years. c) The TAC shall establish a schedule for the appointment of new members and for the renewal of membership of the TAC in accordance with the rules of procedure outlined in the governance manual. 5. Officers and administration a) The TAC shall appoint a Chairperson and Vice Chairperson from amongst its members. The Chairperson, with assistance from the Vice Chairperson, shall oversee the work of the TAC. b) The Executive Secretariat shall provide administrative and logistical support for the work of the TAC. c) The Deputy Executive Director shall serve as the Secretary of the TAC. 125

150 ASARECA Operational Plan Meetings and decisions a) TAC shall meet once every year in ordinary sessions, to be held during the second half of the month of October of each year. b) Ordinary sessions of the TAC shall be convened when at least two-thirds of the members of the TAC have confirmed their participation for the suggested date. c) Extraordinary sessions of the TAC may be convened if half of its members and the Chairperson of the Governing Board give approval for such a meeting. d) Decisions at the TAC shall be taken by consensus and the Chairperson shall have the casting vote. e) If a quorum is not reached on the day of the meeting, the members pres ent shall hold the meeting. However, the decisions taken at such a meeting shall become binding only if the opinions and endorsement of the decisions have been obtained from members who were unavoidably absent at that meeting. f) TAC may also organise special home-based consultations. 7. Sub-committees a) To facilitate implementation of its functions, the TAC shall set up special ad-hoc sub-committees to address specific issues of concern to the work of the TAC. 126

151 Annexes Annex 10: Optimal human resource requirements for efficient implementation of OP2 There is no doubt that human capital is the greatest asset of any organisation. The human variable (including education, experience, skills and competencies) affects organisational strategy and its ultimate performance. The human element is gradually gaining importance with the changing landscape of the economy and associated sectors towards a more knowledge intense approach. 41 ASARECA is therefore no exception given that to transform the agricultural sector, there is the need for intensive knowledge to inform policy, innovations, programmes and plans at various levels. It is therefore incumbent upon ASARECA to secure, develop and maintain the most skilled human resource base to propel it to higher levels of competitiveness. The competitiveness in this sense includes being a reliable knowledge hub, serve as a think tank on various topical areas of relevance in the sub-region, and provide a potent platform for learning and reflections on how to transform the agricultural sector in the sub-region. During the entire phase of OP1, ASARECA has maintained a lean but efficient human resource base mainly consisting of about 30 professional/technical staff and 30 support staff. The key professional staff comprises the Executive Director (1), the Deputy Executive Director (1), Programme Managers and Programme Assistants (20), 42 and heads of units (10). 43 To ensure delivery of the expected results, ASARECA has harnessed a critical pool of skills and competencies in agricultural sciences, economics, natural resource management, communication, financial management and procurement. These were considered to be critical in the delivery of OP1 results. With a rapidly changing environment and the increasing demand for services from ASARECA to the general public, there is a consideration to increase the level of staffing over the life of OP2. Based on its growth path, ASARECA intends to maintain the current number of the human resource base at the minimum 60. However, an additional 25 staff may be recruited at varying engagement levels and modalities. Most will be engaged on a need basis and work packages. This approach will ensure that ASARECA remains an efficient institution that is able to deliver its mandate with a lean staff that is highly motivated. The table below depicts the total staff expected to serve at ASARECA based on the current arrangement (2-year contracts), need basis, or on work-package basis. 41 See Hitt MA, Biermant L, Shimizu K and Kochhar R Academy of Management Journal 44(1): Staple Crops, High Value Non-Staple Crops, Livestock and Fisheries, Agro-biodiversity and biotechnology, Natural Resource Management and Biodiversity, Policy Analysis and Advocacy, Knowledge Management and Up-scaling, and Eastern Africa Agricultural Productivity Programme. 43 Finance, Human Resource and Administration, Internal Audit, Contracting and Procurement, Information, Communication & PR, Gender Mainstreaming, Information Technology, Environment and Social Safeguards. 127

152 ASARECA Operational Plan Table showing human resource requirements for the implementation of OP2 Office Position Number of personnel Current/OP1 OP2 1 Executive Director's office Executive Director 1 1 Resource Mobilisation Officer - 1 Technical Assistant - 1 Executive Assistant 1 1 Office Assistant/Messenger 1 1 Internal Audit Internal Auditor 1 1 Assistant Internal Auditor Deputy Executive Director's Deputy Executive Director 1 1 Office Environmental & Social Safeguards Specialist 1 1 Assistant ESS Specialist - 1 Programme Assistant 1 1 Administrative Asst/Secretary 1 1 Office Assistant/Messenger Programmes Staple Crops Programme Manager 1 1 Programme Assistant 1 1 Programme Officer (Breeding) - 1 Administrative Assistant 1 1 High Value Non-Staple Programme Manager 1 1 Programme Assistant 1 1 Administrative Assistant (shared) 1 1 Livestock & Fisheries Programme Manager 1 1 Programme Assistant 1 1 Programme Officer (Fisheries) - 1 Agro-biodiversity & Biotechnology Programme Manager 1 1 Programme Assistant 1 1 Programme Officer Plant Genetic Resources - 1 Administrative Assistant (shared) 1 1 Natural Resource Management Programme Manager 1 1 Programme Officer Soil Science - 1 Programme Assistant Irrigation Engineer - 1 Policy Analysis & Advocacy Programme Manager 1 1 Programme Assistant 1 1 Programme Officer Advocacy - 1 Administrative Assistant 1 1 Knowledge Management & Upscaling Programme Manager 1 1 Programme Assistant 1 1 Current /OP1 OP2 Programme Officer Business Development

153 Annexes Office Position Number of personnel Current/OP1 OP2 EAAPP Programme Manager 1 1 Administrative Assistant Technical Units Monitoring & Evaluation Senior Technical Officer 1 1 Programme Assistant 1 1 Database Administrator - 1 Partnership & Capacity Unit Head 1 1 Development Programme Assistant 1 1 Training Officer - 1 Gender Mainstreaming Gender Expert 1 1 Assistant Gender Expert 1 1 Information & Communication Head, Information and Communications 1 1 Publication Officer Corporate 1 1 Technical Communication Officer/Science - 1 Writer PRO Public Relations Officer - 1 Information Assistant-BA/BSc BLIS - 1 Bilingual Translation Officer BA/BSc - 1 Information Technology Head of ICT 1 1 MIS/Data Base Officer - 1 Web/Info-Master (PS/6A-1) 1 1 Systems Administrator, BA - 1 ICT Support officer - BA/BSc Financial Management Unit Head of Finance 1 1 Senior Accountant 1 1 Accountant 2 2 Assistant Accountant 1 1 Accounts Assistants 2 2 Accountant year 2-2 Accounts Assistant - year Administration & Human Head of Administration & Human Resources 1 1 Resources Senior Administrative and Personnel Officer 1 1 Senior Administrative Assistant 1 1 Office Assistant/Receptionist 1 1 Drivers 3 3 Office Assistant/Messengers 5 5 Gardeners Procurement & Contracting Procurement Officer 1 1 Unit Procurement Assistant 1 1 Totals

154 ASARECA Operational Plan Annex 11: ASARECA OP2 core functions profiles Executive Director s Office ASARECA is headed by the Executive Director (ED) who is the Chief Executive Officer. The ED is responsible for implementation of the regional strategic plan; executing board decisions and providing leadership and management to accomplish the ASARECA mission; ensuring that there is strict overall administrative coordination, financial management and integrated research for development programmes. The ED s office manages the staff, programmes, finances and assets of the Association according to the procedures approved by the Board of Directors. The ED leads in resource mobilisation for both core and operational needs of ASARECA and represents the Association in different fora as its Chief Accounting Officer and legal representative as delegated by the Board. The ED office also manages institutional performance within the agreed framework of the ASARECA strategic plan, operational plan and annual work plans and budget to ensure achievement at the team and individual levels. The ED promotes existing and new strategic partnerships with development partners, regional organisations (AU, FARA), sub-regional organisations (COMESA, IGAD, East African Community, Eastern Africa Farmers Federation, RUFORUM, and international and national research and development institutions), through advocacy, participation in meetings, development of joint proposals, sharing of progress and information, exchange of experience and resource mobilisation. The ED s office further manages the relations of the Association with key stakeholders within and outside the sub-region, especially the national agricultural research system, the facilitating agencies and donors. The ED also guides and coordinates the preparation and review of the strategic plan, operational plan, annual work plans and financial statements of the Association for presentation and approval by the Board of Directors. The ED s office also prepares an annual performance report against the Board approved corporate plans setting out the extent to which the office has achieved the target results in the annual work plan and wider operational and strategic plans. The Deputy Executive Director s office The deputy executive director s office is headed by the Deputy Executive Director (DED) who is responsible for leading and coordinating the technical programme arm of the ASARECA Secretariat which entails planning, coordinating, implementing, monitoring and evaluating regional agricultural research for development initiatives. The head of this office deputises the office of the Executive Director. The office provides leadership to and coordinates the day-to-day management of the programmes, which entails programme coordination, including managing the regional programmes, projects and initiatives. The office head also represents the Executive Director in regional and international fora. The DED s office leads and contributes to the development of strategic initiatives for resource mobilisation efforts, and participates in specific resource mobilisation activities, including developing investor relations. The office contributes to the development and monitoring of the ASARECA vision, goals and strategies for research and development and ensures that targeted impacts are achieved. This entails contributing to development of the vision, goals and strategies of programmes and projects for research and development; assisting in the development of programme operational plans and ensuring that agreed targets are met. 130

155 Annexes The office contributes to and provides guidance on the development and institutionalisation of policies, procedures, processes and infrastructure (databases, information systems etc) for ASARECA. The office provides leadership in the planning and coordination of overall research development activities across the programmes, encouraging and ensuring the coordination and alignment of goals, strategies and activities among the programmes and projects. The office coordinates and manages the integrated research and development agenda of the ASARECA programmes and the Competitive Grants System (CGS) and ensures that their activities are aligned to the strategic goals and objectives of ASARECA. A key part of this responsibility involves ensuring that the vision, goals and strategies of ASARECA are well understood by internal and external stakeholders. Programme Management units The Programme Management units are headed by managers and assisted by either programme officers or programme assistants. The units provide intellectual leadership in the establishment of ASARECA regional research portfolio and build NARES capacity for research, extension and education. The units develop the strategies by identifying the thematic and strategic research priority areas, mobilising and building strategic alliances and partnerships to enable ASARECA to achieve its goals and objectives. These management units also mobilise resources for the implementation of the strategic areas as well as providing strategic planning, leadership and management of research, capacity building and networking aimed at facilitating learning for innovation and scaling-up of technologies for greater impact. Partnership and Capacity Development Unit The PCD unit is responsible for initiating and developing strategic partnerships and managing the capacity development initiatives of ASARECA. This includes developing policies and approaches for partnerships and capacity building. The partnerships include linkages with ASARECA development partners; linkages with the AU-NEPAD Comprehensive African Agriculture Development Programme (CAADP) implementation agencies and partners such as FARA and the other regional and sub-regional organisations; linkages with regional economic communities (RECs) especially COMESA and the ECA; and linkages with current and potential programme implementation partners of ASARECA. The position continuously identifies the capacity development needs of the NARES of the 11 ASARECA member countries and the Secretariat, and develops and implements projects and programmes to address such needs. Communication and Public Relations The Communication and PR Unit ensures that the Secretariat manages knowledge and communicates better as an institution through proper systems, structures, applications, tools and methods. The unit is also required to provide leadership to the Secretariat with regard to information management, coordinate the Secretariat s public relations activities and handle internal and external communications. The unit provides strategic planning, development, evaluation and coordination of the information and communication systems for the Secretariat and develops the communication strategy in line with the Secretariat s strategic plan and breaks it down into activities to be carried out during the year in order of priority and budgets for the implementation. Information and Technology Unit (IT) The Information and Technology Unit oversees the effective and efficient operations of the organisation s technological resources and infrastructure. The unit is required to design, plan, direct 131

156 ASARECA Operational Plan and coordinate all operational activities together with the provision of IT and Information Systems (IS) based solutions that support ASARECA activities. The unit drives, implements and manages the strategy for IT and IS developments that provide ongoing cost-effective solutions for all aspects of ASARECA activities and ensures appropriate IT capacity to adequately support current and projected activities. Gender Mainstreaming Unit The Gender Unit oversees implementation of the ASARECA gender mainstreaming strategy and champions the process in ASARECA. The unit supports the strengthening of gender mainstreaming in ASARECA programmes and projects which includes use of gender criteria in project proposals, reporting and evaluation, and revision of the gender criteria where appropriate. The unit develops, proposes and undertakes gender mainstreaming initiatives in the region including providing technical support towards the development of a gender strategy in each of the NARIs in the 11 ASARECA countries. The unit supports ASARECA and its partners to formulate gender-responsive policies to enhance gender mainstreaming in agricultural research. It identifies and builds capacity of gender quality assurance teams at appropriate levels in each NARES of ASARECA. It coordinates and maintains a close working relationship and strong communication channels with ASARECA stakeholders. It serves as the ASARECA contact point and partner with social and gender policy experts in the ECA region and consequently builds a network for addressing issues of regional priority in relation to gender. It also identifies individuals who can be champions of change in partner organisations to enhance institutional commitment at ASARECA. Office of Internal Audit The Office of Internal Audit directs and coordinates audit work on the various operating systems of the Secretariat. It ensures that policies and procedures are followed, standards met, resources used economically and institutional objectives attained in carrying out transactions. The unit reviews internal controls in the operating systems and sections of the Secretariat. It compiles a quarterly report with all findings and presents it to the audit committee of the ASARECA Board of Directors. It reviews the risk profiles developed by the different units and departments and ensures that the identified risks are controlled to acceptable levels. The unit interfaces with sub-grantees to check compliance with sub-grant agreements, adequacy on internal controls and that the objectives are being achieved. Procurement and Contracting Unit The unit is responsible for developing procurement strategies, policy guidelines, training strategies and oversight of procurement operations that will deliver maximum cost effectiveness. It leads and provides guidance on optimal use of resources in the procurement of goods, works and services. The unit manages preparation and monitoring of contracts. It handles the technical, commercial and legal aspects of procurement at all stages of the programme implementation. It develops procedures and guidelines for the implementation of cost effective procurement systems and procedures. It plans for and coordinates procurement and disposal activities in line with ASARECA regulations. The unit also submits procurement bid documents, evaluation reports and draft contracts to the procurement committee for approval. It monitors procurement activities to ensure that deliveries 132

157 Annexes meet established specifications or terms of reference. It also assesses the professional capacity of sub-grantees, leads and supports negotiations of contracts and ensures compliance with ASARECA regulations, local laws and development partners requirements. It maintains relationships with service providers and all stakeholders by keeping them informed, responding to needs and developing solutions. Environmental and Social Safeguards Office The Office provides operational support to ASARECA management and support units and principal investigators on meeting the compliance requirements of the environmental and social safeguards for all project activities financed by the ASARECA MDTF. The Office is expected to use and strengthen the country systems in environmental and social assessments by providing technical comments and by participating in the process of preparing environmental and social management plans for approved projects. The office also monitors implementation of the mitigation measures identified in the plan and provides training in environmental and social issues to sub-grantees as part of the capacity-building initiatives. The Office of Human Resources and Administration The Office of HR & Administration manages the human resource and administration activities of ASARECA, providing guidance and support with regard to all human resource and administration activities. The office coordinates and provides guidance to other units in strategic planning for human resources as well as managing and implementing the HR & Administration policies and procedures in line with local regulations, best practices and the ASARECA operational manual. The Office also manages the Administration Unit team, liaising with the heads of programmes and units to agree on their service expectations and monitor the effectiveness of services provided including materials receipts, storage and issuance process as well as managing all travel arrangements for ASARECA staff and partners. Finance Unit The Finance Unit leads the financial management procedures of ASARECA in line with the ASARECA strategic plan and operational plan. This involves, in collaboration with the various ASARECA management offices developing and monitoring budgets, keeping accurate financial records and ensuring accountability at all levels, creating efficient financial service delivery, controlling expenditure and revenue, and periodic financial reporting. Other responsibilities include instituting and monitoring internal controls, ensuring compliance with statutory reporting and monitoring the Association s performance through periodic financial reporting to management, Board of Directors, donors and stakeholders. The finance office manages the budget preparation process in collaboration with the various management offices in ASARECA. It prepares the Secretariat operational budgets and presents them to the ED for review as well as reviewing and rationalisation in line with the ASARECA operational plan. The office also prepares and submits donor financial accountability reports, and leads in the preparation and submission of the ASARECA annual financial report through the EDs office to the Board of Directors, development partners and the General Assembly. 133

158 ASARECA Operational Plan M&E and Learning Unit The M&E and Learning Unit s role is to design and coordinate the performance management plan for ASARECA for purposes of accountability and resource mobilisation. It manages the performance management plan in liaison with the programme management units and other heads of units. It also provides leadership, and technical and analytical support to the M&E personnel in ASARECAfunded projects and stakeholders like the NARIs in development of plans, procedures and reporting processes. The unit manages and promotes the utilisation of the ASARECA M&E system as an integral part of the research for development process of the programmes and the NARES. It assesses existing capacities in M&E, identifies and prioritises training needs and conducts training for capacity building and methodological support as well as plans and executes DP technical reporting processes in liaison with DP representatives and internal staff. 134

159 Annexes Annex 12: SWOT and situation analysis of ASARECA operations 1. This aims to analyse the issues associated with the operation and performance of ASARECA and determine what the current situation is in terms of the strengths, weaknesses, opportunities and threats (SWOT). 2. In doing this, the aim was to identify key issues that needed to be addressed to improve performance, and existing features which could be used to develop ASARECA further under OP2. 3. A synthesis of the work and discussions is shown inboxes 1, 2, 3 and 4 below. Box 1: ASARECA strengths As an SRO 1. Fairly mature organisation, with considerable goodwill from partners and stakeholders and good linkages, support and trust from RECs (COMESA, EAC) and national partners; high levels of credibility and support from development partners. 2. Strong convening role with ability to bring various stakeholders together [NARS, IARCS, private sector, NGOs, extension, farmer organisations, universities]. 3. Good record of financial accountability with functional M&E systems and gender mainstreaming. 4. Consultative approach at every stage of activity with a sub-regional agenda derived from subregional priorities giving ASARECA legitimacy and relevance. 5. A clear organisational structure with governance, management and processes that are well documented and in place. What we do activities and programmes 6. Programmes are individually well structured with strategies and priorities. 7. The importance of gender mainstreaming in ARD is recognised. 8. Working in partnerships with stakeholders through networks and networking and specialised/ strategic institutions on specific strategic themes/areas using a consultative approach at every stage. 9. Numerous demand-driven outputs have been generated technologies, innovations and information to address sub-regional issues. 10. Capacity strengthening of people and organisations. 11. ASARECA dealing with basic livelihoods commodities. People (not just the Secretariat) 12. Strong pool of human resources diversity in skills that can work together, and a Secretariat that comprises motivated, well qualified staff. 13. Diversity culture and background of ASARECA and the Secretariat. 14. Recruitment process provides equal opportunity for all. 135

160 ASARECA Operational Plan Box 2: ASARECA weaknesses As an SRO 1. ASARECA is under-represented in sub-regional agriculture-related fora COMESA ministerial meetings, African Union agricultural fora. 2. Language barrier is not well addressed (French and Arabic). 3. Current implementation of ASARECA processes does not support integrated approaches, and programmes tend to operate in isolation with little inter-programme implementation or interaction; linkages/interactions between the different Secretariat structures is not institutionalised. 4. ASARECA is almost completely dependent on development partner funding. 5. Low public profile and weak sense of corporate identity/branding. Activities 6. Not all the key players in agriculture in the sub-region are consulted or involved in programmes. 7. Excessive focus on conducting research to the extent that there is a limited uptake of outputs with insufficient emphasis on the measuring of outcomes of the technologies, innovations and information generated. 8. Gender mainstreaming is not fully institutionalised. People 9. Private sector and extension engagement is still minimal. 10. Skills set at the Secretariat too focused on agricultural research with lack of specific capacity to consider the complete value chain. 11. Inadequate in-service training programme/support to Secretariat staff. 12. Skills within the NARS highly variable with not all possessing the necessary training or competencies to respond in a sub-regional context. Structures and processes 13. BoD requires strengthening in corporate skills to allow them to fulfil their mandate and address issues of oversight of ASARECA as an organisation. 14. Lack of formal structures and processes prevents full engagement of the Board of Directors with the Secretariat and other stakeholders, restricting their ability to ensure quality and alignment with wider policy and political environment. 15. ASARECA Secretariat management style is inflexible with sub-optimal communication and interaction between staff. 16. Inadequate utilisation of IT within the organisation as a whole as well as at the Secretariat. 17. ASARECA has no formal system in operation to support and encourage young scientists/ stakeholders. 136

161 Annexes Box 3: ASARECA opportunities Political 1. Supportive global, continental, regional and sub-regional policies on agriculture and trade such as CAADP, and support from the RECs (EAC and COMESA); for example, EAC (five countries) is harmonising various policies. Economic 2. COMESA is a big trading block and a partner of ASARECA. 3. Sub-regional integration of the different RECs (EAC, COMESA, SADC). 4. Increasing funding envelope for agriculture and agricultural development within the sub-region and region, and also internationally. 5. Emerging new areas of economic activities (mining, oil, gas) spillover on agriculture development. Social 6. Unilateral gender mainstreaming at national level. 7. Increasing levels of literacy to support communication of new technologies. 8. More opportunities for women in higher education, leading to greater involvement of women in agricultural research for development. 9. Growing middle class in the sub-region and region, creating new markets for produce. Technology 10. ICTs internet more accessible, convergence of mobile telephony and the internet. 11. Advances in biotechnology. 12. Emerging sub-regional challenges in agricultural development for ASARECA to engage with. 13. Extensive human resource capacity in different sectors within the sub-region which can be mobilised to support agricultural development. Box 4: ASARECA threats Political 1. Civil strife/hostility among and within member countries. 2. Political pressure from influential stakeholders to politicise the organisation. 3. National bureaucratic restrictions imposed on NARI scientists. Economy 4. Declining funding from donors because of global economic challenges. 5. Inflation and slow economic growth in the sub-region. 6. Emerging areas of economic activity (mining, oil, gas) reducing funding available for agriculture development. Social 7. Population growth rate. 8. More youth, unemployed and not interested in agriculture. 9. The farming and research community is aged. 10. Growing threat to equal opportunity. Environment 11. Climate change. 12. Natural resource degradation. 13. Loss of diversity in germplasm. 137

162 ASARECA Operational Plan The following are mechanisms and approaches to address outstanding issues and constraints relating to organisational structures and the formal and informal policies governing ASARECA operations. Table 1: Analysis of structural and process strengths Strengths and their cause and/or consequence 1. Programmes have high degree of independence in operationalising activities as a result of delegation by senior management. 2. Work with specialised/strategic institutions on specific strategic themes/areas which builds synergy, adds value, is cheaper, faster and increases ownership. 3. Secretariat has highly qualified staff because ASARE- CA is an attractive, reputable organisation one wants to be associated with. 4. Good systems and procedures embedded in the Operational Manual which creates confidence, predictability, and minimises risks. 5. High donor support due to confidence in ASARECA capacity and performance. 6. Has capacity to generate improved technologies because projects work with appropriate partnerships. 7. Operates sub-regionally addressing issues of sub-regional nature because ASARECA has a specific niche 8. ASARECA is regionally owned by NARES and has the opportunity of working directly with agriculture sector addressing issues of regional priorities. 9. Supports capacity building which enhances technology generation and the sustainability of ASARECA. 10. Good linkages with RECs (COMESA, EAC) which provides platform for policy harmonisation at regional level for trade promotion and material exchange. 11. Convening role with the ability to bring various stakeholders together (NARES, IARCs, private sector, NGOs, extension, farmer organisations, universities) which ensures regional priorities are addressed and enhances image of ASARECA. 12. Recognises the importance of gender mainstreaming in ARD which enhances the understanding of socioeconomic issues that ARD can positively impact on them and gives ARD undertakings a human face. How can it be used? Strengthen by building managerial skills to further improve performance. Continue to support and institutionalise as a key approach of ASARECA. Increase ASARECA visibility by doing more advocacy and ensure systems and structures continue to be attractive to attract qualified staff. ASARECA should promote itself and demonstrate good value for money. Leverage more funds and leadership to keep supporting it. Nurture partnerships and institutionalise the approach. ASARECA programmes remain regional in nature. Nurture regional approach and institutionalise. Promote involvement of graduate students (MSc + PhD) students in technology generation. Promote staff skills building. Enhance visibility of ASARECA. As a vehicle to promote regional approaches (priorities, constraints, opportunities) and the facilitation of efficiency at regional level and avoid duplication. Institutionalise gender considerations into ASARECA operations. Table 2: Analysis of structural and process weaknesses Weaknesses and their cause and/or consequence How can it be addressed? 1. Current implementation of ASARECA processes does Better coordination is required from senior management. not support integrated approaches, and programmes tend to operate in isolation with little inter-programme A culture change supported by leadership is required implementation or interaction; linkages/interactions with carefully applied change management. between the different Secretariat structures is not institutionalised. This limits the exploitation of synergies, discourages collaboration and hinders organisational effectiveness. It also has a demoralising effect and suppresses creativity and initiative. 2. Poor and inadequate internal communication and suboptimal leadership/management skills which leads to Change in the style of management and leadership. poor planning and encourages rumour mongering, lack of direction and an incoherent approach. This results in a lack of direction. 138

163 Annexes Weaknesses and their cause and/or consequence 3. Low exploitation of information technology which reduces efficiency and visibility and affects organisational positioning and influence. 4. Lack of formal structures and processes prevents full engagement of the BoD with the Secretariat and other stakeholders restricting their ability to ensure quality and alignment with wider policy and political environment. This leads to compromised decision making and reduces the quality of the BoD decisions. 5. Poor institutional arrangements which result in inappropriate job titles and remuneration which especially demoralises national staff and creates a wide gap between regional and national staff benefits 6. ASARECA has the potential to become a regional hub of knowledge and information as it has qualified staff and over the years has generated enormous amounts of information; however, this potential has not been realised. How can it be addressed? Get the right skills in IT. Support and encourage outward-looking management and improved diplomatic and advocacy efforts. Revisit board composition to balance NARI DGs and other stakeholders and balance and develop the skills of the BoD members. Review job titles and the wide gap between regional and national staff benefits. Identify the reasons why this potential has not been realised. Strengthen infrastructure and human capacity. Address other issues. Table 3: Analysis of opportunities (process, structural and technical) Opportunity 1. Supportive global, continental, regional and subregional policies on agriculture and trade, including harmonisation of policies by EAC, the CAADP and the position of ASARECA in COMESA. The regional integration of RECs (EAC, SADC, COMESA) also provides the same type of opportunity. How can it be used? More investment in agricultural research and development. Can be used to enhance spillovers of research outputs facilitate smooth movement of material germplasm, seeds, products. Can enhance trans-boundary implementation of projects (NRM, livestock, policies). Engage with the technical committees to influence decisions and investment priorities. Initiate processes for ASARECA to be granted status at high level meetings. Strengthen relationship with RECs (and other organisations e.g. FARA, AU). 2. A wide constituency of members. Use it to form strategic partnerships, networking to deal with areas where we have limited expertise. 3. ICTs Internet more accessible, convergence of mobile telephony and the internet. Improve knowledge management at all levels and all categories of stakeholders. Use the technology to advance agriculture at the farm level (by gender and across socio-economic ladders). Development of databases. Improve communication with partners and linkages with value chain actors. Facilitate dissemination of technology packages. Use modelling to develop early warning systems. Facilitate evidence-based decision making. 4. Advances in biotechnology. Use them to quickly develop technologies to address the emerging challenges both abiotic and biotic (climate change, pests and diseases, population explosion). Accelerate technology development in areas such as: o Plant and livestock breeding o Disease diagnostics, control and drug development o Conservation, regeneration of plant and animal genetic resources o Nanotechnology o Livestock vaccine development 139

164 ASARECA Operational Plan Opportunity How can it be used? 5. Gender mainstreaming at national level. Use it to facilitate gender mainstreaming in projects for holistic and sustainable agricultural development. Generate information on evidence of contribution of gender to successful project implementation to support institutionalisation of gender in ASARECA. Utilise national good will to support the design and implementation of projects with a positive impact on different gender groups. Harness capacity building for ASARECA from the national institutions. 6. Increasing levels of literacy. Use to support communication and dissemination efforts, particularly through ICTs. 7. Sub-regional challenges for ASARECA to engage with. Encourage engagement of stakeholders in partnerships to address these issues. Facilitate generation of technologies and innovations targeted at specific challenges. 8. Extensive human resource capacity in different sectors within the sub-region which can be mobilised to support agricultural development. Identification and engagement of specialised skills across the region to develop and implement projects. Development of partnerships and a shared vision. 9. More opportunities for women in higher education. Use it to get more women engaged in research and development, especially as women s contribution to agriculture is high. 10. Growing middle class in the region. They form a demand for agricultural products. They should be included as key players in the value chains. Table 4: Analysis of threats [process, structural and technical] THREATS 1. Political pressure from influential stakeholders to politicise the organisation and the growing influence of donors through micro-management of ASARECA programmes. 2. Conflicts occurring within and between the countries of the sub-region. 3. Global recession and economic challenges resulting in declining funding from donors (USA, Euro zone, etc). This is exacerbated by sub-regional economic inflation and slow growth. 4. Emerging new areas of economic activities (mining, oil, gas) agricultural development can easily be forgotten. 5. Youth and unemployed not interested in agriculture, with an aging population in the farming community. How can it be addressed? Conflict of interest devise mechanisms for working around them including a clear and consultative operational plan. Not much can be done be mindful and see how to work around it. Have an aggressive and humanitarian fund-raising/ resource mobilisation strategy. Widening the donor base (private donors, etc). Demonstrate how agriculture is making a difference, and its potential to contribute to national GDPs. Engage with organisations that deal with youth and other gender categories especially financing programmes (e.g. youth development fund), incentives. Market the profitability of agricultural enterprise. Market linkages inbuilt into projects targeted at the youth. Stress gender analysis in the projects. 6. Growing threat to equal opportunity. Raise consciousness at all levels about addressing equal opportunity issues. 7. Changes in the physical environment including climate change, natural resource degradation and loss of diversity in germplasm. Applying biotechnology. NRM mitigation approaches. Awareness building. 140

165 Annexes Annex 13: Three funding scenarios for OP2 High Budget Level 2014 US$ 2015 US$ 2016 US$ 2017 US$ 2018 US$ Total - HIGH US$ Cost Categories I) Research Themes Eco-Systems 4,810,000 8,912,000 9,357,250 9,376,250 8,639,814 41,095,314 23% Projects 4,200,000 7,980,000 8,379,000 8,379,000 7,854,314 36,792,314 Support activities 350, , , , ,500 2,889,000 Operations (Salaries) 250, , , , ,000 1,379,000 Equipments 10,000 5,000 5,000 10,000 5,000 35,000 Markets & Market Linkages 6,710,000 12,437,000 12,602,500 12,627,013 11,980,921 56,357,433 31% Projects 6,000,000 11,400,000 11,514,000 11,514,000 11,086,870 51,514,870 Support activities 350, , , , ,500 2,876,000 Operations (Salaries) 350, , , , ,551 1,931,563 Equipments 10,000 5,000 5,000 10,000 5,000 35,000 Sustainable Agriculture 5,080,000 9,284,000 9,742,700 9,769,700 9,117,523 42,993,923 24% Projects 4,200,000 7,980,000 8,379,000 8,379,000 7,855,923 36,793,923 Support activities 460, , , , ,600 3,940,000 Operations (Salaries) 400, , , , ,000 2,210,000 Equipments 20,000 10,000 5,000 10,000 5,000 50,000 Sub-Total Research Themes 16,600,000 30,633,000 31,702,450 31,772,963 29,738, ,446,670 78% II) Technical Services DED-P Office 1,115,000 1,152,000 1,190,500 1,227,519 1,270,076 5,955,094 3% Support activities 750, , , , ,525 3,942,531 Operations (Salaries) 360, , , , ,551 1,989,563 Equipments 5,000 5,000 5,000 3,000 5,000 23,000 Monitoring and Evauation 703, , , , ,953 3,734,082 2% Support activities 550, , , , ,953 2,890,582 Operations (Salaries) 150, , , , , ,500 Equipments 3,000 2,000 5,000 2,000 5,000 17,000 Partnerships & Capacity Dev t 1,366,000 2,451,000 3,602,000 3,608,000 3,017,493 14,044,493 8% Support activities 1,200,000 2,280,000 3,420,000 3,420,000 2,818,493 13,138,493 Operations (Salaries) 161, , , , , ,000 Equipments 5,000 2,000 5,000 2,000 5,000 19,000 Information Technology 340, , , , ,000 1,870,000 1% Support activities 100, , , , , ,000 Operations (Salaries) 210, , , , ,000 1,159,000 Equipments 30,000 35,000 50,000 30,000 40, ,000 Sub-Total Technical Servcies 3,524,000 4,683,250 5,926,156 5,983,742 5,486,522 25,603,669 14% III) Management & Administration Executive Director s Office 437, , , , ,000 2,420,000 1% Operations (Salaries) 272, , , , ,000 1,503,000 Technical support 60,000 63,000 66,000 69,000 72, ,000 Internal Audit 100, , , , , ,000 Equipments 5,000 15,000 5,000 6,000 5,000 36,

166 ASARECA Operational Plan High Budget Level 2014 US$ 2015 US$ 2016 US$ 2017 US$ 2018 US$ Total - HIGH US$ Cost Categories Financial Management 335, , , , ,000 1,860,000 1% Audit services 50,000 53,000 56,000 59,000 62, ,000 Operations (Salaries) 280, , , , ,000 1,547,000 Equipments 5,000 2,000 5,000 16,000 5,000 33,000 Administration & HRD 263, , , , ,000 1,490,000 1% Support activities Operations (Salaries) 248, , , , ,000 1,369,000 Equipments 15,000 51,000 20,000 15,000 20, ,000 Communication & 605, , , , ,775 3,316,282 2% Public relations Support activities Operations (Salaries) 345, , , , ,000 1,905,000 Publication & other activities 250, , , , ,775 1,380,282 Equipments 10,000 5,000 6,000 5,000 5,000 31,000 Procurement & Contracting 164, , , , , ,000 0% Support activities Operations (Salaries) 159, , , , , ,000 Equipments 5,000 3,000 5,000 3,000 6,000 22,000 Gender Mainstreaming 355, , , , ,000 1,960,000 1% Support activities 200, , , , ,000 1,107,000 Operations (Salaries) 150, , , , , ,000 Equipments 5,000 3,000 5,000 3,000 6,000 22,000 Sub-Total Management & Administration 2,159,000 2,299,500 2,376,125 2,493,881 2,617,775 11,946,282 7% IV) Board of Governance & General Assembly Board of Directors 250, , , , ,000 1,380,000 General Assembly 500, , ,000 1,650,000 Sub-Total Governance 750, , , , ,000 3,030,000 2% OVERALL TOTALS FOR OP2 ( ) 23,033,000 37,877,750 40,829,731 40,539,586 38,746, ,026, % 142

167 Annexes Medium Budget Level Cost Categories 2014 US$ 2015 US$ 2016 US$ 2017 US$ 2018 US$ Total - MEDIUM US$ I) Research Themes Eco-Systems 3,510,000 6,367,000 8,091,000 8,110,000 7,662,251 33,740,251 23% Projects 3,000,000 5,700,000 7,011,000 7,011,000 6,715,251 29,437,251 Support activities 250, , , , ,000 2,889,000 Operations (Salaries) 250, , , , ,000 1,379,000 Equipments 10,000 5,000 5,000 10,000 5,000 35,000 Markets & Market Linkages 3,660,000 6,972,000 9,150,250 9,174,763 9,002,701 37,959,713 26% Projects 3,000,000 6,000,000 8,100,000 8,100,000 7,917,150 33,117,150 Support activities 300, , , , ,000 2,876,000 Operations (Salaries) 350, , , , ,551 1,931,563 Equipments 10,000 5,000 5,000 10,000 5,000 35,000 Sustainable Agriculture 3,820,000 7,230,000 8,606,000 8,633,000 7,351,126 35,640,126 24% Projects 3,000,000 6,000,000 7,200,000 7,200,000 6,040,126 29,440,126 Support activities 400, , , , ,000 3,940,000 Operations (Salaries) 400, , , , ,000 2,210,000 Equipments 20,000 10,000 5,000 10,000 5,000 50,000 Sub-Total Research Themes 10,990,000 20,569,000 25,847,250 25,917,763 24,016, ,340,090 73% II) Technical Services DED-P Office 1,115,000 1,152,000 1,190,500 1,227,519 1,270,076 5,955,094 4% Support activities 750, , , , ,525 3,942,531 Operations (Salaries) 360, , , , ,551 1,989,563 Equipments 5,000 5,000 5,000 3,000 5,000 23,000 Monitoring and Evauation 703, , , , ,953 3,734,082 3% Support activities 550, , , , ,953 2,890,582 Operations (Salaries) 150, , , , , ,500 Equipments 3,000 2,000 5,000 2,000 5,000 17,000 Partnerships & Capacity 2,666,000 2,733,500 2,807,938 2,879,336 2,957,719 14,044,493 9% Development Support activities 2,500,000 2,562,500 2,625,938 2,691,336 2,758,719 13,138,493 Operations (Salaries) 161, , , , , ,000 Equipments 5,000 2,000 5,000 2,000 5,000 19,000 Information Technology 340, , , , ,000 1,870,000 1% Support activities 100, , , , , ,000 Operations (Salaries) 210, , , , ,000 1,159,000 Equipments 30,000 35,000 50,000 30,000 40, ,000 Sub-Total Technical Servcies 4,824,000 4,965,750 5,132,094 5,255,078 5,426,748 25,603,669 17% III) Management & Administration Executive Director s Office 437, , , , ,000 2,420,000 2% Operations (Salaries) 272, , , , ,000 1,503,000 Technical support 60,000 63,000 66,000 69,000 72, ,000 Internal Audit 100, , , , , ,000 Equipments 5,000 15,000 5,000 6,000 5,000 36,

168 ASARECA Operational Plan Medium Budget Level Cost Categories 2014 US$ 2015 US$ 2016 US$ 2017 US$ 2018 US$ Total - MEDIUM US$ Financial Management 335, , , , ,000 1,860,000 1% Audit services 50,000 53,000 56,000 59,000 62, ,000 Operations (Salaries) 280, , , , ,000 1,547,000 Equipments 5,000 2,000 5,000 16,000 5,000 33,000 Administration & HRD 263, , , , ,000 1,490,000 1% Support activities Operations (Salaries) 248, , , , ,000 1,369,000 Equipments 15,000 51,000 20,000 15,000 20, ,000 Communication & Public 605, , , , ,775 3,316,282 2% relations Support activities Operations (Salaries) 345, , , , ,000 1,905,000 Publication & other activities 250, , , , ,775 1,380,282 Equipments 10,000 5,000 6,000 5,000 5,000 31,000 Procurement & Contracting 164, , , , , ,000 1% Support activities Operations (Salaries) 159, , , , , ,000 Equipments 5,000 3,000 5,000 3,000 6,000 22,000 Gender Mainstreaming 355, , , , ,000 1,960,000 1% Support activities 200, , , , ,000 1,107,000 Operations (Salaries) 150, , , , , ,000 Equipments 5,000 3,000 5,000 3,000 6,000 22,000 Sub-Total Management & Administration 2,159,000 2,299,500 2,376,125 2,493,881 2,617,775 11,946,282 8% IV) Board of Governance & General Assembly Board of Directors 250, , , , ,000 1,380,000 General Assembly 500, , ,000 1,650,000 Sub-Total Governance 750, , , , ,000 3,030,000 2% OVERALL TOTALS FOR OP2 ( ) 18,723,000 28,096,250 34,180,469 33,955,722 32,964, ,920, % 144

169 Annexes Low Budget Level Cost Categories 2014 US$ 2015 US$ 2016 US$ 2017 US$ 2018 US$ Total - LOW US$ I) Research Themes Eco-Systems 2,333,786 4,317,691 4,543,388 4,598,708 3,993,729 19,787,302 22% Projects 1,807,120 3,614,240 3,794,952 3,794,952 3,252,816 16,264,081 Support activities 177, , , , ,603 1,596,173 Operations (Salaries) 343, , , , ,360 1,897,299 Equipments 5,950 5,950 5,950 5,950 5,950 29,750 Markets & Market Linkages 2,558,893 4,767,985 5,016,150 5,035,078 4,435,158 21,813,264 24% Projects 2,033,025 4,066,050 4,269,353 4,269,353 3,659,445 18,297,225 Support activities 176, , , , ,403 1,588,990 Operations (Salaries) 343, , , , ,360 1,897,299 Equipments 5,950 5,950 5,950 5,950 5,950 29,750 Sustainable Agriculture 2,558,660 4,756,578 5,008,829 5,027,757 4,449,149 21,800,974 24% Projects 1,946,319 3,892,639 4,087,271 4,087,271 3,503,375 17,516,875 Support activities 260, , , , ,914 2,344,300 Operations (Salaries) 343, , , , ,360 1,897,299 Equipments 8,500 8,500 8,500 8,500 8,500 42,500 Sub-Total Research Themes 7,451,339 13,842,254 14,568,367 14,661,543 12,878,036 63,401,540 70% II) Technical Services DED-P Office 551, , , , ,535 3,953,610 4% Support activities 260, , , , ,248 2,345,806 Operations (Salaries) 287, , , , ,378 1,588,254 Equipments 3,910 3,910 3,910 3,910 3,910 19,550 Monitoring and Evauation 336, , , , ,167 2,520,080 3% Support activities 191, , , , ,435 1,719,896 Operations (Salaries) 142, , , , , ,734 Partnerships & Capacity Dev t 1,019,026 1,808,127 1,947,882 1,955,996 1,915,874 8,646,904 10% Support activities 868,600 1,650,341 1,782,368 1,782,368 1,733,726 7,817,403 Operations (Salaries) 147, , , , , ,351 Equipments 3,230 3,230 3,230 3,230 3,230 16,150 Information Technology 243, , , , ,930 1,447,920 2% Support activities 34,774 66,071 71,357 71,357 69, ,970 Operations (Salaries) 176, , , , , ,700 Equipments 31,450 31,450 31,450 31,450 31, ,250 Sub-Total Technical Servcies 2,150,367 3,407,662 3,653,213 3,694,765 3,662,507 16,568,514 18% III) Management & Administration Executive Director s Office 373, , , , ,864 2,112,978 2% Operations (Salaries) 256, , , , ,855 1,417,678 Technical support 32,725 34,361 37,797 41,577 49, ,350 Internal Audit 78,058 81,961 90,157 99, , ,350 Equipments 6,120 6,120 6,120 6,120 6,120 30,

170 ASARECA Operational Plan Low Budget Level Cost Categories 2014 US$ 2015 US$ 2016 US$ 2017 US$ 2018 US$ Total - LOW US$ Financial Management 291, , , , ,231 1,628,548 2% Audit services 46,667 49,000 53,900 59,290 71, ,000 Operations (Salaries) 238, , , , ,478 1,320,498 Equipments 5,610 5,610 5,610 5,610 5,610 28,050 Administration & HRD 217, , , , ,417 1,188,637 1% Support activities Operations (Salaries) 196, , , , ,847 1,085,787 Equipments 20,570 20,570 20,570 20,570 20, ,850 Communication & 298, , , , ,331 1,713,123 2% Public relations Support activities Operations (Salaries) 156, , , , , ,505 Publication & other activities 136, , , , , ,268 Equipments 5,270 5,270 5,270 5,270 5,270 26,350 Procurement & Contracting 118, , , , , ,490 1% Support activities Operations (Salaries) 114, , , , , ,790 Equipments 3,740 3,740 3,740 3,740 3,740 18,700 Gender Mainstreaming 230, , , , ,768 1,325,947 1% Support activities 109, , , , , ,665 Operations (Salaries) 117, , , , , ,582 Equipments 3,740 3,740 3,740 3,740 3,740 18,700 Sub-Total Management & Administration 1,529,908 1,604,151 1,703,321 1,809,572 1,974,770 8,621,722 10% IV) Board of Governance & General Assembly Board of Directors 117, , , , , ,800 General Assembly 163, , , , , ,750 Sub-Total Governance 280, , , , ,270 1,685,550 2% OVERALL TOTALS FOR OP2 ( ) 11,412,538 19,149,039 20,249,370 20,522,795 18,943,583 90,277, % 146

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172 ASARECA Operational Plan