Small-Scale and Micro Irrigation Support (SMIS) Project

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2 Small-Scale and Micro Irrigation Support (SMIS) Project Project Inception Report (PIR) FINAL DRAFT - JUNE 24, 2015 SUBMITTED TO: THE PROJECT SUPERVISORY BOARD AND THE EMBASSY OF THE KINGDOM OF THE NETHERLANDS PO Box 1241, Addis Ababa, Ethiopia SUBMITTED BY: AGRITEAM CANADA CONSULTING LTD. SUITE 200, BANNISTER ROAD S.E. CALGARY AB T2X 1Z2 TELEPHONE: FACSIMILE:

3 TABLE OF CONTENTS TABLE OF CONTENTS... i EXECUTIVE SUMMARY... ix 1 INTRODUCTION Background Project Context and Rationale The Policy Context SSI Capacity Building Strategy for Ethiopia (2011) The SMIS Project Project Inception Phase Inception Period Inception Phase Methodology Work Conducted and Outputs Personnel Recruitment and Mobilization Project Offices PROJECT CONCEPTS AND DESCRIPTION Project Vision, Reach and Beneficiaries Vision Reach Target Groups Project Description and Components The Logic Model Component 1: SSI Capacity Building Component 2: CD of Selected A-TVET Colleges Component 3: Promotion of HHMI Cross-cutting Themes Strategies Gender and Nutrition Environmental Strategies Sustainability and Risk Management Strategies Sustainability and Phasing of CD Risk-Management Strategies Challenges, Issues, Constraints and Opportunities PROJECT ORGANIZATION AND MANAGEMENT Management Approach and Organization General Approach Management Structure Reporting Protocols and Schedule Project Governance and Implementation Structures Roles and Responsibilities within Project Governments Agriteam Consortium Members Project Management Team International and National SMS Ministry of Agriculture Project Inception Report (PIR) i June 2015

4 TABLE OF CONTENTS Ministry of Water, Irrigation and Energy Supporting and Collaborating Institutions Other Participating Agencies and Advisors Potential Opportunities for Synergy with Other Relevant Programmes and Projects PROJECT IMPLEMENTATION Approach to Implementation Results Chain for SMIS Work Breakdown Structure Capacity Development and PIDM Approach SMIS Capacity Development Approach Participatory Irrigation Development and Management Approach Mainstreaming of Cross-Cutting Themes and RBM Mainstreaming Gender and Nutrition Mainstreaming Environment Implementing RBM Schedule and Timing of Activities Human Resources Assigned (Personnel Inputs) Procurement of Goods, Equipment and Materials Work Places, Logistics and Communications Office Facilities, Vehicles and Equipment Logistics and Support Services Communications ANNUAL WORK PLANNING Summary of First Year AWP PROJECT PERFORMANCE MEASUREMENT Project Inception Report (PIR) ii June 2015

5 TABLE OF CONTENTS Appendices Appendix A: Appendix B: Appendix C: Appendix D: Appendix E: Appendix F: Appendix G: Appendix H: Tables Table 1.1: Table 1.2: Table 2.1: Table 3.1: Table 3.2: Table 3.3: Table 4.1: Table 4.2: Figures Figure 1.1: Figure 3.1: Figure 4.1: Letter of Understanding between Ethiopian Ministry of Agriculture and Agriteam Canada SMIS Logic Model Data Collection Questionnaires Summary of EOS Unit Competence Charts Details of Key Programmes and Projects that are Relevant to SMIS Project Short Description of PIDM Steps GANTT Chart Schedule of Planned Activities Details of National and SMS Qualifications and Experience Strategic Directions Logic Model Matrix Number of Questionnaires Completed by Administrative Level Risk Register Schedule of SMIS Project Reports Federal Institutions Relevant for SMIS Summary of Key Regional Partner Institutions and Supporting Institutions Suggested NRM Involvement Contributing to Project Outputs List of SMIS Project Staff and Subject Matter Specialists Number of Participants by Sex, by Region Project Organizational Chart Key SSI/MI Activities and Linkages to Environmental Values Annexes The following reports are the results of the situational and capacity needs assessments that were conducted during the inception phase. Each annex is a separate report. Copies of any or all of these reports are available upon request from the SMIS NPMU in Addis Ababa. Annex 1: Institutional Capacity to Manage and Coordinate SSI and MI Annex 2: Technical Skills & Tools/Equipment Related to SSI Annex 3: Assessment for Selection of A-TVET/TVETs Annex 4: Integrated Watershed and Environmental Management Annex 5: Gender-Responsive Irrigation Extension System Annex 6: Pump Standards and Pumps Testing Capacity Annex 7: Gender Review of Small Scale and Micro Irrigation Annex 8: Water Users' Organisations / Irrigation Water Users' Associations Capacity Assessment Report Annex 9: Household Micro Irrigation Technical Competencies Capacity Assessment Report Annex 10: Analysis and Recommendations of Steps Required in Relation to Integrated Watershed and Environmental Management for SMIS Project Inception Report (PIR) iii June 2015

6 ACRONYMS ABSF ADLI ADSWE AGP AMW AO APR A-TVET ATA ATTSVE AWM AWP AWWCE B-TVET BoA BoARD BoCP BoEPLUA BoFED BoH BoMC BoQ BoWCYA BoWR BoWRD BWA C/M CASCAPE CBID CBPWD CD CoEIWM CPA DA DFATD ECAE EFY EIA EIAR EKN EMP ENQF Agribusiness Support Facility Agricultural Development-Led Industrialization Amhara Design and Supervision Works Enterprise Agricultural Growth Program Agricultural Mechanization Wing Administrative Officer Annual Progress Report Agricultural Technical Vocational Education and Training Agriculture Transformation Agency Agricultural Transformation through Stronger Technical Education Agricultural Water Management Annual Work Plans Amhara Waterworks Construction Enterprise Bureau Technical Vocational Education and Training Bureau of Agriculture Bureau of Agriculture and Rural Development Bureau of Cooperative Promotion Bureau of Environmental Protection and Land Use Authority Bureau of Finance and Economic Development Bureau of Health Bureau of Marketing and Cooperative Bill of Quantities Bureau of Women, Children and Youth Affairs Bureau of Water Resources (Tigray) Bureau of Water Resource Development (Amhara) Bureau of Women s Affairs Cleaner/Messenger Capacity Building for Scaling-Up of Evidence-Based Best Practices in Agricultural Practices in Ethiopia Capacity Building in Irrigation Development Community-Based Participatory Watershed Development Capacity Development Center of Excellence for Irrigation Water Management Cooperative Promotion Agency Development Agents Department of Foreign Affairs, Trade and Development (Canada) Ethiopian Conformity Assessment Enterprise Ethiopian Fiscal Year Environmental Impact Assessments Ethiopian Institute of Agricultural Research Embassy of the Kingdom of the Netherlands Environmental Management Plan Ethiopian National Qualifications Framework Project Inception Report (PIR) iv June 2015

7 ACRONYMS EOS EPA EPLAUA ESA ESIA ESMF ETB EthioSYS ETQF FAM FCU FO FTC G4AW GDP GEF GIS GIZ GIACIS GoE GPS GTP HHMI IC ICT ICTA I&D IDE IDSAA IFAD IMT INM IPM IRTL ISF ISSD IWM IWMI IWUA JES JICA LAEPCP LALEP LIVES LM LOU Ethiopian Occupational Standards Environmental Protection Authority Environmental Protection, Land use and Administration Agency Ethiopian Standard Authority Environmental and Social Impact Assessments Environmental and Social Management Framework Ethiopian Birr Ethiopia Soil Information System Ethiopian Technical Vocational Education and Training Qualification Framework Finance and Administration Manager Amhara Waterworks Construction Enterprise Finance Officer Farmer Training Centres Geodata for Agriculture and Water Gross Domestic Product Global Environment Facility Geographic Information System Die Deutsche Gesellschaft für Internationale Zusammenarbeit Geodata for Innovative Agricultural Credit Insurance Schemes Government of Ethiopia Global Positioning System Growth and Transformation Plan Household Micro-Irrigation Irrigation Cooperatives Information and Communications Technology International Chief Technical Advisor Irrigation and Drainage International Development Enterprise Irrigation Development and Scheme Administration Agency (SNNPR) International Fund for Agricultural Development Irrigation Management Transfer Integrated Nutrient Management Integrated Pest Management International Regional Team Leaders Irrigation Service Fee Integrated Seed Sector Development Integrated Watershed Management International Water Management Institute Irrigation Water Users Associations Job-Embedded Support Japan International Cooperation Agency Land Administration and Environment Protection Core Process Land Administration, Land Use and Environmental Protection Agency Livestock and Irrigation Value-Chains for Ethiopian Smallholders Logic Model Letter of Understanding Project Inception Report (PIR) v June 2015

8 ACRONYMS M&E Monitoring and Evaluation MCB Marketing and Cooperative Bureau MD Market Development MDG Millennium Development Goals MERET Managing Environment Resources for Transition MFI Micro Finance Institutions MI Micro-Irrigation MoA Ministry of Agriculture MoE Ministry of Education MoFED Ministry of Finance and Economic Development MOU Memorandum of Understanding MoWE Ministry of Water and Energy MoWIE Ministry of Water, Irrigation and Energy MoWYCA Ministry of Women, Youth and Children s Affairs MUS Multiple Uses of Water NCTA National Chief Technical Advisor NEPAD The New Partnership for Africa's Development NGO Non-governmental Organizations NICHE Netherlands Initiative for CD in Higher Education NPMU National Project Management Unit NRM Natural Resources Management NRMD Natural Resources Management Directorate NRMEPA Natural Resource Management and Environmental Protection Agency NRTL National Regional Team Leaders NUFFIC Netherlands Universities Foundation for International Cooperation O&M Operations and Maintenance OFWM On-Farm Water Management OIDA Oromia Irrigation Development Authority ORDA Organization for Rural Development in Amhara Region OS Occupational Standards OWWDSE Oromia Water Works Design and Supervision Enterprise PASDEP Plan for Accelerated and Sustained Development to End Poverty PASIDP Participatory Small Scale Irrigation Development Program PCU Project Coordination Unit PD Project Director (Canada-Based) PIDM Participatory Irrigation Development and Management PIF Policy and Investment Framework (Agriculture Sector) PIP Project Implementation Plan PIR Project Inception Report PIT Project Implementation Teams PMF Performance Measurement Framework PSB Project Supervisory Board PSNP Productive Safety Net Programme PY Project Year QSPP Quality Seed Promotion Project RARI Regional Agricultural Research Institutes RBM Results-Based Management Project Inception Report (PIR) vi June 2015

9 ACRONYMS REST Relief Society of Tigray RFP Request for Proposal RFQ Request for Quotation RLEPB Rural Land and Environmental Protection Bureau (Oromia) RPMU Regional Project Management Unit RPI Responsible Public Institutions RPPI Responsible Public and Private Institutions RSB Regional Supervisory Boards RTC Regional Technical Committees SAPR Semi-annual Progress Report SDCSE Southern Nation Design, Construction, Supervision Enterprise SEIA Strategic Environmental Impact Assessments SG Security Guard SLM Sustainable Land Management SMIS Small Scale and Micro Irrigation Support SMS Subject-Matter Specialists SNNPR Southern Nations, Nationalities and People s Region SO Strategic Objective SSI Small Scale Irrigation SSID Small Scale Irrigation Directorate SSIDSAA Small Scale Irrigation Development and Scheme Administration Agency SSMI Small Scale Micro Irrigation SWWCE Southern Nation Waterworks and Construction Enterprise TAMPA Tigray Agricultural Market Promotion Agency TAT Technical Assistance Team TIN Tax Identification Number ToR Terms of Reference ToT Training of Trainers TTLM Teaching, Training and Learning Materials TVET Technical Vocational Education and Training TWWCE Tigray Waterworks and Construction Enterprise TWWSDSE Tigray Water Works Study, Design and Supervision Enterprise USAID United States Agency for International Development VAT Value-added Tax VHL Van Hall Larenstein University of Applied Sciences WAB Women s Affairs Bureau WAD Women Affairs Directorate WBS Work Breakdown Structure WCAB Women and Children s Affairs Bureau WCYAB Women, Children and Youth Affairs Bureau WFP World Food Programme WoA Woreda Office of Agriculture WRD Water Resource Department WTI Water Technology Institute I/WUA Irrigation/Water User Association WUO Water User Organizations ZoA Zonal Office of Agriculture Project Inception Report (PIR) vii June 2015

10 EXECUTIVE SUMMARY With funding from the Netherlands and Canada, the Small-Scale and Micro Irrigation Support (SMIS) Project aims to support the Ministry of Agriculture (MoA) with the implementation of the adopted Small-Scale Irrigation (SSI) Capacity Building Strategy. The objective of the SSI Capacity Building Strategy is to undertake infrastructural, institutional and human resource capacity building which will help the country to optimize the efficient use of water resources with improved land management of smallholder irrigated agriculture development. More information about the SSI Capacity Building Strategy and other relevant policies are summarized in Section 1.3 of this report. The SMIS project has three key components, namely: SSI Capacity Development (CD) (Component 1), CD of Agricultural Technical Vocational Education and Training (A-TVET) Colleges (Component 2); and, promotion of Micro Irrigation (MI) (Component 3). The objective of Component 1, SSI CD, is to address the institutional, human and technical capacity gaps of the public and private institutions involved in the development of SSI and irrigated agriculture. The objective of Component 2, CD of A- TVET Colleges is to provide CD support to four selected A-TVET Colleges including the establishment of demonstration plots and to support the development of a Centre of Excellence for Irrigation Water Management (CoEIWM) as a separate unit within an existing A-TVET College. The main aim of Component 3, promotion of MI, is to promote irrigated farming at the household level by introducing suitable MI systems, including low-cost and effective pumps and rainwater harvesting structures. The expected results in the form of outcomes and outputs under each component have been developed through extensive consultation with relevant public and private institutions at the federal and regional levels. They are presented in the SMIS Logic Model (section 2.1) and in the SMIS Work Breakdown Structure (section 4.2) in this report. SMIS s target beneficiaries are the public and private institutions at regional, zonal and woreda levels that are involved in the development of SSI, MI and irrigated agriculture; A-TVET Colleges; local entrepreneurs involved in manufacturing, installation and maintenance of hand-driven and motorized pumps, and unemployed youth and landless women interested in training in hand-drilling techniques. Through its National Project Management Unit (NPMU) in Addis Ababa and its four Regional Project Management Units (RPMU) in Tigray, Amhara, Oromia and Southern Nations, Nationalities and People s Region (SNNPR), the SMIS project will support the transformation of concerned government agencies from an approach-focused on implementation to one with more emphasis on planning, coordination and supervision of activities related to development of SSI, MI and irrigated agriculture. Section 2.2 of this report provides a comprehensive description of the SMIS project. This Project Inception Report (PIR) presents the results of the work completed during the inception phase of the SMIS project. It also presents the project implementation plan. The PIR outlines the five-year conceptual approach and strategies for the implementation of the SMIS project as well as its logical framework. The SMIS implementation strategy places the key partner institutions at the heart of the project. The PIR provides details of the methodologies being adopted; descriptions of immediate outcomes and outputs for each of the SMIS three components; mainstreaming of crosscutting themes; implementation schedules; human resources assigned; work locations; logistical arrangements; the communications strategy as well as project management and support systems. Project Inception Report (PIR) viii June 2015

11 EXECUTIVE SUMMARY The inception phase activities are critical to all subsequent project activities and were designed to invite participation from a wide range of stakeholders and to establish SMIS as a capacity building project anchored to key implementing institutions. An essential step in this phase was the signature of a Letter of Understanding (LoU) between the MoA and Agriteam Canada with EKN signing as witness. As an integral part of the SMIS inception mission, international subject matter specialists (SMS), SMIS staff and Government of Ethiopia (GoE) counterparts conducted a rapid institutional assessment in all four regions and at the federal-level. The capacity assessments were designed to validate the main issues related to SSI and MI CD, as outlined in the Small-Scale Irrigation Situation Analysis and Capacity Needs Assessment (2011). The purpose of the assessment work was to conduct an institutional analysis of the SSI and MI sector in order to identify priority capacity gaps. The results of the assessment were captured in ten separate assessment reports covering focus areas such as SSI capacity, institutional capacity, A-TVET, gender, irrigation extension, integrated watershed and environment and pumps standards. All of these reports are listed as Annexes with this PIR. Copies are available from the NPMU on request. A federal-stakeholder workshop was used to seek essential inputs to the Logic Model (LM) from the SMIS stakeholders to build consensus and to ensure that the project responds to current needs identified by the partner institutions. The official launch of the SMIS project was also conducted during this workshop. The outcomes of the federal stakeholder workshop were validated in each target region. The regional stakeholder workshops provided essential input about the regional priorities. Project start-up activities were completed during the inception period. Long-term international staff were mobilized and national experts and project support staff were recruited. The management structure and systems were established. Administration and financial procedures were put in place and a staff orientation workshop was conducted. Section 1.5 provides more detailed information about the work that was completed during the inception phase. Strategies to support project implementation were developed during the inception phase including strategies for mainstreaming SMIS s cross-cutting themes of gender, nutrition and environment as well as mitigation strategies for addressing the SMIS risks and challenges and strategies for ensuring sustainability of SMIS results. Details of these strategies are described in sections 2.3 and 2.4 of this report. Capacity building support to A-TVET Colleges and the establishment of a CoEIWM as a separate unit within an existing A-TVET College will begin in PY1 of SMIS. Based on an agreement with Alage A- TVET and Natural Resources Management Directorate (NRMD) on sustaining and operating the CoEIWM development plan, SMIS will provide support to initiate the infrastructure development with the aim to make the CoEIWM functional as soon as possible. The following A-TVET Colleges have been recommended and approved for SMIS support: Kombolcha (Oromia Region) Kombolcha (Amhara) Wukro (Tigray Region) Wolaita Sodo (SNNP) Project Inception Report (PIR) ix June 2015

12 EXECUTIVE SUMMARY SMIS is governed by the National Project Supervisory Board (PSB). Regional Supervisory Boards (RSB) govern project planning and implementation in each of the four regions. As Agriteam has overall project management responsibility, a Canada-based project director (PD) is assigned to support the SMIS management team in Ethiopia. The International Chief Technical Advisor (ICTA), National Chief Technical Advisor (NCTA), International Regional Team Leaders (IRTL) and National Regional Team Leaders (NRTL) form the core management team in Ethiopia. They are responsible for ensuring highquality performance from project staff and consultants and results that are consistent with project objectives. An extensive array of partner and supporting institutions were identified during the inception period; some as target beneficiaries, others as working partners and others still as supporting institutions. The project s primary counterpart agency is the MoA through the NRMD and/or SSI Directorates. The names, roles and responsibilities of these organizations are presented in section 3.2 of this report. The elements of the SMIS project implementation plan are described in section 4 including the CD and the Participatory Irrigation Development and Management (PIDM) approach that will be used. A key feature of the CD approach is job-embedded support (JES), based on the project s design, where SMIS experts provide coaching, mentoring or side-by-side support to their counterparts to strengthen the capacity of individuals and their organizations. Another key feature of the implementation plan is the emphasis on the PIDM approach. The four phases and 19 steps of the PIDM approach are described in detail in section 4.3 of this report. There are 22 international positions and 72 national positions in SMIS. Most of these positions were filled during the inception phase. This large contingent of project personnel reflects the emphasis in the design of the SMIS project on the provision of technical assistance and JES to the public and private institutions that are the project s target groups. Details about all of SMIS personnel are provided in section 4.6 and at Appendix H. The SMIS project has a total budget of million. The allocation of the budget by output and by year was calculated based on the work breakdown structure and five-year implementation plan. A large portion of the budget is designated as fixed operating costs associated with the five project offices and large number of staff and consultants engaged by SMIS. Project expenditures are estimated to be 4.5 million per year, based on the project implementation plan. Expenditures in PY2 will be slightly higher, estimated at 5.3 million, as that will be a period of intense project activities. A five-year liquidity plan has been prepared which will be updated on an annual basis. Details of the budget and other finance matters are covered in section 4.7 of this report. The PIR also outlines the project procurement plans and procedures, which are based on universal procurement practices and GoE procurement regulations, in section 4.8. The AWPs for PY1 (July 8, 2015 to July 7, 2016) were prepared by each of the four RPMUs in close collaboration with their regional partners during the inception period. These regional plans have been consolidated into one annual work plan prepared as a separate document The work plan lays a solid foundation for the CD, training programs, pilot and demonstration, institutional equipment, special studies, consulting personnel, project expenditures and various activities, all to be conducted under a carefully selected methodology and organizational structure over the five-year period (November 2014 to November 2019). Project Inception Report (PIR) x June 2015

13 EXECUTIVE SUMMARY The development of the monitoring and evaluation (M&E) framework for the project started during the inception phase and will be completed early in the first quarter of PY1. The Performance Measurement Framework (PMF) is the core element of the M&E system, and will include baseline data as well as agreed indicators and benchmarks for measuring performance. The PMF will be developed in collaboration with relevant regional government agencies and vetted by the RSB through regional validation workshops. The PMF will be presented to the PSB for final review and approval by September The PIR and the AWP for PY1 were presented to the PSB for discussion and approval at the first PSB meeting on June 17, This version of the PIR has been revised to reflect the comments and decisions of the PSB. Project Inception Report (PIR) xi June 2015

14 1 INTRODUCTION With funding from the Government of the Netherlands through the Embassy of the Kingdom of the Netherlands (EKN) in Ethiopia and the Government of Canada through the Department of Foreign Affairs, Trade and Development (DFATD), the SMIS Project aims to support the GoE through the MoA with the implementation of the adopted SSI Capacity Building Strategy. In line with the SSI Capacity Building Strategy of the MoA, the objective of the SMIS is: "To ensure that the concerned public and private institutions within each of the four regional states have the institutional, human and technical capacity required for gender-responsive identification, planning, design, construction and management support of sustainable SSI systems and MI schemes in a coordinated manner and according to the adopted integrated watershed-based approach". The SMIS project was initially designed in A two-stage competitive tendering process was completed between April 2014 (Expressions of Interest) and August 2014 (Requests for Proposals (RFP)). The SMIS project inception period began in November 2014 immediately following the contracting of the consortium led by The Ethiopia MoA is the primary government counterpart agency for the SMIS and has designated its responsibilities to the Natural Resources Management Directorate (NRMD). A key activity completed during the inception period, was the negotiation and approval of a Letter of Understanding (LOU) that sets out the responsibilities of the EKN, MoA and Agriteam in relation to the implementation of the SMIS project. A copy of the LOU is attached as Appendix A of this report. This PIR presents the results of the work completed during the inception phase of the SMIS project. The work was completed in two phases: a pre-inception phase from November to December 2014, and; the inception phase between January and June In addition to the conventional project inception activities (stakeholder meetings, capacity needs assessments, etc.), the logistical work of project start-up was undertaken simultaneously during this period including setting up offices, recruitment and mobilization of international and national staff and procurement of project vehicles and equipment. Stakeholder workshops were conducted at federal and regional levels. The PIR was presented and approved by the Project Supervisory Board (PSB) at the first PSB meeting on June 17, This is the final draft of the PIR and reflects the comments and decisions provided by the Chair and members of the PSB. The PIR presents the following: Project concept and description: Building on the RFP Terms of Reference (ToR) and the Technical and Financial Proposals submitted by the Agriteam consortium, the PIR outlines the five-year conceptual approach and strategies for the implementation of the SMIS project as well as its logical framework; its vision, reach and target beneficiaries; the procedure and criteria for selecting the zones and woredas/districts of focus for SMIS; the strategies to be followed for integrating SMIS cross-cutting themes; and a summary of its scope and components. Project organization and management: The PIR provides details pertaining to arrangements for governance and management of the SMIS project including its management approach and structures; roles and responsibilities of key staff and partner institutions, and; the Results-Based Management (RBM) strategy that will be followed. Project Inception Report (PIR) 1 June 2015

15 1 INTRODUCTION Project implementation: A large portion of the PIR relates to the implementation of the SMIS project: the methodologies being adopted; descriptions of immediate outcomes and outputs for each of the SMIS three components; mainstreaming of cross-cutting themes; implementation schedules; human resources assigned; work locations; logistical arrangements; and communications strategy and systems. SMIS First Annual Work Plan (AWP): The PIR also provides summary information about the first AWP covering the period July 8, 2015 to July 7, 2016, including: scope of work and expected results; personnel mobilization, organizational and setting up arrangements; activities and schedules; level of effort; and personnel schedules. The detailed first-year AWP is being submitted as a separate document. Risks, mitigating strategies and reporting requirements: The PIR provides details about operating protocols such as project budget and disbursement schedule, including an analysis of financial management issues as well as an analysis of risks and recommended mitigation strategies. It also describes the project reporting formats and schedule. The Appendices that are attached to the PIR document provide additional and/or supporting information. The Annex to the PIR listed in the Table of Contents and compiled under separate volume, are presented separately. Hard copies of this Annex are available for consultation at the SMIS NPMU office in Addis Ababa. 1.1 Background Agriculture is the leading sector of Ethiopia s economy contributing 83% of employment to rural population, 41.6% to the country s Gross Domestic Product (GDP) in and about 85% of its export earnings (SSI Capacity Building Strategy, MoA, 2011). The smallholder farming systems are mostly dependent on rain-fed agriculture, however, the annual rainfall is highly variable and characterized by spatial and temporal differences. Despite recent positive improvement in agriculture production, food security is a major concern due to rapid population growth and declining natural resource base. The GoE has given prime attention to smallholder irrigation development in the country s development agenda as a means of modernizing Ethiopia s agricultural economy and achieve food security. The irrigation potential of Ethiopia is estimated to be about million hectares. Preliminary studies and professional estimates indicate that only about 20-23% of the potential is currently put under irrigated agriculture. Recent estimates suggest that the total irrigated area under SSI has reached to 853,000 hectare. It is estimated that SSI development can achieve 1,850,000 hectare by the end of the five years Growth and Transformation Plan (GTP) of 2015 (GTP, 2010). The major limitations to the development of the irrigation sub-sector, among others, are: (i) reliance on traditional farming systems, (ii) inadequate improved agricultural inputs, (iii) limited access to improved irrigation technologies, (iv) inadequate trained human resources, (v) inadequate agricultural extension services and investment capital, (vi) absence of appropriate institutions at different levels responsible for the promotion, planning and development of irrigated agriculture, and (vii) inadequate information systems on agricultural water management and irrigation development. Project Inception Report (PIR) 2 June 2015

16 1 INTRODUCTION SSI is defined as traditional and modern irrigation schemes that are owned and managed by smallholders, where irrigation water is being supplied and used for irrigation purposes from rivers, ponds, lakes, springs and groundwater sources using different water abstraction techniques, and with the water being supplied to the irrigation fields using different irrigation methods in order to satisfy crop water requirements. MI refers to very small irrigated plots, usually at the household level. Traditional SSI has a long history in Ethiopia. Rural communities living near water sources have been developing SSI for decades and even centuries with minimal or no support from external bodies, such as the government or non-governmental organizations (NGOs). Most of the traditional SSI schemes are served by temporary river diversion structures made of boulders and other locally available materials. Modern SSI schemes began to emerge after the devastating drought and famine of the 1980s. They were established either by the government or NGOs. Almost all are gravity-fed involving river diversions and micro dams. Recognizing that the agricultural potential of arable land is not being achieved, the GoE, and its development partners have established a number of initiatives and policies to address this situation. They have indicated that irrigation development and expansion is a major element of their GTP. Although there are a number of large- and medium-scale irrigation schemes, SSI is being promoted where farmers can economically and sustainably gain access to low volumes of irrigation water within their home communities. The GoE recognizes the potential of this sector and, in October 2011, released the Small-Scale Irrigation Situation Analysis and Capacity Needs Assessment, which was followed shortly thereafter by the Small-Scale Irrigation Capacity Building Strategy for Ethiopia. The SMIS project is a capacity building initiative and also a means to expand the SSI planning and implementation capacity of local government water and agriculture officials, the A-TVET Colleges, and the farmers who will use the newly-provided water and technologies to increase yields and quality of their produce. 1.2 Project Context and Rationale In 2010, the MoA launched a strategic planning exercise to identify prevailing constraints with a view to set priorities and systematically plan actions directed to realistically achieve the objective of SSI development as set out in the GTP. The Small-Scale Irrigation Capacity Building Strategy for Ethiopia was developed which sets the priorities and a roadmap for the small-holder irrigation sub-sector and to achieve food security. The SMIS implementation strategy places the key partner institutions at the heart of the project. Through its NPMU in Addis Ababa and its four regional project offices in Tigray, Amhara, Oromia and SNNPR, the SMIS project will support the transformation of concerned government agencies from an approach focused on implementation to one with more emphasis on planning, coordination and supervision of activities related to development of SSI, MI and irrigated agriculture. With a total budget of 20 million and a five-year term ( ), the SMIS project has three key components, namely: SSI CD (Component 1), SSI and MI CD of A-TVET Colleges (Component 2) and promotion of MI (Component 3). Project Inception Report (PIR) 3 June 2015

17 1 INTRODUCTION SMIS will address a number of issues now affecting public institutions. With the active participation of these institutions and their representatives at the regional, zonal and woreda levels, the SMIS will provide technical assistance in the form of teams comprised of international and Ethiopian advisors and specialists. Working closely with counterpart staff, the SMIS teams will lead and support CD activities including training programs, pilot and demonstration projects, special studies, consulting personnel and other relevant activities, all to be conducted under a carefully selected methodology and organizational structure. 1.3 The Policy Context In recent years, between 13% and 17% of all government expenditures have been channeled towards agriculture and natural resources management (NRM). While almost half of this expenditure supports chronically food-insecure households, investments are also directed towards expanding the extension system or large-scale infrastructure to foster continued growth in agriculture and agro-processing. The government is complementing its efforts in food-insecure areas with an increased commitment to raise national food production by investing in areas with high agricultural potential (World Bank 2010). The following is a summary of the policy context that defines the roadmap for SSI development. Agriculture Development-led Industrialization Since 1991, the government has been implementing its strategy of ADLI that sees agriculture as the engine of growth. Its main thrust has been to: (i) improve agricultural extension services; (ii) promote better use of land and water resources; (iii) enhance access to financial services; (iv) improve access to domestic and export markets; and (v) provide rural infrastructure. Plan for Accelerated and Sustained Development to End Poverty (PASDEP) The PASDEP was implemented from to and it aimed to: (i) improve implementation capacity; (ii) promote accelerated and sustained economic growth; (iii) manage population growth; (iv) empower women; (v) strengthen infrastructure; (vi) develop human resources; (vii) manage risk and volatility; and (viii) create employment opportunities. In the agricultural sector, PASDEP called for: (i) market-based agricultural development; (ii) increased private sector investment; (iii) specialized support services for differentiated agro-ecological zones; (iv) improved rural-urban linkages; and (v) special efforts to support pastoral development. These objectives were underpinned by investments to improve rural infrastructure, enhance access to financial services, promote irrigation development, ensure land tenure security, and improve the performance of agricultural markets. PASDEP also recognized the urgent need to better manage the natural resource base and protect the environment. Agricultural Sector Policy and Investment Framework (PIF) The goal of the Agricultural Sector PIF is to contribute to Ethiopia s achievement of middle income status by 2020, whereas its development objective aims to sustainably increase rural incomes and national food security. This objective embodies the concepts of producing more, selling more, nurturing the environment, eliminating hunger and protecting the vulnerable against shocks. PIF has the following main themes, each with its own Strategic Objective (SO): Project Inception Report (PIR) 4 June 2015

18 1 INTRODUCTION Productivity and Production - SO1: To achieve a sustainable increase in agricultural productivity and production. Rural Commercialisation - SO2: To accelerate agricultural commercialisation and agroindustrial development. NRM - SO3: To reduce degradation and improve productivity of natural resources. Disaster Risk Management and Food Security - SO4: To achieve universal food security and protect vulnerable households from natural disasters. SO1 is expected to achieve a sustainable increase in agricultural productivity and production over the ten-year life of the PIF. This reflects the government s first priority for the agricultural sector, which is to increase productivity and production as a prerequisite for food security and ADLI. Increases in production are also expected from investments to improve the utilization of land and water resources. Irrigation development is a high priority for boosting agricultural production. In view of the capital intensive nature of irrigation development, with investment costs typically in the range of US$ 5,000-20,000 per hectare, irrigation is likely to account for the largest share of investments under the PIF. SO2 will build on the achievements of SO1 by helping farmers to graduate from subsistence farming to semi-subsistence/semi-commercial status, practicing farming as a business. SO3 will spearhead efforts to conserve and utilize Ethiopia s natural resources in a sustainable and productive manner. It will reinforce the productivity and production initiatives under SO1 by ensuring that opportunities to adopt sustainable land and water management systems are grasped and threats to sustainable use of natural resources are averted. GTP GTP sets ambitious goals for the five-year period (Ethiopian Fiscal Year (EFY) ) and the most prominent in terms of food security are as follows: Maintain at least an average real GDP growth rate of 11% and meet the Millennium Development Goals (MDGs), so that no food aid would be necessary anymore by Double agricultural production and triple agricultural exports by The existing strategy of ADLI will be continued, meaning that agriculture will remain the engine for growth complemented by investments in manufacturing and services. The agricultural strategy emphasizes support to intensification and commercialization of agriculture both for domestic and export markets by small and large farmers. There is a special focus on high-potential areas, facilitating the commercialisation of smallholder agriculture as the commercialisation of smallholder farming will continue to be the major source of agricultural growth. To promote multiple cropping in order to cope better with climate variability and to ensure food security, the GTP will enhance the use of the country s water resources, whereby the expansion of SSI will be given priority while due attention will be given to medium- and large-scale irrigation where possible. The GTP gives strong emphasis to irrigation development and improving water use efficiency in order to improve production and productivity level of irrigated agriculture on a sustainable basis, so Project Inception Report (PIR) 5 June 2015

19 1 INTRODUCTION that the irrigation sector would contribute to the growth of the agriculture sector. In the coming years, the GoE plans a huge scale-up of irrigable land from around 600,000 hectares currently to 1.8 million hectares in It is argued that in the short-term the development of SSI is best positioned for this objective given the limited technical and organizational capacity to implement large-scale irrigation works. Policy Framework for Irrigation Sector National Water Resources Management Policy (2001) The overall goal of the National Water Resources Management Policy is to enhance and promote all national efforts towards the efficient, equitable and optimum utilization of the available water resources of Ethiopia for significant socio-economic development on sustainable basis. To realize this goal, the government has spelled out a wide range of policies to achieve the following five major water management policy objectives: Development of the water resources of the country for economic and social benefits of the people, on equitable and sustainable basis. Allocation and apportionment of water resources based on comprehensive and integrated plans and optimum allocation principles that incorporate efficiency of use, equity of access and sustainability of the resource. Managing and combating drought as well as other associated slow on-set disasters through, inter-alia, efficient allocation, redistribution, transfer, storage and efficient use of water resources. Combating and regulating floods through sustainable mitigation, prevention, rehabilitation and other practical measures. Conserving, protecting and enhancing water resources and the overall aquatic environment on sustainable basis. The most relevant general policies with regard to the SSI sub-sector are as follows: Enhance the integrated and comprehensive management of water resources that avoids fragmented approach. Ensure that water supply and sanitation, irrigation and drainage as well as hydraulic structures, watershed management and related activities are integrated and addressed in unison. Recognise water as a scarce and vital socio-economic resource. Ensure that water resources management is compatible and integrated with other natural resources. Recognise and adopt the hydrologic boundary or "basin" as the fundamental planning unit and water resources management domain. Ensure that all planning, studies, programmes and development projects in the water sector include protection and conservation, operation and maintenance as well as replacement activities and budgets. Promote and encourage that conservation of existing water systems and efficient utilisation of water is as feasible as development of new schemes. Project Inception Report (PIR) 6 June 2015

20 1 INTRODUCTION As much as conditions permit, ensure that the provision of basic necessities of water at the household level are fulfilled and to ensure that all other allocations of water after the basic needs shall be based on equitable and efficient socio-economic development criteria. Build and strengthen the necessary capacity in terms of: institutions, legislation, facilities, human resources, finance, information systems as well as research and studies for better and more efficient management of water resources including capacity building at the decentralized and lowest level. Promote and advocate for institutional stability and continuity in water resources management. Promote and enhance traditional and localised water harvesting techniques in view of the advantages provided by the schemes dependence on local resources and indigenous skills. Promote the involvement and meaningful participation of the private sector in the management of water resources. Irrigation Policy The overall objective of the Irrigation Policy within the National Water Resources Management Policy is to develop the huge irrigated agriculture potential for the production of food crops and raw materials needed for agro-industries on an efficient and sustainable basis and without degrading the fertility of the production fields and water resources base. The more specific objectives of the Irrigation Policy are as follows: Development and enhancement of small-scale irrigated agriculture and grazing lands for food self-sufficiency at the household level. Development and enhancement of small- medium- and large-scale irrigated agriculture for food security and food self-sufficiency at national level, including export earnings, and to satisfy local agro-industrial demands. Promotion of irrigation study, planning and implementation on economically viable, socially equitable, technically efficient, environmentally sound basis as well as development of sustainable, productive and affordable irrigation farms. Promotion of water use efficiency, control of wastage, protection of irrigation structures and appropriate drainage systems. Ensure that small-, medium- and large-scale irrigation potential projects are studied and designed to a stage ready for immediate implementation by private and/or the government at any time. The general policies of the Irrigation Policy are formulated as follows: Ensure the full integration of irrigation with the overall framework of the country's socioeconomic development plans, and more particularly with the ADLI strategy. Promote the development of irrigation based on strategic planning for achieving socioeconomic goals, and participatory-driven approach for promoting efficiency and sustainability. Recognise that irrigation is an integral part of the water sector and consequently develop irrigation within the domain and framework of overall water resources management. Project Inception Report (PIR) 7 June 2015

21 1 INTRODUCTION Earmark a reasonable percentage of the GDP as committed resource towards the development of irrigated agriculture, especially in capacity building and infrastructures. Promote decentralisation and users-based management of irrigation systems taking account of the special needs of rural women, in particular. Develop a hierarchy of priority schemes based on food requirements, needs of the national economy and requirements of raw materials and other needs. Support and enhance traditional irrigation schemes by improving water abstraction, transport systems and water use efficiency. Ensure the prevention and mitigation of degradation of irrigated water and maintain acceptable water quality standards for irrigation. Establish water allocation and priority-setting criteria based on harmonization of social equity, economic efficiency and environmental sustainability requirements. Integrate the provision of appropriate drainage facilities in all irrigated agriculture schemes. Enhance greater participation by the regional and federal governments in the development of large-scale irrigated farms in high water potential basins but with low population density. National Water Strategy of Ethiopia (2001) The overall goal of the National Water Resources Strategy is to enhance and promote all national efforts towards the efficient, equitable and optimum utilization of the available water resources of Ethiopia for significant socio-economic development on a sustainable basis. The main objective of the National Water Resources Strategy is to translate the National Water Resources Management Policy into action. More specifically, the National Water Resources Strategy sets the road map in terms of ways and means to attain the water policy objectives by making meaningful contributions towards: improving the living standard and general socio-economic wellbeing of the Ethiopian people realising food self-sufficiency and food security in the country extending water supply and sanitation coverage to large segments of the society, thus achieving improved environmental health conditions generating additional hydro-power enhancing the contribution of water resources in attaining national development priorities promoting the principles of integrated water resources management Towards the overall goal and main objective of the National Water Resources Strategy, the following strategic directions will be adapted with respect to main elements of the strategy: undertake assessment and development of the country's surface water resources develop groundwater resources and ensure its optimal utilisation for different water uses make effective and optimum use of available water resources by giving priority to multipurpose water resources development projects follow the integrated approach rather than the fragmented approach for water resources development harvest rainwater through the construction of small check dams to meet domestic water supply and irrigation needs at the local level Project Inception Report (PIR) 8 June 2015

22 1 INTRODUCTION Irrigation Development Strategy The principal objective of the Irrigation Development Strategy as part of the National Water Resources Strategy is to exploit the agricultural production potential of the country to achieve food self-sufficiency at the national level, including export earnings, and to satisfy the raw material demand of local industries, but without degrading the fertility and productivity of country s land and water resources base. More specific objectives of the strategy are to: expand irrigated agriculture improve irrigation water-use efficiency and thus the agricultural production efficiency develop irrigation systems that are technically and financially sustainable address waterlogging problems in irrigated areas Policy Framework for Groundwater It is stipulated in the National Water Resources Management Policy (2001) that the government policy concerning the use of groundwater resources and drilling of wells is to: identify the spatial and temporal occurrence and distribution of the country's groundwater resources and ensure its utilization for the different water uses. provide special focus for those areas vulnerable to drought and water scarcity ensure that the exploitation of ground water shall be based on abstraction of the maximum amount equal to the sustainable yield as determined by competent authorities and establish regulatory norms establish and develop norms, standards and general guidelines for sustainable and rechargeable management of ground water foster conjunctive use of surface and groundwater as appropriate promote implementation of appropriate technologies suitable for water deficient areas in order to mitigate water scarcity problems develop regulations, standards, guidelines and by-laws for manufacture and import of drilling rigs promote capacity for the development and operation of shallow wells that can be developed at a local level since advanced and indigenous technologies, water pumps, drilling techniques, skilled manpower and energy are the necessary inputs for groundwater development and utilisation, promote the initiation of training, research and studies on the same. 1.4 SSI Capacity Building Strategy for Ethiopia (2011) Vision By the year 2025, SSI in Ethiopia will be modernized, commercialized and will sustain optimum productivity and profitability with sustainable natural resources management. Mission Promote SSI development on a sustainable basis through developing efficient irrigation infrastructure and agricultural water management, establishing and strengthening of appropriate institutions and building the technical capacity and capability of the irrigation sub-sector. This could be achieved using improved and appropriate irrigation technologies and efficient services to Project Inception Report (PIR) 9 June 2015

23 1 INTRODUCTION transform the existing subsistence farming system into a more efficient, market- oriented and profitable production system. Focus This capacity building strategy is mainly focusing on developing institutional capacity, including human resource development to deliver effective and efficient support services, irrigation infrastructure development, improving technical capacity and capability of professionals at all levels and beneficiary farmers actively engaged in irrigated agriculture, particularly giving emphasis to smallholders and private investors engaged in small-scale irrigated agriculture. Overall Objective The overall objective of the SSI Capacity Building Strategy is to undertake infrastructural, institutional and human resource capacity building which will help the country to optimize the efficient use of water resources with improved land management of smallholder irrigated agriculture development and contribute to improve food security and alleviate poverty. This capacity building strategy is a 15-year road map that guides the government and its development partners address the capacity constraints in order to improve efficiency of smallholders irrigated agriculture. It is aligned with the country s development policies, strategies and the GTP. Specific Objectives The specific objectives of the SSI Capacity Building Strategy are to: i) improve the technical and institutional capacity, expand infrastructure for SSI and create appropriate institutions at all levels to deliver more effective and efficient services; ii) increase production and productivity of irrigated agriculture to ensure food security, supply adequate raw materials to domestic factories and industries and increase export earnings; iii) improve institutional linkages and sustain effective coordination between key stakeholders; iv) strengthen the input supply schemes and market information systems to improve access for quality inputs and improve value chains to ensure profitability of the irrigation sub-sector; and v) encourage participation of the private sector in the development and management of SSI. Guiding Principles The guiding principles used in the SSI Capacity Building Strategy are as follows: Water is a natural endowment, commonly owned and its fair distribution shall be exercised SSI development shall be based on participatory approach and integrated framework Participation of all stakeholders, particularly user communities and women, will be promoted in the relevant aspects of water resources management Irrigation should be integrated with maintaining environmental sustainability Capacity building is a long-term process that builds on what has been achieved Strategic Directions Based on a situation analysis and capacity needs assessment, the following six strategic directions have been identified that will help to systematically address the gaps and build the capacity to promote SSI, which are interrelated and provide a broad framework of the SSI sub-sector: Strategic Direction #1: Improve Existing and Develop New Irrigation Infrastructures Project Inception Report (PIR) 10 June 2015

24 1 INTRODUCTION Purpose: Upgrade existing and develop new SSI infrastructures to ensure irrigation water supply. The key focuses of this strategic direction are: i) to enhance community participation in SSI planning and implementation; ii) rehabilitate the existing schemes, which are currently deteriorating, due to inappropriate design and lack of proper operation and management; iii) complete those schemes which were started but discontinued for various reasons, and to develop and implement new schemes to expand irrigation infrastructure to areas where there is resource potential and community-felt need is secured. Moreover, this strategic direction will facilitate that proper attention is given to integrate planning in the development and implementation of irrigation scheme by adopting a watershed-based development approach in studying and implementing irrigation schemes and will guarantee the complementarity of irrigation development schemes with other allied sectors activities such as watershed management and agricultural practices, livestock farming system, hydropower generation and potable water supply schemes. Due attentions will be given to upgrade the skill of farmers, technicians and professionals to adopt the best practice of SSI implementation. Necessary provision and support will be given to the private sector involvement in SSI development. Technical guidelines and standards will be developed for scheme planning, implementation and promotion of appropriate irrigation technologies to ensure irrigation water supply and improve water use efficiency through application of improved on-farm water and crop management practices. The guidelines and standard procedures to be prepared will be upgraded and improved periodically based on field experiences during implementation and results of new research findings. Strategic Direction #2: Strengthen On-farm Irrigation Water and Crop Management Purpose: Sustain improved on-farm irrigation water and crop management to increase productivity and production of irrigated agriculture. The major focus tasks under this strategic direction are improving the capacity of extension services in irrigated agriculture that would enable delivering the required services in a more effective and efficient manner, which includes improving on-farm water and crop management practices and improving farmers skill in operation and maintenance of irrigation schemes. Furthermore, other activities set under this priority area include developing guidelines for scheme operation and maintenance, demonstrating affordable and improved irrigation technologies, and engaging the private sector in scheme operation and maintenance (O&M). Most importantly necessary attention will be accorded to strengthening water user associations (WUA) in organizational aspects and scheme management. Project Inception Report (PIR) 11 June 2015

25 1 INTRODUCTION In addition, the sustainability of SSI through regular assessment will be given due attention. To this effect, standard SSI scheme performance assessment will be developed and applied by taking into consideration the country context. Strategic Direction # 3: Establish and Strengthen Appropriate Institutions Purpose: Set up appropriate institutions for effective planning and implementation of irrigation initiatives. Strengthening existing and establishing new institutional and regulatory frameworks is necessary to ensure smooth implementation of the key tasks and responsibilities without creating duplication of efforts. The aim of this endeavour is to put in place/strengthen the appropriate institutional structures at all levels including support services for the proper implementation and management of irrigated agriculture. Establishing and/or strengthening WUA is identified as a critical element to effectively and efficiently manage irrigation schemes. Providing proper guidelines to WUA in order to undertake O&M activities properly and making them fully responsible for all aspects scheme management is essential. Therefore, establishing/strengthening of WUA is identified as one of the focus areas included under this strategic direction for proper management of SSI infrastructures. As part of institutional issues, identifying appropriate centres for providing short-term practical inservice training activities in the area of irrigation will be given emphasis to improve practical skills of technicians. Strategic Direction # 4: Strengthen Research on Irrigated Agriculture Purpose: Generate affordable and appropriate technologies to improve productivity of irrigated agriculture. Under this strategic direction activities will be undertaken to develop a national research master plan for irrigated agriculture. Subsequently, need-based applied research on irrigated agriculture will be executed. Activities will be directed towards enhancing linkages, strengthening networking and cooperation between national, regional and international research institutes through the establishment of a knowledge management system, establishing documentation centres and information dissemination systems, promotion of on-farm research in partnership with the extension personnel and the local farmers. Activities will be directed towards enhancing linkages between research, extension service and farmers. Furthermore, emphasis will be given to strengthen networking and cooperation between national, regional and international research institutes through the establishment of a knowledge management system, documentation and information dissemination systems, promotion of on-farm research in partnership with the extension personnel and the local farmers. Strategic Direction # 5: Strengthen Input Supply, Credit and Marketing System Project Inception Report (PIR) 12 June 2015

26 1 INTRODUCTION Purpose: Improve access to financial provision, input supplies and market facilities for better adoption of improved irrigation technologies and to create better market opportunities. The existing inputs supply, credit and marketing system are primarily established to serve the rainfed agriculture. Improved irrigated crops, seed varieties and planting materials, fertilizers, pesticides, fungicides standardized farm tools/equipment will be made available at the nearest location possible to farmers actively engaged in irrigated agriculture. Rural micro-finance institutions and a credit system focused on SSI will be strengthened. A financial instrument such as revolving fund, bank guarantee, etc. will be promoted to support resource-poor farmers to assist them in adopting new irrigation technologies. An integrated marketing system between farmers, collection centres (to be established in selected locations) and the market with the involvement of the private sector that will be based on fair deal will be promoted. Strategic Direction # 6: Establish and Strengthen Knowledge Management and Information System Purpose: Improve easy access to up-to-date information to all users for better planning and efficient management of irrigated agriculture. In Ethiopia a knowledge management system for SSI practically does not exist. Under this strategic direction knowledge management of irrigation will involve data collection, processing, storing and dissemination of consolidated information or data and the development and application of appropriate software tools. Information management on irrigation in the country is identified as an essential strategic option to support the on- farm objectives of effective irrigation operation. It is recognized that farmers, field level technicians and irrigation professionals require a coordinated approach to irrigation information management. It is also recognized that while some information is available, the data is fragmented, at different scales across the country, requires different levels of interpretation to be useful, and is often out of date and is not accessible to end users and decision makers. A detailed implementation plan for a Knowledge Management System for SSI will subsequently be developed. Need-based software tools will be developed around the key information systems which make up the knowledge management for irrigation. In addition, identification and formulation of the best management practices in irrigation development will be given emphasis. 1.5 The SMIS Project The SMIS project is designed to support the SSI Capacity Building Strategy adopted by MoA in 2011 and has three key components, namely: SSI CD (Component 1), CD of A-TVET Colleges (Component 2); and, promotion of MI (Component 3). The objective of Component 1, SSI CD, is to address the institutional, human and technical capacity gaps of the public and private institutions involved in the development of SSI and irrigated Project Inception Report (PIR) 13 June 2015

27 1 INTRODUCTION agriculture as well as to institutionalise the capacity building interventions in the regional government structures. In support of the GoE s plan to expand the irrigable area in the country in the next 5 to 10 years, mainly through the development of SSI and MI, the objective of Component 2, CD of A-TVET Colleges is to provide CD support to A-TVET Colleges including the establishment of demonstration plots for training and to demonstrate appropriate irrigation systems. This component also aims to establish a CoEIWM as a separate unit within an existing A-TVET College. A further aim of this component is to address the medium- and long-term need for technicians as well as subject-matter specialists (SMS) working at woreda kebele levels through the provision of short-term practical training. The main aim of Component 3, promotion of MI, is to promote irrigated farming at the household level by introducing suitable MI systems, including low-cost and effective pumps and rainwater harvesting structures. SMIS s target beneficiaries are the public and private institutions at regional, zonal and woreda levels that are involved in the development of SSI, MI and irrigated agriculture; A-TVET Colleges; local entrepreneurs involved in manufacturing, installation and maintenance of hand-driven and motorised pumps, and unemployed youth and landless women interested in training in hand-drilling techniques. The outcomes and outputs under each component have been developed through extensive consultation with relevant public and private institutions at the federal and regional levels. The Logic Model (LM) presented in Appendix B outlines the outcomes and outputs. Table 1.1 presents an explanation of relationship between project outputs and Strategic Directions and addresses the action plan set-out in the SSI Capacity Building Strategy. Table 1.1: Strategic Directions LM Matrix Strategic Direction Action Steps LM Output SD1: Improve Existing and Develop New Irrigation Infrastructures Conduct water resource assessment and mapping for SSI 1210 development Ensure community participation in scheme planning and implementation through awareness creation and providing the 1230 necessary guidelines Integrate watershed management approach into irrigation planning, design and implementation 1230 Improve the capacity of professionals in irrigation scheme planning, design and implementation 1210 Develop guidelines and standard procedures for scheme planning, design and implementation, including procedures for 1210 environmental issues and groundwater exploration Encourage private sector involvement in irrigation development and supply of technologies 1230 Enhance knowledge and skill of farmers in the use of labour- 1420, 3320 Project Inception Report (PIR) 14 June 2015

28 1 INTRODUCTION Strategic Direction Action Steps LM Output intensive irrigation technologies Upgrade and rehabilitate existing SSI schemes for their optimum performance 1220 Complete ongoing schemes, which were started but discontinued for various reasons 1220 Develop and implement new SSI schemes 1220 Develop standards and technical guideline for irrigation pump selection, O&M 3220 Develop know-how and practical skills of smallholders in promoting low-cost and appropriate MI technologies, including water harvesting structures SD2: Improve capacity of extension services in irrigated agriculture Strengthen On-Farm Irrigation Water and Crop Management SD3: Establish and Strengthen Appropriate Institutions SD4: Strengthen Research on Irrigated Agriculture SD5: Strengthen Improved Input Supply, Credit and Marketing Systems SD6: Establish and Strengthen Knowledge with particular emphasis to high value crops Enhance knowledge and skills of farmers in scheme O&M and crop management 3110, 3120, , , 1410, 1420, 3310, 3320 Develop technical guidelines for scheme O&M 1320 Demonstrate improved and affordable irrigation technologies 3130 Strengthen capacity of water user organizations (WUO) in organizational aspects and scheme management 1310, 1320 Develop and establish standardised scheme performance assessment guideline 1330 Put in place the legal framework for the establishment and functioning of WUA Done Establish/strengthen WUA for efficient scheme management and administration 1310, 1302 Establish support services/centres for maintenance of irrigation pumps, farm tools and equipment 3240 Encourage establishment of low-cost specialized well drilling institutions 3230 Plan and implement need-based applied researches on irrigated agriculture by developing affordable and appropriate 3120 irrigation technologies Strengthen research-extension-farmers linkage 1410, 3310 Establish and strengthen input supply, credit and marketing support services 1430, 3330 Encourage contract farming and outgrowers to transfer technologies and sustain production 1430, 3330 Strengthen support for promotion of post-harvest technologies 1430, 3330 Provide support to private and public sectors to encourage their participation in irrigated agriculture 1430, 3330 Develop and strengthen knowledge and information management capacities to improve the adequacy, reliability, 1130 and accessibility of existing databases at all levels Project Inception Report (PIR) 15 June 2015

29 1 INTRODUCTION Strategic Direction Action Steps LM Output Management and Information System Establish database management system on agricultural water management Identify, document and disseminate best practices on appropriate and affordable irrigation technologies including indigenous knowledge for expansion of irrigated agriculture Establish standard monitoring and evaluation (M&E) system to monitor and evaluate performance of irrigated agriculture Establish inter-sectoral coordination, linkages and networking/ experience sharing events , 1130 SMIS is essentially a CD project that will support transformation of concerned government agencies from an approach focused on implementation to one with more emphasis on planning, coordination and supervision of activities related to the development of SSIs, household micro-irrigations (HHMI) and irrigated agriculture. SMIS will also support private institutions that are involved in studies, design, construction of SSI and HHMI schemes under the supervision of concerned government agencies. The five-year SMIS project will strengthen the capacities of the regional institutions, support regional and zonal institutions to develop the capacity of woreda-level institutions, WUA and farmer groups in their efforts to develop and promote the sustainable SSI development, HHMI systems and use of water for irrigation. SMIS will enhance the capacity of relevant public institutions to promote irrigated agriculture as an effective tool in combating food insecurity by introducing current techniques, improved technologies and knowledge in the field of irrigated agriculture and research and extension Project Inception Phase The inception phase activities are critical to all subsequent project activities and are designed to invite participation from a wide range of stakeholders, key partners, and counterparts, and to establish SMIS as a capacity building project anchored to key implementing institutions. An essential step in this phase is the signature of an LOU between the MoA and Agriteam Canada with EKN signing as witness. A copy of the LOU is provided at Appendix A of this report. This is a critical enabler of the project start-up as it defines operational details for SMIS implementation and clears the way for arranging resident status of project staff, value-added tax (VAT) exemption, customs duty exemptions and the provision of a Tax Identification Number (TIN). This document has been signed by MoA and is a guiding document for establishing project implementation strategies described in the Inception Report. The following is a summary of the key objectives of the inception phase: 1. Establish relations with the NRMD within the MoA, as the primary counterpart agency for the project, and with other relevant GoE agencies and non-government stakeholders at federal and regional levels. 2. Define partner institutional landscape at the federal and regional level and identify key partner institutions including target institutions and core elements in each partner institution. Project Inception Report (PIR) 16 June 2015

30 1 INTRODUCTION 3. Identify and establish links with relevant projects and programs in Ethiopia such as the Agriculture Transformation Agency (ATA), Agricultural Growth Program (AGP), Sustainable Land Management (SLM) and others. 4. Facilitate establishment of project governance and support structures, namely: Project Supervisory Boards (PSB) and Technical Committees. 5. Initiate project start-up activities including: procurement of vehicles and equipment, recruitment and selection of project staff and consultants, securing office space and facilities in Addis Ababa and in the four regions. 6. Establish an analytical basis and rationale for project implementation strategies and articulate those strategies in the PIR. 7. Determine financial, human and capital resource requirements for project implementation. 8. Establish project operations including administrative and financial management systems and provide orientation and training of project staff. In order to ensure that the objectives of the inception phase are realized and that the project commences with full knowledge and support of its key stakeholders, a structured two-stage approach has been adopted: 1) a pre-inception stage focused on identifying and establishing relations with key stakeholders; and 2) the inception phase focuses on gathering or verifying technical and other relevant information and using the information to identify and plan effective project activities together with relevant project stakeholders Inception Period The SMIS Inception period was initially scheduled from November 4, 2014 to April 30, However, the inception period was extended to July 7, 2015 because the SMIS project works so closely with GoE institutions and projects such as the AGP which operate according to the Ethiopian calendar. The first year of project implementation according to the Ethiopia Calendar is Hamle 01, 2007 to Sene 30, In the European calendar this period is from July 8, 2015 to July 7, Therefore, for planning, operations and reporting purposes, the SMIS fiscal year will be from July to June the following year in order to align with the Ethiopian calendar as follows: Inception Phase: November 4, 2014 to July 7, 2015 Project Year (PY) 1: July 8, 2015 to July 7, 2016 (Ethiopia Calendar Hamle 01, 2007 to Sene 30, 2008) Project Year (PY) 2: July 8, 2016 to July 7, 2017 (Ethiopia Calendar Hamle 01, 2008 to Sene 30, 2009) Project Year (PY) 3: July 8, 2017 to July 7, 2018 (Ethiopia Calendar Hamle 01, 2009 to Sene 30, 2010) Project Year (PY) 4: July 8, 2018 to July 7, 2019 (Ethiopia Calendar Hamle 01, 2010 to Sene 30, 2011) Since the SMIS project has a five-year term from November 4, 2014 to November 3, 2019, the last period of project implementation would be a period of sixteen months from July 8, 2018 to November 3, Inception Phase Methodology Participatory Approach Project Inception Report (PIR) 17 June 2015

31 1 INTRODUCTION A participatory approach was used to achieve the above objectives and to ensure ownership of project implementation strategies by key partner institutions. The inception team has attempted to bring together all relevant stakeholders for planning and assessment activities. A federal stakeholder workshop on February 18 and 19 was used to seek essential inputs to the LM from the SMIS stakeholders to build consensus and to ensure that the project responds to current needs identified by the partner institutions. The outcomes of federal stakeholder workshop were validated in each target region. The regional stakeholder workshops provided essential input in the regional priorities. The regional stakeholder workshops chaired by the Head, BoA and involving multi-institution partners were conducted on the following dates. Amhara: March 28, 2015 Tigray: March 19, 2015 Oromia: March 19, 2015 SNNPR: March 6, 2015 Both the federal and the regional stakeholder workshops were well-attended with representatives from all key partner institutions participating. Consensus Building Consensus building establishes a common vision and understanding of the project and its objectives. The regional stakeholder workshops provided in effective platform for to discuss expectations, identify regional priorities and validated that the project plans and proposed outputs are realistic, achievable and rooted in regional priorities. The regional stakeholder workshops were also used to emphasize joint responsibility for achievement of target outputs through an approach that promotes continuous experience sharing, on-the-job mentoring and experiential learning among the project implementation teams (PIT) consisting of project specialists and counterpart experts from key partner institutions. Local Knowledge and Experience The extensive consultation at the federal, regional, zonal and woreda levels as well as with development partners and ongoing projects and programs in the irrigation sub-sector provided an opportunity to gather knowledge, experience and best practices. The institutional assessment also used an opportunity to collect various manuals, guidelines, and CD data and information to understand current context in the SSI and HHMI sector. This knowledge and understanding proved to be a valuable resource and has been extensively used in the development of project strategies and work plans Work Conducted and Outputs Institutional Capacity Assessment Process As an integral part of the SMIS inception mission, international SMS, SMIS staff and GoE counterparts conducted a rapid institutional assessment in all four regions and at the federal-level. The capacity assessment was designed to validate the main issues related to SSI and MI CD, as outlined in the Small-Scale Irrigation Situation Analysis and Capacity Needs Assessment (2011), and expanded upon in the project ToR. Project Inception Report (PIR) 18 June 2015

32 1 INTRODUCTION The purpose of the assessment was to: conduct an institutional analysis of the SSI and MI sector in order to identify priority capacity gaps The objectives of the assessment were: to validate background information provided in the RFP to conduct a rapid situational analysis of the SSI and MI landscape to identify competency gap themes and priorities to inform thematic CD plans for the project, with priorities identified for PY1 The assessment process was designed to be: rapid systematic targeted and relevant (based on content and target groups as identified in the LM) qualitative (mostly) appreciative gender-responsive coordinated/integrated The assessment was not designed to analyze the issues related to beneficiaries (such as irrigation development agents (DA), WUA, farmers, including female farmers, women in male-headed households, etc.). This level of assessment will, as necessary, take place early in PY1. The assessment process took place from February 5 to March 23, International SMS conducted desk reviews of the relevant literature, and designed (mostly) qualitative questionnaires (based on the LM). Together with regional SMIS teams, the international SMS piloted and revised the questionnaires, conducted key respondent and focus group interviews at the federal level, in four regions, and in a number of zone and woredas. The data collection teams conducted primary data collection; and the international SMS cleaned, collated and analyzed the data and wrote thematicbased capacity assessment reports. Primary data collection tools included: Organizational capacity to manage and coordinate profile for SSI/MI sector questionnaire (Outcome 1100) Interview Questionnaire with Government Representatives Responsible for Supporting Gender Mainstreaming in small-scale micro-irrigation (SSMI) and Agricultural Sector (Outcome 1150) Institutional Assessment Questionnaire related to Gender-responsive SSI and MI Development (Outcome 1200 and 3100) Institutional Assessment Questionnaire related to Gender Responsive WUO Development (Outcome 1300) Project Inception Report (PIR) 19 June 2015

33 1 INTRODUCTION Capacity Needs Assessment related to Gender-responsive Regional Irrigation Extension System for promoting SSI and MI Development (Outcome 1400 and 3100) A-TVET Assessment Checklists (Outcome ) Motorized and Hand Pump Standards Assessment NRM Questionnaire (cross-cutting) All questionnaires used to collect data for all outcomes except Outcome and 3200 are provided in Appendix C. Primary data about the capacity of organizations was collected at the federal level and in all four target regions. The geographic reach of the capacity assessment was: Public organizations at the federal-level Public, private and NGO organizations in regional capitals High-performing/AGP zones: organizations at the zonal level, and organizations in two woredas in that zone that are generally considered to be high-performing (in relation to agriculture productivity) and/or receiving support from AGP1 Low-performing/high potential zones: organizations at the zonal-level, and two woredas in that zone that are generally considered to be low performing/high potential and/or not yet receiving AGP support. There was a small variance to the assessment s reach in Tigray: due to logistical challenges, the team collected data about irrigated agriculture in three, not four zones. In total, approximately 450 individuals (13% women) representing over 50 organizations were interviewed through the institutional assessment. Organizations included public institutions at the federal, regional, zonal and woreda levels; authorities and enterprises at the federal and regional levels; NGOs (such as Relief Society of Tigray (REST) and the Organization for Rural Development in Amhara Region (ORDA)) at the regional level; and other projects (Livestock and Irrigation Value Chains for Ethiopian Smallholders (LIVES) at federal and regional levels). Please see the tables below for a breakdown of participants (by sex), by region and the number of questionnaires completed by administrative level. Project Inception Report (PIR) 20 June 2015

34 1 INTRODUCTION Figure 1.1: Number of Participants by Sex, by Region Assessment respondents were staff from public and private institutions involved in SSI or MI. These individuals had at least one years experience in their current position. In most instances, when respondents were too new to their position to be able to address all questions on the questionnaire, they were supported by a more senior staff person. Over 225 questionnaires were completed and analyzed by international SMS and regional SMIS teams. The data from the questionnaires and findings from the assessment reports is being used to inform the project-level CD plans and the each region s first year plan. The primary data collection process was limited by time. Though the reach was wide, visiting two zones and four woredas in each region provided a limited perspective on the SSI and MI sub-sector. Findings from the assessment have been used to develop project strategies discussed in Section 2.2 and presented in detail in reports presented in a separate Annex to the PIR. Table 1.2: Number of Questionnaires Completed by Administrative Level Region Administrative Level Questionnaires Completed Amhara Amhara Regional Organizations 24 North Gonder Zone 9 Dembia Woreda, North Gonder Zone 8 Lebokemkem, South Gonder Zone 8 West Gojam Zone 10 Bure Woreda, West Gojam Zone 9 Jabitehinan Woreda, West Gojam Zone 8 Subtotal 76 Oromia Oromia Regional Organizations 5 Arsi Zone 4 Woreda 1 Degalu Fi Tijo or Sagure Woreda, Arsi Zone 5 Project Inception Report (PIR) 21 June 2015

35 1 INTRODUCTION Region Administrative Level Questionnaires Completed Woreda 2 Tiyo, Arsi Zone 5 East Wollega Zone 5 Diga Woreda, East Wollega Zone 7 W Tuqa Woreda, East Wollega Zone 5 Subtotal 36 SNNPR SNNPR Regional Organizations 14 Sidama Zone 10 Aleta Woreda, Sidama Zone 8 Wondegenet Woreda, Sidama 9 Silte Zone 6 Misrak Azernet Woreda, Silte Zone 6 Silte Woreda, Silte Zone 7 Subtotal 60 Tigray Tigray Regional Organizations 16 Central Zone 2 Adwa Woreda, Central Zone 2 Ahferom Woreda, Central Zone 2 Samane Woreda, East Zone 2 Saure Woreda, East Zone 3 South Corridor Zone 4 Alamata Woreda, South Corridor Zone 5 Endamehoni Woreda, South Corridor Zone 5 Subtotal 41 TOTAL Personnel Recruitment and Mobilization SMIS adopted MoA policies in the recruitment of all national experts. The ToR for all positions were prepared and a criteria for recruitment of experts was prepared. SMIS used various media such as national and regional newspapers and national websites to widely advertise all positions. Female applicants were strongly encouraged to apply. Applicants were screened and a shortlist was prepared in consultation with BoA in the target regions. Shortlisted applicants were interviewed by a panel of experts involving SMIS Specialists and one or more representatives from the respective BoAs Project Offices Agriteam has overall project management responsibility. The Canada-based Project Director (PD) ensures compliance with the contractual responsibilities for the EKN/DFATD contribution to the project. Agriteam also assigns administrative, logistics, procurement and financial personnel in Canada to ensure adequate project management support. In Ethiopia, the project provides the International Chief Technical Advisor (ICTA) and a team of four International Regional Team Leaders (IRTL) located in Amhara, Oromia, SSNPR and Tigray. The ICTA heads the project's NPMU. The ICTA functions as the Project Field Manager and has overall responsibility for SMIS project management in Ethiopia. Each IRTL heads their respective RPMU and has responsibility for project management in their regions. The project also provides a team of international SMS (e.g., PIDM/WUO, gender, irrigation agronomy, extension, natural resources management, CD, A-TVET, M&E, OFWM and pumps specialist). Project Inception Report (PIR) 22 June 2015

36 1 INTRODUCTION Also in Ethiopia, the project provides the National Chief Technical Advisor (NCTA) and four National Regional Team Leaders (NRTL) as well as a team of national SMS. Each office has a full complement of support staff i.e., finance and administrative officers, drivers, cleaner/messengers and security guards. Further details about project personnel within the NPMU and the four RPMUs are provided in sections 3.1 and 4.7 of this report. SMIS is governed by the National Project Supervisory Board (PSB). Regional Project Supervisory Boards govern project planning and implementation in each of the four regions. Project Inception Report (PIR) 23 June 2015

37 2 PROJECT CONCEPTS AND DESCRIPTION 2.1 Project Vision, Reach and Beneficiaries The irrigation sector in Ethiopia is the responsibility of a number of public and private organizations at all administrative levels. Development partners have responded to the GoE s articulated priorities, and are providing significant support to the sector through large-scale programs and projects. Public institutions in every region are mandated to manage the development, design and construction of SSI schemes, and promote the quality use of MI technologies at the household level. The effectiveness of this work relies on the capacity of these organizations. The SMIS project, in support of the SSI Capacity Building Strategy and the Household Irrigation Working Strategy, is designed to address specific aspects of organizational and technical capacity in relation to the work of SSI and MI. Together with other initiatives, programs and projects such as ATA, AGP1, AGP2, and LIVES, the SMIS project will support those public, and to a lesser extent, private institutions responsible for SSI and MI to strengthen and enhance their capacities to take on this challenge Vision SMIS is envisaged as a CD initiative and as a means to expand the SSI and MI planning and implementation capacity of local government irrigation and agriculture development officials, the A- TVET Colleges, and the farmers who will use the newly-provided water and technologies to increase yields and quality of their produce. This comprehensive approach is based on three complimentary components: (1) SSI CD; (2) CD of selected A-TVET Colleges, and; (3) promotion of MI. The vision of the SMIS project and its ultimate goal is to ensure that all concerned public and private institutions within each of the four regional states have the necessary capacity required for genderresponsive identification, planning, design, construction and management of sustainable SSI systems and MI schemes in a coordinated manner and according to adopted integrated watershed-based approach. The SMIS vision will be realized by focusing its activities and resources on achieving the following outcome results: improved planning, design and construction of gender equitable and sustainable SSI and MI schemes by public and private institutions in a coordinated manner and according to an integrated watershed-based approach improved management of gender equitable and sustainable SSI and MI schemes by Water Users Organizations (WUO)/Irrigation Water Users Association (IWUA) and individual users respectively with support from key public institutions improved water, soil and crop management practices for irrigated crops (and rainfed within the command area) adopted by (male and female) farmers Reach In addition to supporting the relevant GoE institutions at the federal level through its NPMU, the SMIS project is also being implemented in four regional states of Ethiopia, namely Tigray, Amhara, Oromia and SNNPR through the four RPMUs established in the respective regional capitals. Project Inception Report (PIR) 24 June 2015

38 2 PROJECT CONCEPTS AND DESCRIPTION In each region, woredas with a significant number of existing SSI schemes and/or high potential for the development of new SSI schemes and MI systems will be selected in collaboration with the concerned regional government institutions for enhancing the capacity of concerned regional, zonal and woreda personnel. In addition, the SMIS regional teams will actively support the development of pilot SSI schemes in a limited number of watersheds in accordance with the integrated watershedbased SSI development approach. The ideal pilot scheme for the purposes of the SMIS CD objectives - would be a newly planned scheme that would provide the opportunity for CD training and JES from SMIS at every stage of the schemes' development; from planning, to completion of construction, to the operation and management of the scheme. However, we have not been able to identify ideal SSI schemes to be able to demonstrate the entire process. Therefore, existing SSI schemes that are in different stages of development will be selected. The SSI pilot schemes will be selected annually in each region during the first three years of project implementation according to the agreed-upon criteria. It is anticipated that each region will select between two and four schemes in the first year of SMIS implementation then select three or four additional schemes per year per region in the second and third years of project implementation. Pilot schemes would not be selected after PY3 as we would be monitoring the efficacy of processes and filling identified gaps in the last two years of the project. With this, we would be covering 8 to 12 pilot schemes per region during the life of the project. These pilot SSI schemes will be the focus of the SMIS regional teams CD support including training and JES in all stages of scheme development such as planning, pre-feasibility, feasibility, design, tendering, construction supervision, formation and capacity building of WUO, appropriate irrigation agronomy and extension services as well as for demonstrations and demand-driven adaptive research. The schedules and availability of all of the concerned staff of the public and private institutions may also influence the number of SSI pilot schemes that SMIS will be able to support in each region. In developing their AWPs each year, the RPMUs will identify pilot SSI schemes and their respective woredas/districts in consultation with their regional GoE partners. The selection of woredas/districts will be validated by the respective regional supervisory boards (RSB) and by the PSB in the course of approving the SMIS AWPs. The following map indicates the regions where SMIS is operating. It also shows the locations of the SSI schemes that have been selected for SMIS support in PY1. Project Inception Report (PIR) 25 June 2015

39 2 PROJECT CONCEPTS AND DESCRIPTION Target Groups The target groups of SMIS project are as follows: Public and private institutions at regional, zonal and woreda level that are involved in the development of SSI, MI and irrigated agriculture. o The public institutions are the government departments and agencies with responsibility for SSI, MI and/or irrigated agriculture. o The private institutions are the regional enterprises, rural micro-entrepreneurs involved in low cost MI technology production, installation and maintenance. These institutions may be targeted for SMIS capacity development initiatives. However, staff of small consulting firms involved in SSI development may also be targeted based on an agreement with the regional institutions on a needs basis and if it enhances the regional capacity for SSI development. Selected A-TVET Colleges Local entrepreneurs involved in manufacturing, installation and/or maintenance/repair of handdriven and/or motorised pumps (Unemployed) youth and (landless) women interested in training in hand-drilling techniques. During the inception phase, SMIS regional teams identified the target specific groups that would benefit from the work of the SMIS project in their regions. They identified beneficiaries in the target groups noted above at regional, zonal and woreda levels. Both direct and indirect beneficiaries were identified. The following is a list of key target groups for SSI development in each of the four regions: Project Inception Report (PIR) 26 June 2015

40 2 PROJECT CONCEPTS AND DESCRIPTION Tigray Name of Institution Main Responsibilities Selection of SSI schemes Feasibility studies for selected SSI schemes Bureau of Water Resources (BoWR) Detailed design of SSI schemes Tendering of construction of SSI schemes Construction management Transfer of O&M responsibilities to Irrigation Cooperatives (ICs) Bureau of Agriculture and Rural Capacity building of farmers and ICs (and WUA) in Development (BoARD) O&M skills Provision of irrigation extension services Watershed management Establishment and registration of ICs Bureau of Cooperative Promotion (BoCP) Training of ICs in administrative and financial and Market Development (MD) management Conducting feasibility studies Tigray Study, Design and Supervision Preparation of detailed designs Water Works Enterprise Construction supervision Conducting environmental studies/impact Environmental Protection, Land Use and assessments Administration Agency (EPLAUA) Land acquisition and allocation/redistribution Women's Affairs Bureau (WAB) Gender mainstreaming Feasibility studies Detailed design Private Sector Construction of SSI schemes Construction supervision Amhara Name of Institution Main Responsibilities Selection of SSI schemes Feasibility studies for selected SSI schemes Bureau of Water Resources Development Detailed design of SSI schemes (BoWRD) Tendering of construction of SSI schemes Construction management Capacity building of ICs and WUA in O&M skills Training of farmers in on-farm water management Bureau of Agriculture (BoA) (OFWM) Provision of irrigation extension services Watershed management Establishment and registration of ICs Cooperative Promotion Agency (CPA) Capacity building of ICs in administrative and financial management Conducting feasibility studies Amhara Design and Supervision Works Preparation of detailed designs Enterprise (ADSWE) Construction supervision Conducting environmental studies/impact Environmental Protection, Land Use and assessments Administration Agency (EPLAUA) Land acquisition and allocation/redistribution Bureau of Women's Affairs (BWA) Gender mainstreaming Project Inception Report (PIR) 27 June 2015

41 2 PROJECT CONCEPTS AND DESCRIPTION Private Sector Name of Institution Main Responsibilities Feasibility studies Detailed design Construction of SSI schemes Construction supervision Project Inception Report (PIR) 28 June 2015

42 2 PROJECT CONCEPTS AND DESCRIPTION Oromia Name of Institution Main Responsibilities Selection of SSI schemes Feasibility studies for selected SSI schemes Detailed design of SSI schemes Tendering of construction of SI schemes Construction management Oromia Irrigation Development Authority Establishment of WUA (OIDA) Capacity building of WUA in administrative and financial management Capacity building of ICs and WUA in O&M skills Training of farmers in OFWM Provision of irrigation extension services Bureau of Agriculture (BoA) Watershed management Establishment and registration of ICs Cooperative Promotion Agency (CPA) Capacity building of ICs in administrative and financial management Conducting feasibility studies Oromia Water Works Design and Preparation of detailed designs Supervision Enterprise (OWWDSE) Construction supervision Oromia Rural Land and Environmental Protection Bureau (RLEPB) Women and Children's Affairs Bureau (WCAB) Private Sector Conducting environmental studies/impact assessments Land acquisition and allocation/redistribution Gender mainstreaming Feasibility studies Detailed design Construction of SSI schemes Construction supervision SNNPR Name of Institution Irrigation Development and Scheme Administration Agency (IDSAA) Bureau of Agriculture (BoA) Marketing and Cooperative Bureau (MCB) South Design and Construction Supervision Enterprise Southern Nation Waterworks and Construction Enterprise (SWWCE) Land Administration and Environment Protection Core Process in BoA Main Responsibilities Selection of SSI schemes Feasibility studies for selected SSI schemes Detailed design of SSI schemes Tendering of construction of SI schemes Construction management Provision of irrigation extension services Watershed management Capacity building of ICs and WUA in O&M skills Establishment and registration of ICs Capacity building of ICs in administrative and financial management Conducting feasibility studies Preparation of detailed designs Construction supervision Construction of SSI schemes Conducting environmental studies/impact assessments Project Inception Report (PIR) 29 June 2015

43 2 PROJECT CONCEPTS AND DESCRIPTION Name of Institution Women, Children and Youth Affairs Bureau (WCYAB) Private Sector Main Responsibilities Land acquisition and allocation/redistribution Gender mainstreaming Feasibility studies Detailed design Construction of SSI schemes Construction supervision For example, in SNNPR the direct and indirect beneficiaries for each of the target groups were identified as follows: Public and private institutions engaged in or with responsibilities for supporting SSI and MI at regional, zonal and woreda level. Region Level Direct: IDSAA Design Unit NRM MI Support Section Gender Mainstreaming Support Process Irrigation Agronomy and Extension Sections of Crop Development Extension Core Process Nutrition Support Process of Disease Prevention and Control Core Process, Bureau of Health (BoH) Indirect: Ongoing Projects, e.g., AGP Land Use Environment Protection Unit public and private consultancy and construction firms, e.g.,: Southern Nation Design, Construction, Supervision Enterprise (SDCSE), SWWCE Zone Level Direct: Irrigation Unit of Department of Agriculture NRM/Environment Core Process of Department of Agriculture Irrigation Agronomy and Extension Core processes Gender Mainstreaming Case Team Indirect: Health Department Cooperatives and Marketing Department Land Administration Unit Woreda Level Direct: Irrigation Section of Office of Agriculture NRM Core Process of Office of Agriculture Irrigation Agronomy and Extension Core processes Gender Mainstreaming Case Team Project Inception Report (PIR) 30 June 2015

44 2 PROJECT CONCEPTS AND DESCRIPTION Indirect: Health Office Cooperatives and Marketing Office Selected A-TVET Colleges (pending SMIS PSB approval): Sodo A-TVET College/Department of NRM 2.2 Project Description and Components The Logic Model The LM developed for SMIS which is presented here follows the structure applied by DFATD 1 as part of its commitment to the RBM approach which is a standard practice within the Government of Canada and with some variation by most governments and international financial institutions. Agriteam Canada is very experienced and knowledgeable on the application of particular approach to RBM and the structuring of LMs applied by DFATD and we consider that they provide a clear and rational basis for structuring the management of projects. In developing this LM, however, which we carefully considered and expanded on the LM provided in Appendix B of the Project ToR, which was structured somewhat differently. The development objective from page 52 of the ToR is stated as follows: To ensure that all concerned public and private institutions within each of the four regional states have the necessary capacity required for gender-responsive identification, planning, design, construction and management of sustainable SSI systems and MI schemes in a coordinated manner and according to adopted integrated watershed-based approach. This objective represents the overall purpose for which the project was originally envisioned and represents the highest level of change that might reasonably be attributed to the SMIS initiative. The intermediate outcomes as identified on pages 33 and 34 of the ToR (and referenced above in section 2.1.1) have also been incorporated into the LM. They represent the anticipated improvements of behaviour or practices that will occur by the end of the project delivery period in: the performance of public and private sector institutions supporting SSI; scheme management by WUA and individual users; and irrigation management by male and female farmers. The three project components shown below these in the LM don t necessarily relate linearly to the intermediate outcomes, but represent elements needed to achieve these objectives, namely: capacity building of the public and private institutions supporting SSI/MI (ranging from scheme design institutions to farmer organizations to extension services); improved performance of the A- TVET system to increase the availability of appropriately trained personnel; and, lastly, improved performance of MI which is primarily a household activity and frequently dominated by women. As shown graphically all components contribute to the achievement of all intermediate outcomes. 1 Project Inception Report (PIR) 31 June 2015

45 2 PROJECT CONCEPTS AND DESCRIPTION We have chosen to introduce immediate outcomes into the LM although these were not included in the ToR. They are, however, a standard element of DFATD s RBM approach and are useful conceptually in that they represent changes that can be anticipated during the course of the project and as a direct result of the activities undertaken and completed (outputs). They often represent a change of awareness and capacity of the individuals or groups who are the focus of the project activities. These are related directly to each of the three components and to thematic headings into which these can logically be divided. As can be seen there are 10 immediate outcomes: 4 related to component 1 (SSI capacity building) and 3 each to components 2 and 3. The concept of project outputs is again something borrowed from RBM and is conceptually somewhat different from that used in the ToR. In the manner in which it is applied here, as a completed set of activities, it is a useful planning concept under which activities and inputs (financial and human resources) contributing to the achievement of the immediate outcomes can be grouped. In this project, for instance, budgeting will be by output and region. This will enable the Regional Team Leaders and senior project managers to assess precisely the cost of completing a suite of related activities. Individual activities are not shown on the LM but in practice form the basis for all the planning done by project staff. Individual activity templates are completed detailing the purpose of activities, the target groups, the facilities or equipment to be used, the personnel involved and the transportation, accommodation and other relevant information. These constitute the basis for instance of all the work planned and presented in the AWP. The LM presented in the ToR also includes the indicators that are to be applied to the project components. In the DFATD model these are incorporated into the Performance Measurement Framework (PMF). This is a plan to systematically collect relevant data over the lifetime of an investment to assess and demonstrate progress made in achieving expected results. It is normally presented in tabular form as shown below. Baseline Data Targets Data Sources Expected Results Ultimate Intermediate Immediate Outputs Indicators Baseline Data Baseline Data Targets Data Collection Methods Frequency of Data Collection Responsibility The PMF is also generally accompanied by a risk register in which all the identified risks are listed together with, the results of their analysis and a summary of mitigation strategies. This and the PMF will be prepared in June 2015, just prior to the first year s work as agreed in the LoU between Agriteam and the MoA (see Appendix A). Project Inception Report (PIR) 32 June 2015

46 2 PROJECT CONCEPTS AND DESCRIPTION Component 1: SSI Capacity Building The objective of Component 1 is to "address the institutional, human and technical capacity gaps of the public and private institutions involved in the development of SSI and irrigated agriculture as well as to institutionalize the capacity building interventions in the regional government structures". The intermediate outcome for Component 1 is described as follows: "Improved planning, design and construction of gender equitable and sustainable SSI schemes by public and private institutions in a coordinated manner and according to an integrated watershed-based approach". In the LM for the SMIS project, the following four immediate outcomes for Component 1 have been formulated: 1100: Management and Coordination 1200: Technical Skills and Tools/Equipment related to SSI 1300: WUO/IWUA 1400: Irrigated Agriculture Development for SSI Management and Coordination Immediate Outcome 1100 has been formulated as follows: Improved capacity of public/private organizations responsible for SSI schemes to coordinate and manage planning, design and construction. Five outputs have been designed to achieve this result: Output 1110 Output 1120 Output 1130 Output 1140 Output 1150 Staff of responsible public and private institutions trained in irrigation project management Essential institutional linkages for SSI and MI development explored, documented, promoted and strengthened Responsible public institutions implement irrigation knowledge management guidelines Responsible public institutions implement agreed approaches to systematic CD, including training of trainers (ToT) Responsible public institutions have adopted and implemented rigorous contract administration procedures This immediate outcome, more than any of the other nine immediate outcomes, focuses on specific aspects of organizational capacity. This focus makes the SMIS project unique in its design it looks not just at the technical aspects of the sector such as designing SSI schemes, setting up MI sites, creating irrigation pump standards, etc. but it also looks at the organizations that will be responsible for institutionalizing and sustaining these changes. Through activities linked to Outcome 1100, SMIS staff will ensure organizations have the capacity to effectively scale-up and adapt project inputs. Without some emphasis on organizational capacity, the project sustainability would be at risk. Capacity among over 50 regional, zonal and woreda public institutions in relation to these outputs was assessed (through a rapid process) by SMIS staff and consultants using interviews and focus Project Inception Report (PIR) 33 June 2015

47 2 PROJECT CONCEPTS AND DESCRIPTION group modalities for data collection. Further assessments will be conducted as necessary as the project begins implementation. Output 1110: Project management What is meant by project management? For the purpose of SMIS: Project management is a process of organizing the way that changes are implemented efficiently within an organization. Many organizations achieve their goals by completing projects that contribute to their objectives. Often, projects have a finite length, involve a number of activities and people, and have deadlines and fixed budgets. Project managers plan and monitor these, and take corrective action when appropriate. All organizations to be supported by SMIS undertake projects through comprehensive annual planning activities. As the definition above implies, it is important that managers and experts use strong project management skills to achieve planned results. Skills related to project management are indicative of the capacity of organizations to carry out their mandates related to SSI schemes, MI initiatives, WUA, irrigated agriculture and other sector-related activities. Through the institutional capacity assessment (1100), key public organizations responsible for SSI and MIwere asked about their project management processes in relation to the annual planning cycle. Respondents were asked questions related to planning, budgeting, approval, implementation and monitoring. The assessment results were similar across the four regions. Assessment highlights indicate that, in general, the planning process is moderately participatory in most jurisdictions. Anecdotal evidence suggests that both men and women s involvement in major activities, like SSI scheme site selection, is limited. Budgets are meticulously planned but in most jurisdictions, planned budgets are reduced by up to 40% before they are approved. A variety of monitoring practices are used by regional experts to communicate with their colleagues at the woreda-level including mobile phone calls and occasional visits to the field. Some regions and woredas use many good practices to support the kebeles and communities while other jurisdictions use ineffective methods. Ranking was one popular method of evaluating both DA and woreda performance. Annual plans are activity-based and monitoring focuses on activity completion and not on results. Most respondents requested specific support to move towards a more results-based planning and monitoring approach. Data for monitoring purposes was being inputted into simple Excel sheets on computers in those woredas supported by AGP but these computers were dedicated to AGP monitoring purposes and GoE plans were being monitored using a paper-based system. A number of activity packages have been planned to address these capacity gaps. Public institutions will be given priority on these activities due to the limited reach of the project for activities related to management and coordination. Project Inception Report (PIR) 34 June 2015

48 2 PROJECT CONCEPTS AND DESCRIPTION SSI Scheme Project Management: In relation to Immediate Outcome 1200, project management is particularly critical to organizations responsible for SSI schemes because schemes are complex projects that include a number of stages. Different organizations are responsible for different stages (in general, the BoWR (or equivalent) designs and oversees construction of the scheme and the BoA supports its O&M). In such work, if organizations can come together to agree on a standard project management approach that they can all adhere to, schemes could become more efficient and better maintained. SMIS will train and provide JES to targeted regional and woreda public organizations (such as BoA and BoWR core processes) to use a standard approach to SSI scheme project management. This training will take place early in the project, giving SMIS staff and regional PIT an opportunity to provide ongoing support, year after year, to regional organizations as they collectively adopt a more systematic approach to scheme development. Results-based Monitoring and Reporting: Based on the institutional assessment, the most significant gap related to project management is the ability of teams to effectively plan and measure for results. Most planning from the kebele up is a confluence of regional- and kebele-level priorities, and is largely based on a series of activities to be completed. Output-level results are captured and reported frequently, but higher-level results relating to impact are not planned or measured. Before SMIS teams consider supporting organizations to advance a results-based M&E system, senior leaders and managers from key organizations need to be open to changing the current system. A consultative session will take place early in PY1 to discuss the realities of such changes. With explicit agreement in place, regional and woreda target groups (BoA, BoWR and zonal and woreda-level line agency staff) will participate in trainings and working sessions to learn about RBM and how to use specific tools. The working sessions will be scheduled just before annual planning periods so that teams can develop LMs and other RBM tools based on actual organizational needs. Organizational Results-based M&E Database: One of the greatest capacity gaps identified during the institutional capacity assessment was related to the absence of digital databases to collect data related to an organization s plans (including SSI schemes and MI plans). SMIS will provide training and other CD support to regional and woreda target groups (BoA, BoWR and zonal- and woreda-level line agency staff) on establishing a monitoring database based on a PMF (as discussed above). Monitoring and reporting templates will be developed/adapted and organizations will be supported to use these templates as they plan, implement and monitor projects. Output 1120: Essential institutional linkages for SSI and MI development Implementing SSI schemes requires significant collaboration across a number of different organizations (public and private) at all administrative levels. This coordination is particularly important within the BoAs (or equivalent) and within the BoWR (or equivalent), and among the BoA (or equivalent), the BoWR (or equivalent), and related enterprises, authorities and NGOs at the regional level because the development of SSI schemes requires the coordinated support of all institutions. Project Inception Report (PIR) 35 June 2015

49 2 PROJECT CONCEPTS AND DESCRIPTION In some regions such as Oromia, the formation of a new agency, the OIDA was in direct response to the need for improved coordination. Other regions have created additional processes to manage new aspects of the sector. Regardless of the strategy, there is a need at the federal level and in each of the four regions for enhanced collaboration across organizations, and more formalized linkages between institutions. This point was strongly emphasized in the SSI Situational Analysis and Capacity Needs Assessment (2011): At the regional level these mandates are not clear between the BoA and that of Water Resources which creates gaps in ownership of some activities. This in turn results in lack of accountability where each thinks that the other should have done (the work). It is not always clear which institution is responsible for the maintenance and rehabilitation of water schemes (p.26). During the first year of the project, SMIS together with key partners will conduct a problem-specific assessment to assess viable coordination and institutional linkages options for the sector at the regional level. There are a number of mechanisms in existence and this targeted assessment will identify what mechanisms work well and why. Meanwhile, the SMIS project will be creating projectlevel technical committees in each region that will bring together key stakeholders responsible for SSI and MI onto one platform for the first time. The project will provide training to this committee in order for it to function effectively. As the project progresses, this committee will be assessed for sustainability and if it is decided that its structure should become institutionalized, then SMIS will work with regional key stakeholders (likely the BoAs) to begin the process of ensuring the committee is embedded into the organizational structure at the regional level. SMIS will provide necessary capacity to the chairperson and committee members so that they have the capacity to effectively manage the committees beyond the life of the project. Output 1130: Responsible public institutions implement irrigation knowledge management guidelines Knowledge management across the Ethiopian public sector is challenged by competing priorities, limited human capacity and poor infrastructure. At a macro level, lack of accurate information impacts effective policy development, planning and implementation. On the level of individuals, Ethiopian professionals are limited by the persistent dearth of current research and professional literature, especially in print form. This phenomenon characterizes the irrigation sector where knowledge is not captured or stored in a systematic way making retrieval and usage very difficult. The institutional capacity assessment validated that there is not an explicit, intentional knowledge management strategy for the irrigation sector at the federal level and in any region. SMIS will build on other program and project efforts towards developing an explicit, intentional knowledge management system for the irrigation sector in Ethiopia. This is a complex task but one that provides opportunities for key stakeholders including end users to access important knowledge. Irrigation Knowledge Management System Road Map: In PY1, SMIS will lead an inclusive, consultative process with key stakeholders (MoA, BoAs, AGP and related projects) to reach agreement on how to move forward on an irrigation knowledge management system. CD activities will precede activities related to designing the road map in order to make sure all stakeholders have Project Inception Report (PIR) 36 June 2015

50 2 PROJECT CONCEPTS AND DESCRIPTION a common understanding about knowledge management and knowledge management systems and strategies. The road map will be developed at the project level with regions identifying specific priorities. The knowledge management road map will include activities related to knowledge generation, capture, sharing and application at the federal level and in each of the regions. It will include activities to determine organizational accountabilities; assess existing stakeholder linkages (public sector, private sector, portals such as the Ethiopian Agriculture Portal); design document repositories; identify appropriate database application and systems software; assess infrastructure and hardware requirements; and develop organizational CD and training needs. It will be validated at each regional level before being approved by the MoA. Digital Repositories and Agricultural Libraries: Under this output, SMIS will also support the conceptualization and development of digital document repositories at the federal level and in each region. The purpose of these repositories will be to provide easy access to professionals, SMS and DA on information and resources about irrigation. They will be populated with SSI and MI electronic knowledge products, including training manuals and materials at the federal and regional levels. The repositories will capture knowledge products; classify products; index products; establish search and retrieval functions; and set administration and security systems. Resources will come from MoA, ATA, research institutes and local and international organizations and projects. Building on the LIVES document centres and other projects' innovations, SMIS will also support target organizations to maintain existing traditional library structures. Regional Irrigation Databases: SMIS will support the design/expansion of a regional irrigation database, mostly through providing short term technical assistance and CD opportunities to organizations accountable to and responsible for managing and maintaining the database. The regional SSI database will include the following information: geographic location, command area, beneficiaries, scheme type, duty (litres/second per hectare), project cost, stage of scheme development and implementing agencies. SMIS will support this work beginning in PY2 and will plan discrete activities and budget for the remaining three years of the project. As the experience of other initiatives has demonstrated, ongoing support will be critical to the sustainability of the database. Output 1140: Responsible public institutions implement agreed approaches to systematic CD, including ToT The SMIS project is a CD project meaning that SMIS staff do not do the work of stakeholders, but supports stakeholders, through training and job-embedded strategies, to do the work. Not only is SMIS mandated to support organizations to use improved technical competencies, but it is also responsible for making sure organizations adopt good strategies for developing the knowledge and skills of fellow colleagues, their staff, and ultimately, the beneficiaries. This approach is in line with the African Union/The New Partnership for Africa's Development (NEPAD) CD Strategic Framework (2009) that emphasizes Africans for Africa (p.3) implying that Africans have the capacity, themselves, to develop the capacity of their organizations. Project Inception Report (PIR) 37 June 2015

51 2 PROJECT CONCEPTS AND DESCRIPTION In order for organizations to develop capacity, they must be learning organizations. This is particularly important in the SSI and MI sector, as knowledge is limited in Ethiopia because of the relative newness of the sector. Regional GoE organizations continue to learn how to design and construct features of small scale schemes while woreda SMS and DA learn how to support farmers and WUA to maintain schemes and grow a variety of high-yield crops. In this context, it is useful for responsible organizations to have the capacity to support others in the learning process. Capacity to develop capacity is a critical organizational competency and one of the key strengths of a learning organization. At this time in Ethiopia, it is important that all organizations responsible for irrigation are learning organizations. All organizations interviewed through the institutional capacity assessment are mandated to develop capacity of others. Regional organizations are meant to support woreda offices and to some extent zonal offices. Woreda experts are tasked with training DA and farmers. Yet, of all the people interviewed (approximately 50), not one person has received comprehensive formal training on how to develop capacity or facilitate learning. Perhaps for this reason, capacity to develop capacity was identified as the most urgent priority among woreda staff and the second-most urgent priority among zonal and regional staff across all regions, when compared to other organization competencies. To support capacity to develop capacity, SMIS staff will use a systematic approach to developing capacity of responsible organizations (as described in the project s CD strategy). Strengthening organizations to promote SSI and MI is not just a technical exercise it also includes strengthening the capacity of targeted organizations to develop their own capacities. This capacity for CD takes time and requires ongoing resources. It will be planned in a systematic way: first, regional organizations will reach agreement on how to develop human and organizational capacity. Then cohorts of experts will learn to become master trainers and facilitators. They will also learn a number of job-embedded strategies such as coaching, mentoring, critiquing, observing and demonstrating. These newly-trained master trainers will be responsible for rolling out and scaling-up SMIS training programs and SMIS staff will coach and mentor them as they train others. They will be able to design, develop and ultimately deliver high-quality, well balanced (theory versus practical application) programs. Output 1150: Contract administration procedures adopted The assessment of public institutions at the federal and regional levels, including selected zones and districts, reported that contract administration procedures are not standardized and different procedures are adopted. The contract in administration is mainly carried out in-house and sometime outsourced to an enterprise or private firm in Tigray and Oromia. The assessment revealed that contract variation often exceeds 50-70% of the contracted cost. Key observed problems include: lack of standard guidelines; lack of capacity in contract management; poorly prepared tender documents; and tender process is not efficient, accountable and transparent. The conducted institutional and capacity assessments show the need for CD in the following fields: a) better understanding of legislation related to procurement; b) preparation and publication of tender/bid documents; c) evaluation of submitted technical bids and financial bids; d) preparation of contracts; and e) conflict resolution/arbitration and communication. In support of the output, following two activities will be undertaken. Project Inception Report (PIR) 38 June 2015

52 2 PROJECT CONCEPTS AND DESCRIPTION Review of existing guidelines, contract administration procedures in compliance with the federal and regional requirements A workshop to reach consensus on the procedures to be adopted and standardized Manuals and Guidelines: According to information collected during the institutional and capacity assessments, a number of manuals and guidelines related to tendering and construction management reportedly exist, which have been prepared by regional public institutions or donorfunded projects. Based on a thorough review and analyses of available manuals and guidelines, SMIS will support the development of standard manuals and guidelines for contract administration and construction management in close collaboration with the responsible public institutions at the federal and regional level. Similar as for the manuals and guidelines to be developed under 1220, special attention will also be given to gender and environment as cross-cutting issues during the preparation of the manuals and guidelines related to tendering and construction management. The draft guidelines will be piloted and tested in the selected pilot SSI schemes and further refined based on the experiences gained. Consensus Building Workshop: A workshop with key public federal and regional institutions including the Ministry of Public Works and MoWIE will be organized to reach a consensus on the scope of the contract administration manual and to ensure that it complies with the federal and regional regulations. Outcome 1200: Improved capacity of responsible public and private institutions to promote, develop, supervise, monitor and evaluate gender-responsive SSI schemes. It is envisaged that immediate outcome 1200 will have the following four outputs at the end of the five-year project: Output 1210 Output 1220 Output 1230 Output 1240 Relevant, good quality, technical standards, guidelines and manuals adopted for identification, planning and design of SSI schemes Standard procedures for tendering, contract administration, construction supervision and M&E of SSI schemes in place Responsible public and private institution staff trained and supported on integrated watershed-based SSI development and management Responsible public and private institution staff trained and supported on integrated watershed-based SSI development and management Output 1210 Relevant, good quality, technical standards, guidelines and manuals adopted for identification, planning and design of SSI schemes The conducted institutional and capacity assessments revealed that most responsible public institutions use different criteria for the selection of SSI schemes, including availability of water and land, accessibility, but that a standard set with minimum selection criteria is not available. It is also observed that SSI schemes are selected that are technically complicated and/or difficult to access. To ensure that SSI schemes are selected for (pre-) feasibility studies that are expected to be technically, socially, environmentally and financially feasible, the SMIS project will support the responsible public Project Inception Report (PIR) 39 June 2015

53 2 PROJECT CONCEPTS AND DESCRIPTION institutions with the development and field testing of appropriate criteria for the selection of SSI schemes. In order to focus the CD support from SMIS, it is important that pilot SSI schemes are selected where most, if not all, steps of the PIDM approach can be implemented in close collaboration with the responsible public and private institutions in order to provide JES and to field test the different steps of the PIDM approach. It is also important that pilot SSI schemes are selected where the establishment, registration and CD of WUO can be carried out in close collaboration with the responsible public institutions in order to provide JES and to field test the different steps of the WUO development approach. In addition, it is also important that SMIS will support the development of a representative sample of SSI schemes within each region. Therefore, the pilot SSI schemes should be selected in accordance with a set of criteria that have been agreed with the regional partner institutions. A number of relevant SSI scheme selection criteria for consideration are as follows: Located in high SSI potential areas (i.e., AGP2 selected woredas) Two to four pilot SSI schemes located within same watershed Located within different agro-ecological zones in the region: high- and lowlands Gravity- and pump-based SSI schemes Perennial and spate SSI schemes Different types of head-works: diversion weir, small storage dam Water source for SSI schemes: surface and (shallow and deep) groundwater Different size of SSI schemes: < 50 ha; ha; ha; and ha Construction of new SSI schemes, modernization of traditional SSI schemes and rehabilitation of modern SSI schemes Feasibility Studies: The conducted institutional and capacity assessments revealed that most essential studies are carried out, including water balance/hydrology, geotechnical, engineering studies, soil, agronomy, agro-economic, socio-economic, gender, environmental, watershed, geology and/or financial analysis. The conducted institutional and capacity assessments also revealed that the responsible public institutions either conduct the feasibility studies in-house with their own staff or outsourced to regional design enterprises and/or private firms. An initial review of a few recentlycompleted feasibility reports indicate that there is a need for further strengthening of the capacity of public and private institutions with regard to the execution of specific technical studies and the preparation of the feasibility report. The public institutions that were visited during the institutional and capacity assessments also stated the need for (additional) CD with regard to following main topics: a) conducting specific technical studies (i.e., hydrology, soil, geotechnical); b) participatory data collection methods; c) gender (mainstreaming); d) analysis of collected data; e) preparation/writing of feasibility report; and f) use of software. SSI Scheme Design: According to the conducted institutional and capacity assessments, the design of SSI schemes is either conducted in-house by the responsible public institutions and/or contracted out to the regional design enterprise and/or private firms. Reviews of SSI scheme designs by the project formulation team, fast-track support team and SMIS staff show the following shortcomings: a) quality of technical designs is insufficient; b) essential components of SSI scheme design, such as Project Inception Report (PIR) 40 June 2015

54 2 PROJECT CONCEPTS AND DESCRIPTION cross-drainage structures, flood protection and/or drainage system, are missing; c) provision of social structures to facilitate non-irrigation use of canals, such as watering livestock and fetching water for domestic use, is not considered; d) no/limited effective participation of male and female farmers during the design of their schemes; e) bill of quantities (BoQ) and technical specifications are poorly drafted; and f) cost estimates are too low to meet minimum design standards. Therefore, there is a need to develop the technical capacity of responsible public and private institutions with regard to various aspects of scheme design. The conducted institutional and capacity assessments also revealed the need for (additional) CD in the following main topics: a) topographic survey and preparation of topographic map(s); b) design of field layout of canal system, specific hydraulic structures (i.e., dam, cross-drainage structures), drainage system and pressurized systems; c) participatory design methods; d) calculation of designed discharge of canals; d) use of software (i.e., Auto-CAD); and e) preparation of BoQs and cost estimates. Manuals and Guidelines: According to the conducted institutional and capacity assessments, various manuals and guidelines related to SSI scheme selection, feasibility studies and scheme design are available in the four project regions that are reportedly used by the responsible public institutions at regional, zonal and/or district level. The available manuals are either prepared by federal and regional public institution or by donor-funded projects. Following the collection of all available manuals and guidelines, the SMIS project will undertake a detailed review and analyses of all these available manuals and guidelines and support the preparation of a standard set of manuals, guidelines and technical standards for the selection of SSI schemes, feasibility studies and scheme design in close collaboration with the responsible public institutions at the regional level. During the preparation of the manuals and guidelines, gender and environment as cross-cutting issues will be given special attention in order to ensure that they are fully incorporated. All experiences gained during the CD of responsible public and private institutions under output 1230 will be used to prepare a final set of standard manuals, guidelines and technical standards that are field tested and evidence-based. Output 1220 Standard procedures for tendering, contract administration, construction supervision and M&E of SSI schemes in place Tendering and Contract Administration: Most assessed public institutions in the four regions and selected zones and districts reported that the tendering of the construction works for SSI schemes and contract administration were mainly carried out in-house, although the tendering may also be outsourced to an enterprise or private firm in Tigray and Oromia. The main observed problems include poorly prepared tender documents and sufficient tendering process that is not efficient, accountable and transparent. The conducted institutional and capacity assessments show the need for CD in the following fields: a) better understanding of legislation related to procurement; b) preparation and publication of tender/bid documents; c) evaluation of submitted technical bids and financial bids; d) preparation of contracts; and e) conflict resolution/arbitration and communication. Construction Management: One of the main problems of SSI development is the poor quality of the constructed irrigation and drainage infrastructure partly due to insufficient construction management, including regular progress monitoring, testing of construction materials and quality control of completed civil works. Except in Oromia where construction management is arranged inhouse, the responsible public institutions at the regional level in the other three project regions Project Inception Report (PIR) 41 June 2015

55 2 PROJECT CONCEPTS AND DESCRIPTION either organize construction management in-house or it is outsourced to the enterprise and/or private firm. About two-thirds of the assessed public institutions involved in construction management stated that farmers were actively involved in construction management through informal meetings as well as (regular) joint review meetings and/or site visits. Based on the findings of the conducted institutional and capacity assessments, there is a need for CD with regard to: a) construction planning and scheduling; b) preparation of construction designs; c) placing of benchmarks; d) progress monitoring of ongoing civil works and quality control of completed civil works; e) methods for effective farmers' participation in construction supervision and quality control; f) dispute/conflict resolution; g) final inspection, testing and hand over of completed SSI scheme; h) cost management and control; and i) quality assurance of construction materials. Manuals and Guidelines: According to information collected during the institutional and capacity assessments, a number of manuals and guidelines related to tendering and construction management reportedly exist, which have been prepared by regional public institutions or donorfunded projects. Based on a thorough review and analyses of available manuals and guidelines, SMIS will support the development of standard manuals and guidelines for tendering, contract administration and construction management in close collaboration with the responsible public institutions at the regional level. Similar as for the manuals and guidelines to be developed under 1220, special attention will also be given to gender and environment as cross-cutting issues. The experiences gained with the use of the manuals and guidelines during the CD of the responsible public institutions under output 1230 will be used to gradually improve these manuals and guidelines, so that a final set of standard manuals and guidelines will be available at the end of the project that are field tested and evidence-based. Output 1230 Responsible public and private institution staff trained and supported on integrated watershed-based SSI development and management Rationale: A significant number of SSI schemes in Ethiopia have failed due to lack of watershedbased planning and development. In many instances, irrigation projects are designed without fully considering the importance of maintaining the integrity of natural systems within the hydrological boundaries. Irrigation development based on river diversions and dams is highly dependent on the effective implementation of watershed management activities. While siltation is particularly detrimental to dam reservoirs, it also significantly impacts on river diversions by silting weirs and water delivery systems. In most cases the upper catchment is cultivated or used for grazing and is often not sustainably managed. It is recognized by the Ethiopian government that all water projects should be considered in the context of the overall watershed. Water development activities should not be considered in isolation from the overall watershed. Environmental and sustainability issues elsewhere in the watershed, both upstream and downstream, may have an influence on the viability of any proposed water project. Where possible, water projects should be part of an integrated watershed management approach and support multiple uses of water (MUS). In the Small-Scale Irrigation Situation Analysis and Capacity Needs Assessment (2011), the following technical knowledge gaps related to SSI development were identified: a) use of a scheme-based approach rather than watershed/catchment-based approach for the development of SSI schemes; b) concept of integrated Project Inception Report (PIR) 42 June 2015

56 2 PROJECT CONCEPTS AND DESCRIPTION irrigation water use is not well-addressed right from the planning and implementation periods, so that communities living adjacent to SSI schemes are forced to fetch drinking water inappropriately or fetching water from distant areas, whereas irrigation canals are being damaged by livestock due not or inadequate provision of structures for watering animals; and c) lack of proper consultation of beneficiaries and other stakeholders at each stage of project implementation affecting operational efficiency and sustainability of SSI schemes: planning and implementation approach for development of SSI schemes often is top-down and not demand-driven. Rationale for Integrated Watershed-based Approach for Participatory and Gender-Responsive Development and Management of SSI Schemes: The rationale for an integrated watershed-based approach for participatory and gender-responsive development and management of SSI schemes, hereinafter called "the PIDM approach", is as follows: Integrated Approach: Overall objective is the development of sustainable and profitable irrigated agriculture by male and female farmers within the command area of SSI schemes In addition to the construction of irrigation and drainage structures, it is also required to: a) establish and develop capacity of WUO for the O&M of SSI scheme in an adequate, effective and timely manner; and b) provide appropriate irrigation extension and support services to support male and female farmers to develop their irrigated agriculture successfully within the command area of SSI schemes Need for close coordination and collaboration as different public and private institutions are involved in: a) design and construction of SSI schemes; establishment and CD of WUO for the O&M of the SSI schemes; c) development of irrigated agriculture within the command area of SSI schemes; and d) planning and execution of soil and water management interventions within the watershed where the SSI schemes are located Watershed-based Many SSI schemes in Ethiopia failed due to lack of watershed-based planning and Approach: development resulting insufficient water availability, unreliable water supply, more frequent and higher floods and/or siltation problem caused by deforestation, overgrazing and/or inappropriate crop husbandry practices in areas upstream of SSI scheme Reduce the impact of siltation problem, unreliable water supply and (more) frequent floods on the performance and sustainability of SSI schemes within the watershed by improving soil and water management upstream of the SSI schemes Avoid/minimise any (potential) negative impact of SSI development on downstream users and support and facilitate the MUSwithin the watershed by improved water balance study and planning within the watershed Participatory Most SSI schemes in Ethiopia have been developed with no or limited participation of Approach: concerned farmers Ensure that all male and female farmers are fully involved, informed and consulted during all stages of the SSI development process Ensure that male and female farmers are fully involved in decision-making during all stage of the SSI development process Ensure that male and female farmers through their WUO take over the full O&M responsibility for their SSI schemes Gender-Responsive No or limited involvement of female farmers in decision making related to O&M of SSI Approach: schemes and management of WUO Ensure effective participation of all female farmers in the management of their WUO Project Inception Report (PIR) 43 June 2015

57 2 PROJECT CONCEPTS AND DESCRIPTION and decisions related to the O&M of their SSI schemes Ensure full access of all female farmers to irrigation water as well as the provision of training, extension and support services Avoid/minimise any (potential) negative impact of the development of irrigated agriculture on female household members (i.e., increased workload) Facilitate the safe use of irrigation canal for non-irrigation purposes, such as fetching water for domestic use, washing clothes and watering livestock, by providing social structures in scheme design Development of PIDM Approach: The development of an appropriate PIDM approach will start with an inventory of existing SSI development approaches in each project region, including any approaches developed under AGP and Participatory Small-Scale Irrigation Development Program (PASIDP) followed by a thorough review and analysis of all collected SSI development approaches in close collaboration with experts within the regional partner institutions. The next step is the preparation of a first version of the PIDM approach together with the experts of the regional partner institutions. Once the first version of the PIDM approach is finished, it will be submitted to the regional partner institutions and the SSI Core Team within MoA for their review and comments. In addition, the first version of the PIDM approach will also presented to AGP2 and PASIDP at the federal and regional levels for obtaining their comments as it is envisaged that the PIDM will be field tested on a number of SSI schemes funded by both projects. As soon as the comments from the regional partner institutions and the SSI Core Team within MoA are received, workshops with the regional partner institutions will be conducted to review all submitted comments on the first version of the PIDM approach and to obtain a consensus on the basic aspects of the PIDM approach, including its steps. Subsequently, a second version of the PIDM approach will be prepared together with the experts of regional partner institutions and submitted to the regional partner institutions for approval. The field experiences gained with the implementation of the different steps of the PIDM approach on the pilot SSI schemes will be used to gradually improve the PIDM approach, so that a final version of the PIDM approach could be prepared at the end of the project that is field tested and evidence-based. Development and Implementation of Gender-responsive CD Programmes: Before genderresponsive CD programmes can be developed, it is required to: a) identify the target groups for the planned CD activities within the responsible public and private institutions at regional, zonal and district level; and b) undertake comprehensive CD needs assessments among the identified target groups at regional, zonal and district level. Subsequently, SMIS will support the responsible public institutions at regional to develop gender-responsive CD programmes and corresponding training materials based on the results of the conducted CD needs assessments and using the manuals, guidelines and technical standards developed under output 1210 and To develop the necessary CD capacity within the responsible public institutions at regional level, one or more experts will be selected and trained as master trainer/facilitator. The trained regional expert(s) and the concerned SMS of the regional SMIS team will form the PIT, which will be responsible for planning and conducting all necessary CD activities for responsible public institutions in the selected zones and districts as well as the design enterprises and private institutions involved in SSI scheme selection, execution of feasibility studies, SSI scheme design, tendering and contract administration of construction works for SSI schemes, and/or construction management. Project Inception Report (PIR) 44 June 2015

58 2 PROJECT CONCEPTS AND DESCRIPTION In addition to the CD of technical skills of staff of responsible public institutions at zonal and district levels related to SSI development, including planning, design, tendering, contract management and construction management, it is also required to develop the capacity of the responsible public institutions about the PIDM approach to ensure that the development of the SSI schemes is undertaken in an integrated, watershed-based, participatory and gender-responsive manner. Similar as for CD in the aforementioned technical skills, SMIS will also select and train experts within the regional partner institutions as master trainers/facilitators in the PIDM approach. Together with the regional PIDM/WUO SMS, these trained experts will form the PIT responsible for: a) planning and execution of the CD activities related to the PIDM approach for staff of the responsible public institutions in the selected zones and districts, including the provision of formal training and JES; and b) M&E of the different steps. Output 1240 Responsible public and private institution staff trained and supported on integrated watershed-based SSI development and management Rationale: The conducted institutional and capacity assessments clearly revealed that limited availability of field equipment and computers with necessary software is a constraint for the assessed public institutions during the execution of the feasibility studies, design of the SSI schemes and construction management. Execution of Assessment: A comprehensive assessment will be carried out to: a) determine the minimum need for field equipment and computers with necessary software; b) assess the availability of field equipment, computers and software in the responsible public institutions at regional, zonal and district level; and c) document the physical condition of the available field equipment, computers and software. Support for Procurement of Essential Equipment: Based on the findings of the conducted assessments, SMIS will support the procurement of essential field equipment, computers and software required for SSI development for the responsible public institutions at the regional level and in the selected zones and districts. Outcome 1300: WUO/IWUA Immediate outcome has been formulated as follows: "Improved capacity of responsible public organizations to develop capacity of WUO/IWUA to manage gender-responsive SSI schemes". The following five outputs have been formulated for immediate outcome 1300 to be achieved at the end of the five-year project: Output 1310 Output 1320 Output 1330 Output 1340 Standard guidelines and manuals for organizational development and registration of WUO/IWUA and application of irrigation services fees Responsible public organizations trained and supported in formation, organisation and registration of WUO/IWUA Responsible public institutions trained and supported to establish sustainable SSI operation and maintenance practices among WUO/IWUA Responsible public organizations trained and supported in M&E of WUO/IWUA Project Inception Report (PIR) 45 June 2015

59 2 PROJECT CONCEPTS AND DESCRIPTION Output 1350 performance In pilot SSI schemes, responsible public organizations supported in CD of WUO/IWUA in sustainable scheme management Output Standard guidelines and manuals for organizational development and registration of WUO/IWUA and application of irrigation services fees Inventory, Review and Analyses of Available Manuals and Guidelines: The results of the conducted institutional and capacity assessments show that different manuals are available and used by the assessed public institutions at regional, zonal and district during the establishment, registration and/or CD of the WUO/IWUA. The available manuals are either prepared by the responsible regional bureau or a donor-funded project. The first activity under this output is to collect all available manuals related to the establishment and CD of WUO/IWUA followed by a detailed review and analyses to identify the strengths, gaps and shortcomings. Preparation of Draft Manual and Guidelines: Based on the results of the conducted review and analyses, a first draft manual and guidelines for the establishment, registration and CD of WUO/IWUA will be prepared in close collaboration with the experts in the regional partner institutions. The issues of women's representation, election of women and Management Committee members and women's participation in decision making related to WUO/IWUA management and scheme O&M will be given special attention during the preparation of the manual and guidelines. Once the first draft manual and guidelines are completed, they will be submitted to the regional partner institutions and the SSI Core Team within MoA for review and comments. A peer review of the draft manual and guidelines may also be considered. Workshops will be conducted at the regional level to review the comments on the first draft manual and guidelines with all stakeholders. A second draft manual and guidelines will be prepared by incorporating all validated comments received from the regional partner institutions, SSI Core Team and external peer reviewer, if any. Preparation of Final Version of Manual and Guidelines: The field experiences gained with the establishment, registration and CD of WUO/IWUA on the pilot SSI schemes will be used to improve the manual and guidelines, so that a final, evidence-based manual and guidelines will be ready at the end of the project. Output Responsible public organizations trained and supported in formation, organization and registration of WUO/IWUA Rationale: The conducted institutional and capacity assessments in the four project regions and selected zones and districts revealed that there is a well-defined need among the assessed public institutions for (additional) CD with regard to the formation, registration and CD of WUO/IWUA related to governance, administrative and financial management. Concerning the establishment and registration of WUO/IWUA, CD in the following main topics reportedly are required: a) legal framework for formation and registration of WUO/IWUA; b) WUO/IWUA formation and registration procedures; c) organizational structure, mandate, functions and tasks of WUO/IWUA; d) membership, rights and obligations of WUO/IWUA members; e) participatory methods; and f) gender (mainstreaming). With regard to CD of WUO/IWUA in governance, administrative and financial management, the following main topics for (additional) CD were reported: a) technical topics related to governance, administrative and financial management; b) training needs Project Inception Report (PIR) 46 June 2015

60 2 PROJECT CONCEPTS AND DESCRIPTION assessment; c) adult training methods/techniques; d) preparation of training materials; e) evaluation of conducted training course; and f) gender (mainstreaming). In addition to the CD needs, the assessed public institutions at regional, zonal and district levels also reported the following constraints with regard to the establishment of WUO: a) lack of farmers' and women's participation; b) non-election of women as management committee member; c) lack of awareness among farmers; and d) water-related conflicts between farmers. Related to the registration of WUO, the following problems were reported: a) no or late submission of registration application by newly formed WUO; b) lack of clear WUO registration procedures; c) serious delays in registration of WUO; d) external interference during the WUO registration process; and e) requirement for buying shares prevents poorer male and female farmers to become WUO members. The reported constraints related to CD of WUO include: a) no/insufficient (appropriate) training materials and equipment; b) no/insufficient transport and/or budget; c) no/limited participation of women; d) no/limited interest among farmers; and e) no/limited skilled trainers. Development of Gender-responsive CD Programme: Before a gender-responsive CD programme can be developed, it is required to: a) identify the target groups for CD related to establishment, registration and CD in governance, administrative and financial management of WUO/IWUA at regional, zonal and district levels; and b) undertake comprehensive CD needs assessments among the identified target groups at regional, zonal and district levels. Based on the findings of the conducted needs assessments, SMIS will support the responsible public institutions at the regional level with the development of an appropriate, gender-responsive CD programme that would cover at least the following topics: a) legal framework for formation and registration of WUO/IWUA; b) WUO/IWUA formation and registration process; c) awareness raising and mobilization of male and female farmers/landowners; d) WUO/IWUA bylaws and importance of formulating internal rules and regulations; e) governance, administrative management and financial management of WUO/IWUA; f) assessment, billing and collection of irrigation service fee (ISF); and g) gender issues: women's membership and representation, women's involvement in WUO management and decision making. Development and Field Testing of Training Materials: This step will start with the collection of available training materials related to the aforementioned main topics that have been developed by various public and private institutions, NGOs and/or projects. All collected training materials will be reviewed and analyzed in detail in collaboration with experts in the responsible public institutions at regional level to identify their strengths, weaknesses, gaps and shortcomings. Based on the results of the conducted reviews and analyses, SMIS will support the regional partner institutions to develop appropriate training materials that are module-based and praxis-oriented. Before the newly developed training materials will be used for CD of responsible public institutions, they will be extensively field tested. Subsequently, the developed CD programme and training materials will be submitted to the regional partner institutions and the SSI Core Team within MoA for their review, comments and approval/endorsement. Selection and Training of Master Trainer/Facilitator: To enhance the technical capacity of the regional partner institutions to plan, prepare and implement CD activities at zonal and district levels, SMIS will identify and select one or more experts within the responsible public institutions at the regional level to be trained as master trainers/facilitators with appropriate participatory training skills and necessary knowledge related to the different topics related to the establishment, Project Inception Report (PIR) 47 June 2015

61 2 PROJECT CONCEPTS AND DESCRIPTION registration and CD of WUO/IWUA, including gender issues. These experts trained as master trainers/facilitators will form the PIT together with the national PIDM/WUO experts of the SMIS and responsible for planning, preparing and conducting all CD activities at zonal and district levels. CD of Responsible Public Institutions at Zonal and District Levels: Once the overall genderresponsive CD programme and training materials have been approved by the regional partner institutions and the experts have been selected and trained as master trainers/facilitators, the PIT will proceed with the planning, preparation and implementation of the CD activities for staff of responsible public institutions in the selected zones and districts, including the provision of formal training courses, job-embedded technical support and advice, and the organization of study tours, where needed. M&E of Performance of Trained Staff: Following the provision of formal training courses and jobembedded technical support and advice, the PIT will regularly monitor and evaluate the performance of the trained staff of the responsible public institutions at zonal and district level in order to assess if they properly use the newly skills and knowledge in the execution of their tasks related to the establishment, registration and/or CD of WUO/IWUA. The M&E results will be used by the PIT to assess what the reasons are that trained staff are unable and/or unwilling to use their new skills and knowledge. If necessary, the PIT will review and improve the existing CD and/or training materials in order to make their CD activities more effective. Output Responsible public institutions trained and supported to establish sustainable SSI O&M practices among WUO/IWUA Rationale: The reported constraints related to the CD of WUO and need for (additional) CD are the same as described under output CD of Responsible Public Institutions: The modalities and planned activities for developing the capacities of the responsible public institutions at regional, zonal and district level related to strengthening the capabilities of WUO/IWUA concerning the O&M of the SSI scheme and water management will be the same as described under output The main topics covered by the CD programme will include: a) scheme maintenance skills (i.e., maintenance inspections, preparation of annual maintenance plan and budget, mobilization of labour and equipment, communication and reporting, safety); b) scheme operation skills (i.e., cropping planning, water scheduling and distribution, gate setting, flow measurement and recording, communication and reporting, safety and emergency procedure); c) water management skills (i.e., irrigation frequency, water use efficiency at canal level, promotion of conjunctive use of groundwater with canal water, where possible); and d) environmental and gender issues with regard to O&M of SSI scheme. Output Responsible public organizations trained and supported in M&E of WUO/IWUA performance Rationale: During the conducted institutional and capacity assessments, most assessed public institutions at regional, zonal and district levels reported to be involved in the M&E of the performance of WUO. The reported constraints related to M&E of WUO performance include: a) no/insufficient data and information; b) no/insufficient (skilled) staff; c) no/limited transport, time Project Inception Report (PIR) 48 June 2015

62 2 PROJECT CONCEPTS AND DESCRIPTION and/or budget; and d) no/limited cooperation from WUO. The reported need for (additional) CD includes: a) collection of (gender disaggregated) monitoring data; b) processing of collected monitoring data; c) analyses of processed monitoring data; d) evaluation of WUO performance; and e) report writing. CD of Responsible Public Institutions in M&E of WUO/IWUA Performance: The modalities and planned activities for CD of the responsible public institutions at regional, zonal and district levels related to M&E of WUO/IWUA performance will be the same as described under output In addition, available manuals and guidelines related to WUO performance assessment, including any WUO performance indicators, will be collected, reviewed and analyzed in order to assess their strengths, weaknesses, gaps and shortcomings. The main topics covered by the CD programme will include: a) gender-responsive M&E skills related to governance, administrative and financial management of WUO/IWUA, including assessment and collection of ISF; b) gender-responsive M&E skills related to scheme O&M and water management by WUO/IWUA; c) use of WUO/IWUA performance indicators; d) gender-responsive assessment of overall WUO/IWUA performance; and e) specific gender and environment issues related to WUO/IWUA performance. Output In pilot SSI schemes, responsible public organizations supported in CD of WUO/IWUA in sustainable scheme management Rationale: In addition to the provision of formal training in the establishment, registration, CD and performance assessment of WUO/IWUA to the staff of responsible public institutions at regional, zonal and district levels, it is also important to provide JES to the trained staff during the execution of their duties and tasks aimed at the development of fully functional and sustainable WUO/IWUA have all necessary institutional, technical and financial capabilities to O&M of the SSI schemes in an adequate, effective and timely manner. Therefore, SMIS will actively support the responsible public institutions with the formation, registration and CD of WUO/IWUA on the pilot SSI schemes in the four project regions. Provision of JES: Following the provision of formal training courses to staff of the responsible public institutions at regional, zonal and district levels, the PIT will also provide technical support and advice to the trained staff during the establishment, registration and CD of WUO/IWUA on the pilot SSI schemes. For this purpose, the PIT will conduct regular field visits to the districts where the pilot SSI schemes are located in order to provide the necessary JES throughout the entire WUO/IWUA development process. Performance Assessment of Trained Staff: The regular field visits to the districts where the pilot SSI schemes are located also provides an opportunity for the PIT to assess the performance of the trained staff of responsible public institutions during the formation, registration and CD of WUO/IWUA. Evaluation of CD Activities: Based on the results of the performance assessments of training staff of the responsible public institutions during the execution of their tasks related to the establishment, registration and CD of WUO/IWUA on the pilot SSI schemes, the PIT will evaluate its CD programme Project Inception Report (PIR) 49 June 2015

63 2 PROJECT CONCEPTS AND DESCRIPTION and training materials at regular intervals to determine if any amendments are required to improve their effectiveness. Outcome 1400: Irrigated Agriculture Development for SSI The immediate outcome has been formulated as follows: "Improved capacity of responsible public institutions to provide appropriate extension and support services for irrigated agriculture in selected woredas". The following four outputs have been formulated for immediate outcome 1300 to be achieved at the end of the five-year project: Output 1410 Output 1420 Output 1430 Output 1440 Responsible public organizations supported to strengthen existing research extension-farmer linkages to facilitate promotion, introduction and adoption of appropriate technologies and practices related to irrigated agriculture Adaptation/development and provision of relevant manuals, guidelines and training materials on irrigation agronomy, irrigation extension, OFWM, Integrated Pest Management (IPM) and management of soil fertility Responsible public organizations trained and supported on irrigation agronomy, irrigation extension, OFWM, IPM and management of soil fertility Responsible public institutions staff trained and supported to facilitate farmers' access to agriculture support services and technologies Output Responsible public organizations supported to strengthen existing research extension-farmer linkages to facilitate promotion, introduction and adoption of appropriate technologies and practices related to irrigated agriculture Rationale: One of the findings of the conducted institutional and capacity assessments in the four project regions and selected zones and districts is the weak linkage between research, extension and farmers in promoting irrigated agriculture as its focus is on traditional and subsistence farming. As indicated in the ToR, there is also need for more research related to SSI and irrigated agriculture and SMIS will facilitate demand-driven applied/action research in various fields, including irrigated agriculture, OFWM and new cash crops, by establishing functional linkages with the Ethiopian Institute of Agricultural Research (EIAR) and the Regional Agricultural Research Institutes (RARIs), International Water Management Institute (IWMI) and/or other ongoing projects. Assessment of Existing Linkages: The process to strengthen existing research-extension-farmer linkages in the four project regions will start with a comprehensive assessment of the existing linkages between research, extension services and farmers in order to: a) identify their strengths, weaknesses, gaps and shortcomings; b) opportunities and (institutional) constraints; and c) their responsiveness to environmental, gender and nutritional issues. Subsequently, a number of consensus workshops at federal and regional level will be conducted with all concerned stakeholders to: a) review, discuss and validate the findings of the conducted assessment; and b) identify appropriate strategies and interventions to strengthen the existing research-extension-farmer linkages. Project Inception Report (PIR) 50 June 2015

64 2 PROJECT CONCEPTS AND DESCRIPTION Development and Implementation of Linkage Strategy: Based on the conclusions of the conducted consensus workshops, SMIS will support the research institutions and the responsible public institutions with the development of a linkage strategy, including linkage mapping and procedures, to strengthen the linkages between research, extension services and farmers with the aim to facilitate the promotion, introduction and adoption of appropriate technologies and practices related to irrigated agriculture. Facilitation of Demand-driven Applied/Action Research: SMIS will also establish functional linkages with federal and regional agricultural research institutes, other public and private institutions involved in agricultural research and ongoing projects/programme to facilitate demand-driven applied/action research in various fields related to irrigated agriculture and OFWM, including new (cash) crops, water-saving technologies and practices, preferably with farmers in the pilot SSI schemes. Output 1420: Adaptation/development and provision of relevant manuals, guidelines and training materials on irrigation agronomy, irrigation extension, OFWM, Integrated Pest Management (IPM) and management of soil fertility Inventory, Review and Analyses of Existing Manuals, Guidelines and Training Materials: The conducted institutional and capacity assessments revealed that manuals, guidelines and training materials have been developed over the last years on various topics related to rainfed and irrigated agriculture. Therefore, the first step is to collect, review and analyze all available manuals, guidelines and training materials in order to identify their strengths, weaknesses, gaps and shortcomings. To validate the results of the review and analyses, regional workshops with responsible public and private institutions will be conducted. Preparation of Manuals, Guidelines and Training Materials: Based on the review and analyses of all available manuals, guidelines and training materials, SMIS will support the responsible public institutions at the regional level with the preparation of a set of standard manuals, guidelines and training materials related to irrigation agronomy, irrigation extension, OFWM, IPM, soil fertility management and any other relevant topics. The first version of the prepared manuals, guidelines and training materials will be submitted to the responsible public and private institutions at federal and regional levels for review and comments, whereas a peer review by a third party may also be considered. If necessary, workshops with all concerned stakeholders will be conducted to review the submitted comments and obtain a consensus. Subsequently, a second version of the manuals, guidelines and training materials will be prepared by incorporating all validated comments and translated in local languages before distributed among all responsible public and private institutions. SMIS will ensure that gender, environment and nutrition as cross-cutting issues will be fully incorporated during the preparation of the manuals, guidelines and training materials. Output 1430: Responsible public organizations trained and supported on irrigation agronomy, irrigation extension, OFWM, IPM and management of soil fertility Rationale: It is observed that the technical capacity and skills of experts at the district level and DA at the kebele level in the field of irrigation agronomy, irrigation extension, OFWM and other relevant technical topics are (very) weak. Furthermore, the existing irrigation extension services are weak due to: a) insufficient funds and other resources (i.e., field equipment, reference book); b) lack of clear Project Inception Report (PIR) 51 June 2015

65 2 PROJECT CONCEPTS AND DESCRIPTION policies and objectives; c) lack of basic infrastructure (i.e., demonstration plot); and d) lack of functional linkages with potential external service providers. CD Needs Assessments: The first step is to identify the target groups for the CD programme and undertake a comprehensive CD needs assessment among the identified target groups within the responsible public institutions at regional, zonal and district levels. Preparation of CD Programme: Based on the results of the conducted CD needs assessments, SMIS will support the responsible public institutions at regional level with the preparation of an appropriate, needs-based, praxis-oriented and gender-responsive CD programme that would cover all relevant (technical) topics related to irrigation agronomy, irrigation extension, OFWM, IPM, soil fertility management and any other relevant issues. Once the CD programme has been prepared, it will be submitted to the regional partner institutions and the SSI Core Team within MoA for their review, comments and approval/endorsement. Field Testing of Training Materials: Before the newly-developed training materials will be used for CD of responsible public institutions, they will be extensively field tested. Selection and Training of Master Trainer/Facilitator: To strengthen the technical capacity of the regional partner institutions to plan, prepare and implement CD activities at zonal and district levels, SMIS will identify and select one or more experts within the responsible public institutions at regional level to be trained as master trainers/facilitators with appropriate participatory training skills and necessary knowledge related to irrigation agronomy, irrigation extension, OFWM and other relevant topics. These experts trained as master trainers/facilitators will form the PIT together with the national experts of the SMIS and responsible for planning, preparing and conducting all CD activities at zonal and district level. CD of Responsible Public Institutions at Zonal and District Levels: As soon as the overall CD programme and training materials have been approved by the regional partner institutions and the selected experts in the responsible public institutions at regional level have been trained as master trainers/facilitators, the PIT will proceed with the planning, preparation and implementation of the CD activities for staff of responsible public institutions in the selected zones and districts. In addition to the provision of formal training courses, the PIT will also provide job-embedded technical support and organize study tours, where needed. M&E of Performance of Trained Staff: The PIT will regularly monitor and evaluate the performance of the trained staff of the responsible public institutions at zonal and district levels in order to assess if they properly use the newly skills and knowledge in the execution of their tasks related to irrigation agronomy, irrigation extension, OFWM, soil and water management, etc. The M&E results will be used by the PIT to assess what the reasons are that trained staff are unable and/or unwilling to use their new skills and knowledge. If necessary, the PIT will review and improve the existing CD and/or training materials in order to make their CD activities more effective. Project Inception Report (PIR) 52 June 2015

66 2 PROJECT CONCEPTS AND DESCRIPTION Output 1440: Responsible public institutions staff trained and supported to facilitate farmers' access to agriculture support services and technologies Rationale: One of the main constraints for the successful development of irrigated agriculture by small male and female farmers is insufficient access to essential support services, including the reliable supply of good quality farm inputs (i.e., seeds, fertilizers, agro-chemicals), farm equipment, credit, storage and marketing. To develop productive and sustainable irrigated agriculture within the command area of the SSI scheme, it is envisaged that the irrigation extension and support interventions will be mainly focused on the following issues: a) diversification of irrigated crop production, in particular the cultivation of high-value commercial crops and good quality fodder crops; b) timely supply of farm inputs, such as seeds, fertilizer and agro-chemicals; c) improved crop husbandry practices, including i) promotion of the use of improved certified seeds; ii) promotion of integrated nutrient management (INM); iii) promotion of improved cropping systems, including intercropping, alley cropping and relay cropping; iv) promotion of IPM; v) promotion of the use of bio-fertilizers, including composting, and bio-pesticides; and vi) promotion of organic farming; d) promotion of conservation agriculture, including zero/minimum tillage and mulching; e) mechanization of farm activities to increase the productivity per unit of labour; f) development and field testing of appropriate irrigation technologies by linking local research centres with the IC/IWUA, water user groups and farmers (as co-researchers); g) improved (on-farm) water management and conservation, including the promotion of land levelling, water harvesting methods and soil moisture conservation practices; h) improved on-farm drainage to prevent waterlogging and salinity problems; i) conjunctive use of canal water and groundwater, in particular in the lower reach of the command area where supply of canal water may be less reliable; j) improved post-harvest management, including appropriate crop storage facilities at household level; k) improved marketing opportunities for agricultural produce, including the development of marketing information system; and l) improved access to (farm input) credit. Assessment of Existing Gaps in Support Services: The first step is to support the responsible public institutions at regional, zonal and district levels with an assessment of the existing constraints and gaps for both male and female farmers to access essential support services required for the development of their irrigated agriculture. Inventory of Existing Support Service Providers: SMIS will also support the responsible public institutions at the regional level with an inventory of government-managed and private support service providers that are operational in the four project regions, including: a) seed suppliers; b) manufacturers and/or suppliers of fertilisers; c) manufacturers and/or suppliers of agro-chemicals; d) manufacturers and/or suppliers of farm tools and equipment, including labour- and water-saving technologies (i.e., Agricultural Mechanisation Centres); e) credit suppliers (i.e., banks and microfinance institutions); f) (cold) storage operators; and g) marketing and/or processing companies. Development of Linkage Strategy: Based on the results of the conducted gap assessment and the inventory of available support service providers, SMIS will support the responsible public institutions at the regional level to develop a strategy to establish and strengthen functional linkages between male and female farmers involved in irrigated agriculture and relevant support service providers. The access of female farmers to essential support services will be given special attention during the preparation of the linkage strategy. Once the draft linkage strategy has been prepared, it will be submitted to the regional partner institutions and the SSI Core Team within MoA for their review Project Inception Report (PIR) 53 June 2015

67 2 PROJECT CONCEPTS AND DESCRIPTION and comments. Subsequently, a final linkage strategy will be prepared by incorporating all comments and submitted to the regional partner institutions for approval. Implementation of Linkage Strategy: SMIS will support the responsible public institutions at regional, zonal and district levels with the implementation of the approved linkage strategy through the provision of training and JES. Initially, the focus will be on supporting the establishment and strengthening of functional linkages between male and female farmers organized in WUO/IWUA on the pilot SSI schemes and support service providers. M&E of Implementation of Linkage Strategy: SMIS will closely monitor the implementation of the linkage strategy and evaluate at regular intervals if the access of both male and female farmers (on the pilot SSI schemes) to all essential support services have improved. Based on the M&E results, SMIS will support the responsible public institutions to review and amend the linkage strategy so that the access of male and female farmers to support services will be further improved and strengthened Component 2: CD of Selected A-TVET Colleges The overall objective of Component 2 is to "provide capacity building support to selected A-TVET Colleges and the establishment of the CoEIWM as a separate unit within an existing A-TVET College in order to address the medium- and long-term need for technicians as well as SMS working at the woreda level and DA at the kebele level through the provision of short-term practical training. In the LM, the following three themes (organized as immediate outcomes) for Component 2 have been formulated: Immediate Outcome 2100 Immediate Outcome 2200 Immediate Outcome 2300 Improved capacity of CoEIWM and selected A-TVET colleges to advocate and demonstrate gender responsive water management technologies and practices, including MUS, water saving and water harvesting technologies Improved capacity of selected public institutions and A-TVET staff/instructors to revise and deliver gender-sensitive SSI/MI courses and training, including teaching, training and learning materials, in line with national occupational standards Improved capacity of A-TVET staff/instructors to deliver quality gender-sensitive SSI/MI courses and training based on adult learning principles and experiential learning practices Immediate Outcome 2100: Physical Capacity of CoEIWM and Selected A-TVET Colleges This outcome addresses all the activities to be conducted by SMIS in support of the physical infrastructure needs of the CoEIWM, and the demonstration and practical training plots, and computer software needs in selected A-TVETs. SMIS will ensure that prior to such project investment, each education institution will have the commitment and capacity to sustain project inputs beyond the life of the project. Project Inception Report (PIR) 54 June 2015

68 2 PROJECT CONCEPTS AND DESCRIPTION Output 2110: Five A-TVETs, including the CoEIWM, selected based on agreed-upon criteria and physical needs assessment A-TVET Recommendations: An external/outside consultant was contracted to use an agreed-upon organizational assessment framework to assess a number of A-TVET colleges in each of the four project regions during the inception period. The outcome of this assessment was the identification of the most appropriate A-TVET in each region based on its ability to readily contribute to the medium and long term technical needs of the SSI/MI sector. The following A-TVETs have been recommended for SMIS support: Kombolcha (Oromia) Mersa (Amhara) Wukro (Tigray) Wolaita Sodo (SNNP) Recommended A-TVETs Mersa A-TVET Kombolcha A-TVET Wolaita Soddo A-TVET Wukero A-TVET Region Amhara Oromia SNNPR Tigray Distance from 390 km from Bahir 540 km from Addis 170 km from Regional Capital Dar (asphalt road) Hawassa 43 ks from Mekele Last year, 32 students (18 women) Yes, curricula Teach SSI courses participated in the taught in relation to Yes 31 trainees SSI courses; 128 Not yet the Ethiopian taking Level II students (45 Occupational women) participate Standards (EOS) in informal programs # of Instructors teaching SSI course Number of existing students Demonstration Plot Potential Comments one instructor teaches SSI curricula 1,110 students (473 women) 2 instructors teach SSI courses 544 students (259 women) 3 instructors (all men) teach the SSI courses 1,420 students (537 women) 3 instructors (all men) teach SSI courses 830 students (506 women); 80 students (67 women) attending the formal SSI program and 87 informal trainees Yes Yes Yes Yes (some land) Leadership commitment is moderate High number of women students Not yet aligned with the National TVET strategy. Motivated staff These recommendations were considered by the Regional Supervisory Board as well as the National Project Supervisory Board. The Amhara RSB selected Kombolcha ATVET and not the Mersa ATVET. This decision was endorsed by the PSB. Thus the four ATVETs selected for SMIS support are: Kombolcha (Oromia) Kombolcha (Amhara) Wukro (Tigray) Wolaita Sodo (SNNP) Project Inception Report (PIR) 55 June 2015

69 2 PROJECT CONCEPTS AND DESCRIPTION Early in PY1, after selected A-TVETs have been approved, regional SMIS teams will conduct a targeted physical needs assessment, specifically in relation to: Establishing and maintaining demonstration and practical training plots o What are the human, technical and financial resources over the long-term The assessment will determine sustainability of the project s investments. Before the project will support physical infrastructure needs, the regional Bureau Technical Vocational Education and Training (B-TVET) and the selected A-TVET will formally agree, through Memoranda of Understanding (MoUs) with the project, their role in managing the demonstration and practical training plots, and managing and maintaining computers and software. While the SMIS RFP-ToR call for the establishment of 10 ha field demonstration sites at each of the selected A-TVETs and the CoEIWM we are of the opinion that the issue of the size of these areas needs to be revisited. In reality a 10 ha site may be beyond the capacity or the interests of the A- TVET's to manage on a continuous and sustainable basis and may constitute an excessive draw on their available resources. Our intention, therefore, is to review the issue in detail with each of the A- TVETs and the respective BoAs in order to agree in each case on an area that they feel will fulfill their current and future demonstration needs. CoEIWM: The establishment of a quality Ethiopian CoEIWM is of the highest priority for senior MoA leaders and the SMIS National Project Coordination Unit (PCU) will dedicate the utmost attention to its accomplishment early in the project cycle. The SMIS team visited the Alage A-TVET during the inception period and validated that it will be Ethiopia s CoEIWM. During the early part of PY1, an institutional self-assessment on OFWM (2110.3) will be conducted that will include a detailed physical assessment (2110.4). The assessment will look at organizational performance, organizational capacity, organizational motivation and the external environment, all in relation to the how Alage A-TVET will serve as Ethiopia s CoEIWM. Factors such as effectiveness, efficiency, relevance, and financial viability will be identified. Once the findings are validated, an action plan and detailed work plan will be created to delineate respective roles, responsibilities and timelines in relation to establishing a high-quality Ethiopian CoEIWM. SMIS will provide infrastructure support to the CoEIWM to a maximum amount based on project resources. The physical assessment will identify critical infrastructure needs, including a teaching hall and other facilities and will include a determination of the institution s capacity to operate and maintain physical upgrades. Based on the physical assessment, a prioritized list of infrastructure upgrades and associated estimated costs will be agreed upon by the CoEIWM in conjunction with the NRM/MoA. Output 2120: Center of Excellence supported to establish a demonstration site, a teaching hall, and other facilities based on the physical needs assessment Once the institutional assessment (including the physical assessment) has been completed, SMIS will organize a series of strategic planning workshops with key stakeholders including the host A-TVET s personnel who are designated as the manager and instructors for the CoEIWM; NRM/MoA, TVET/MoA, and Women and Development (WAD)/MoA. Representatives from successful water Project Inception Report (PIR) 56 June 2015

70 2 PROJECT CONCEPTS AND DESCRIPTION management centres in other developing contexts will present best practices. The outcome of these events will be a shared vision of an Ethiopian CoEIWM based on international standards; accountabilities related to ownership and funding mechanisms; proposed institutional linkages with other Centers of Excellence in the region, and to regional A-TVETs; and operational considerations. In PY2, based on the CoEIWM action plan, SMIS will support the TVET directorate to develop ToRS for an external consultant to design an OFWM field laboratory (demonstration farm) that includes essential physical facilities and specifications for the OFWM equipment. When the design has been approved by MoA, SMIS will support the TVET/MoA to prepare the CoEIWM civil works tendering and bidding evaluation documents, and the competitive bidding process. SMIS NPMU staff will support the TVET directorate to manage the civil works contract to its high-quality completion. By the end of PY3, it is planned that the CoEIWM will be established, with infrastructure upgrading completed, an innovative teaching hall built, and water-saving and OFWM technologies in place and within easy access to the Centre. The Center will be officially launched early in PY4. Output 2130: Selected A-TVETS supported to establish up to 10 ha irrigation demonstration and practical trainings plots to demonstrate appropriate OFWM technologies and practices Once MoUs/agreements are in place formalizing accountabilities (see Output 2110 above), the regional SMIS teams will begin working with key stakeholders to design and develop the training plots; determine which water saving technologies should be demonstrated in each A-TVET; assess the capacity of instructors to meet the learning needs of students enrolled in SSI courses as well as the local learning needs of DA and woreda SMS and farmers will inform the selection of appropriate technologies and the size of the demonstration plots. Once the training plots are designed, regional SMIS teams will support the B-TVET and the local A-TVET to identify, procure (using GoE and World Bank procurement standards) and install equipment required to establish the demonstration and practical training plots. A cost-sharing arrangement will be agreed-upon that allows for a limited maximum contribution from the SMIS for each A-TVET s demonstration and practical training plots, based on the funds available in the SMIS budget and other project costs and project budget comittments. Once the CoEIWM and A-TVET water-saving and OFWM technology demonstration plots have been established, SMIS will provide training and ongoing support to non-academic A-TVET staff on O&M practices related to the plots and technologies. This training is essential to the sustainability of project investments. Output 2140: CoEIWM and A-TVET staff trained in the use of practical approaches to demonstrate water-saving technologies and on-farm water management Once demonstration and practical training plots are established, SMIS will design and develop training programs in the following areas: Identification of practical approaches to OFWM relative to the occupational standards Identification of water-saving technologies on SSI and MI schemes specific to each region How to use training plots to support the outcomes-based curricula Project Inception Report (PIR) 57 June 2015

71 2 PROJECT CONCEPTS AND DESCRIPTION Immediate Outcome 2200 A-TVET SSI and MI Curricula This immediate outcome focuses on activities to support the adaption/development of SSI curricula for A-TVETs. Before describing how SMIS will support this component, it is useful to have an understanding of the Ethiopian TVET sector as it has changed significantly in recent years. Ethiopia has embarked on a process of reforming its TVET system. Within the policies and strategies of the Ethiopian Government, technology transformation by using international standards and international best practices as the basis, and, adopting, adapting and verifying them in the Ethiopian context is a pivotal element of this process. TVETs are given an important role with respect to this technology transfer. The new paradigm in the outcome-based TVET system is the orientation at the current and anticipated future demand of the economy and the labour market (EOS SSI Level II, 2011, p.2). The national TVET system is structured as follows: The EOS are a core element of the Ethiopian National TVET Strategy and an important factor within the context of the Ethiopian TVET-Qualification Framework (ETQF). They are national Ethiopian standards, which define the occupational requirements and expected outcome related to a specific occupation (EOS SSI Level II, 2011, p.2). In this system, an occupational standards describe the work that is performed and the curriculum describes the training that a person needs to take in order to perform the work described in the Occupational Standards. Occupational Standards are used to develop outcomes-based curricula through the following process: Project Inception Report (PIR) 58 June 2015

72 2 PROJECT CONCEPTS AND DESCRIPTION In line with the National TVET Strategy (2008), two occupational standards (EOS) for SSI one for Level II and one for Level III were developed and approved in Please refer to Appendix D for a summary of the EOS Unit Competence Charts for the Small Scale Irrigation Development (NTQF Level II and Level III) which are the core elements of these EOS. Currently, there are no occupational standards developed that specifically address MI competencies but the SSI EOSs include some competencies such as install MI systems and operate pump (water lifting device) that may sufficiently serve the MI sector. Three of the four proposed A-TVETs are teaching outcomes-based curricula based on the SSI occupational standards. All the proposed A-TVETs require further support in this area. Output 2210: National Occupational Standards Meet SSI and MI Need In PY1, through activities planned for this output, SMIS staff will facilitate a curricula review process where relevant A-TVET academic staff and client representatives (woreda SMS and DA representatives) will systematically analyze existing A-TVET curricula and training programs against the SSI EOS and current labour market needs, and identify gaps. Curricula should include short training courses (in line with EOS) such as drilling, soil surveying, topographic surveying, and pump maintenance. Where curricula gaps exist, SMIS will support A-TVET staff to develop learning modules (see Output 2220). Output 2220: Public institutions supported to develop/revise, and systematically pilot gendersensitive practical SSI and MI curricula and training programs, including instructor manuals and student texts, based on experiential learning practices Once curriculum gaps have been identified, SMIS will facilitate a five-step program design and development process with key stakeholders to develop a select number of courses. This approach includes reviewing key sector (labour market) needs (conducted through Output 2210). The next stage involves designing/adapting the course. A number of elements will be considered such as: the certification process; prerequisites, program/course length; identification of human resource competencies and qualifications needed to deliver the modules/program; and the program review process. Once the module or short training course is designed, then it will be developed. Development includes designing competency-based curricula; developing lessons plans; developing Project Inception Report (PIR) 59 June 2015

73 2 PROJECT CONCEPTS AND DESCRIPTION teaching, training and learning materials (TTLM) (instructor manuals, student texts and other referenced material); ensuring gender issues are integrated into the module and TTLM; developing student evaluation mechanisms; identifying delivery modes; identifying equipment needs; etc. SMIS will provide training on this five-step process at the end of PY1 and then facilitate JES sessions early in PY2 where A-TVET instructors will develop modules and TTLM with the support to SMIS staff. As it is anticipated that the curricula development needs will be similar across all five A-TVETs, the curricula design and development trainings will be conducted at the project-level and at A-TVETS. As a CD project, SMIS will show A-TVET instructors how to use this five-step approach but it will not be responsible for overseeing the development of all courses and trainings related to SSI and MI as this will become the responsibility of the A-TVETs. Output 2230: Adoption and use of gender-responsive SSI and MI curricula and training programs, including instructor manuals and student texts As part of the systematic approach to A-TVET program development, once the newly-developed programs, courses and trainings have been delivered several times and produced a number of graduates, SMIS will facilitate a program review. The goal of the program review will be to validate the competencies embedded in the training programs to ensure that they are still in alignment with the current needs of the sector. At this final stage of the curricula development, TVETS will solicit feedback from the public sector on the quality of graduates. Evaluation reports will be prepared and as necessary, programs will be changed to continually respond to the labour market needs. The curriculum development process will be assessed by key stakeholders (MoA, Ministry of Education (MoE), B-TVETS, A-TVETs), and strategies for integrating an adapted form of this approach will be planned out for each A-TVET. Immediate Outcome 2300 Instructors (CoEIWM and selected A-TVET Instructors) This immediate outcome is designed to support the existing (and, through sustained processes and systems, future) A-TVET academic staff to become highly-competent at delivering quality gendersensitive SSI and MI courses and training. It is clear that to achieve this result, SMIS will need to provide ongoing support because this outcome, unlike the other Component 2 outcomes, requires that individuals intentionally and actively change their well-entrenched and familiar ways of working. The A-TVET assessment took a preliminary look at who currently teaches SSI curricula in each A- TVET. Based on the A-TVETs who are being recommended for support, a total of nine instructors teach relevant curricula (this number does not included the Alage A-TVET). SMIS will work with each A-TVET to increase the number of instructors competent as SSI instructors; suggesting financial and non-financial incentive packages to encourage other instructors to become SSI experts will be considered. Using the A-TVET assessment as a guide, SMIS will support approximately 50 instructors and academic staff in total, representing the 5 A-TVETs. This number suggests that most activities to support instructors should take place at the project level. Project Inception Report (PIR) 60 June 2015

74 2 PROJECT CONCEPTS AND DESCRIPTION Output 2310: Capacity needs of instructors responsible for SSI and MI courses are identified All relevant academic staff (and other instructors interested in becoming SSI experts) will be assessed by the project. As assessment of college instructors is a sensitive business in Ethiopia (and elsewhere) and as no formal approach to assessment is used, SMIS will use a three-step process. Instructors/trainers will complete a self-assessment to assess both their SSI and MI technical knowledge, and their understanding of how students learn and should be assessed. This selfassessment will query instructional methodologies, including the use of experiential learning techniques; how to develop curricula and TTLM, and how to assess and evaluate students. To triangulate the competency self-assessment, instructors will be observed as they teach SSI courses, and student evaluations will be reviewed. Output 2320: A-TVET instructors trained and provided with support on technical competencies related to SSI and MI development, irrigated agriculture practices and participatory extension techniques SMIS will support the capacity of a cohort of SSI instructors, representing all targeted A-TVETs, to becoming high-quality instructors. It is assumed, because of the newness of the SSI sector, that most A-TVET instructors will need significant support to upgrade their own technical knowledge. The A- TVET assessment alluded to this capacity gap and the competency assessment will provide further details. As this is also the situation for existing public sector staff, as much as possible, A-TVET instructors will be taught advanced versions of other SMIS trainings used to build the capacity of public sector staff, based on their own capacity gaps. For example, instructors will take trainings on integrated watershed-based SSI development and management (Output 1230); irrigated agronomy, extension, OFWM, IPM and soil fertility management (Output 1430); the application of HHMI technologies and practices (Output 3130), etc. This approach will efficiently use project resources while ensuring that A-TVET instructors have an advanced knowledge of the sector. Output 2330: A-TVET instructors trained and supported using effective instructional practices, and student assessment strategies based on international instructor standards SMIS will support the cohort of SSI instructors to learn innovative active teaching and learning methodologies. Through a number of training programs developed by SMIS, instructors will learn to utilize appropriate teaching methodologies to deliver the SSI curricula that will emphasize the practical application of theory. This will involve showing instructors how to move away from traditional chalk and talk methodologies to incorporating information and communications technology (ICT), cooperative learning, inquiry-based learning, problem-based learning, group work, case studies, discussion forums and field visits. Note: these training programs will be designed for A- TVET instructors but public sector experts (Output 1140) responsible for developing the capacity of their line agencies may participate in such trainings to promote project efficiencies. A significant aspect of this output will be providing JES by SMIS staff and colleagues (through such forums as professional learning communities) in order to support instructors as they work hard to change their instructional practices. Output 2340: Support the procurement of essential instructional equipment (such as computers, software and reference materials) based on capacity assessments Project Inception Report (PIR) 61 June 2015

75 2 PROJECT CONCEPTS AND DESCRIPTION While the SSI and MI curricula is being adapted/developed through Immediate Outcome 2200 activities, SMIS staff will support A-TVET staff to identify related essential instructional equipment needs. The assessment will identify computer hardware and software needs; reference material needs; the ICT capacity of instructors; and the capacity of the A-TVET to maintain equipment and materials, once the project procures them. As the project may not able to meet all of the instructional equipment needs, each A-TVET will prioritize its own needs based on a menu of options and an agreed-upon budget. The portion of the agreed budget that will be covered by SMIS will be based on the funds available in the SMIS budget with consideration of other project costs and other budget commitments. The computers and necessary software will be procured and installed in each of the four selected A-TVETs Component 3: Promotion of HHMI The MoA and regional BoAs have prioritized promotion of HHMI. There is a special focus on highpotential areas, facilitating the commercialisation of smallholder agriculture as the commercialisation of smallholder farming is expected to be the major source of agricultural growth. In line with this strategy, the overall objective of Component 3 is to promote irrigated farming at the household level by introducing suitable MI systems, including low-cost and effective hand-driven pumps and rainwater harvesting in the four target regions. During the stakeholder workshops and consultation at the regional and woreda level, it was recognized that MI is defined and understood in different manners in the four target regions. In consultation with key partners, BoA Core Process Owners for MI and MoA, SMIS has adopted the definition used by ATA and AGP. The HHMI system is referred to household-level MI practiced by an individual household (up to 0.5 ha) or a group of smallholder households covering an area up to 5 ha by up to 10 households. The MI system refers to an irrigation system organized by a group of more than 10 households covering an area up to 20 ha. In both cases the area is generally under commercial or cash crops from any source of water including shallow groundwater. The SMIS strategy is designed to support both micro irrmiigation systems. In the LM, promotion of HHMI will be addressed by the following three themes (organized as immediate outcomes): 3100: Improved capacity of responsible public and private institutions to provide training and to demonstrate HHMI, O&M and OFWM practices 3200: Improved capacity of public and private institutions to develop, install and support shallow well technologies and the O&M of certified motorized and manual irrigation pumps 3300: Improved capacity of public and private institutions to provide appropriate gender equitable agricultural extension and support services Project Inception Report (PIR) 62 June 2015

76 2 PROJECT CONCEPTS AND DESCRIPTION Immediate Outcome 3100 Improved capacity of responsible public and private institutions to provide training and to demonstrate HHMI, O&M, and OFWM practices This outcome addresses all the activities to be conducted by SMIS in support of CD of public and private institutions at the regional, zonal and woreda level experts to promote sustainable MI systems at the household level and to demonstrate improved, cost-effective and appropriate technologies and irrigated agricultural practices. Output 3110: Responsible public institutions supported to identify and promote area specific HHMI technologies, systems and practices including O&M SMIS will support public and private institution in selection and promotion of area-specific HHMI technologies, systems and practices which includes O&M and OFWM. To meet this output, potential public and private institutions who are actually engaged in the development and promotion of HHMI will be assessed. While assessing these institutions, the level and types of HHMI technologies, systems and practices developed and/or promoted by each institution will also be identified. During the assessment, existing manuals, guidelines, training materials and other related documents pertinent to HHMI used will be assessed and analyzed. SMIS will also try to extend its support in improving linkage and coordination, knowledge management, CD on HHMI technologies, systems and practices among various stakeholders and partners through various mechanisms. Output 3120: Manuals, guidelines and brochures developed for selected HHMI technologies and practices Once the need of updating the existing or producing new manuals and guidelines and/or related training materials on HHMI technologies, systems and practices are identified, SMIS will support responsible public and private institutions in the production of standard guidelines and manuals through full participation and consultation. The production of a standard set of guidelines and manuals on HHMI, is believed to improve the development and use of efficient irrigation water saving technologies, appropriate water lifting technologies, development of appropriate small water storage structures, improve irrigated crop management and improve the skill and knowhow of relevant experts and end users. While preparing guidelines and manuals all cross-cutting issues (gender, environment and nutrition) will be addressed. Output 3130: Responsible public and private institutions trained and supported in application of selected HHMI technologies and practices Using the guidelines and manuals updated, produced or adopted, SMIS will continue its support in organizing and conducting demand-driven ToT training program for responsible and selected public and private institutions in the use and application of demand driven HHMI technologies, systems and practices. Following will be JES to strengthening the knowledge and knowhow of participants obtained in the in-house ToT training program. Output 3140: Support demonstrations on Farmer Training Centres (FTCs), and training of farmers on appropriate HHMI technologies For wider adoption of HHMI technologies in the project areas, SMIS will support demonstration of appropriate and cost-effective technologies, systems and practices in selected FTCs and will extend its support in facilitating training of farmers on appropriate HHMI technologies. To address this output, activities such as inventories of potential FTCs, innovative model farmer/s and appropriate Project Inception Report (PIR) 63 June 2015

77 2 PROJECT CONCEPTS AND DESCRIPTION HHMI technologies, etc. will be supported. Based on these inventories and analyses and ensuring all cross cutting issues, gender, environment and nutrition are addressed technologies for demonstration and training needs for farmers will be identified and provided. Support on JES of woreda staff in application of FTC demonstrations will continue. Output 3150: Responsible public institutions supported to monitor and evaluate performance of HHMI technologies Under output 3150, SMIS will support the responsible public institutions on developing performance indicators, an M&E database system and provision of training on M&E reporting related to selected HHMI technologies. Through the support made on provision of systematic and standard M&E tools, guideline, manual and training materials on HHMI, responsible public institutions capacity on M&E will be improved. Immediate Outcome 3200 Improved capacity of public and private institutions to develop, install and support shallow well technologies and the operation and maintenance of certified motorized and manual irrigation pumps Output 3210: Ethiopian Conformity Assessment Enterprise (ECAE) supported in planning, design, and installation of a pump testing facility for motorized and manual irrigation pumps for use in HHMI; and pump certification by ECAE The growing demand for manual and motorized pumps has greatly expanded the numbers of different types, sizes and origins of imported and locally manufactured motorized and manual pumps without consideration of quality and performance. The poor quality and lack of spare parts and service facilities has been a major cause of frustration among farmers using irrigation. The findings of the conducted institutional and capacity assessments in the four project regions and selected zones supported above observation on poor quality of motorized pumps as a major constraint to promotion of MI. This is supported by the findings and assessment conducted by ATA. The Ethiopian Standard Authority (ESA) has adopted 75 standards with 13 mandatory standards which every pumpset imported in the country must comply. The ECAE is mandated to certify mandatory standards for all motorized pumpsets imported in the country. However, ECAE does not have the equipment and capacity to test mandatory standards and certify pumps. ECAE is presently outsourcing the testing to a foreign company (SGS) for testing and certification resulting in high cost of pump test and certification. The dealers pass on the cost of testing and certification to smallholder farmers adding to the already high cost of imported pumps. MoA and ECAE desires to establish a basic modular pump test facility in Ethiopia with a view to facilitate in-house certification of imported pumps and reduce cost of testing and certification. ECAE s focus is on 13 mandatory standards. SMIS mobilized an international consultant during the inception phase to consult and support ECAE in planning, design and installation of a basic but modular pump test facility for motorized irrigation pumps for use in HHMI. The consultant s report is under review. Once an agreement is reached on the type of facilities that will meet the immediate requirements of ECAE, SMIS will support ECAE in preparing a pump test facility plan, product specifications and cost estimates, and assist in the procurement and installation of equipment. A training plan will be developed for ECAE experts in test procedures, O&M of equipment and certification procedures. Experience-sharing and study Project Inception Report (PIR) 64 June 2015

78 2 PROJECT CONCEPTS AND DESCRIPTION tours will be planned for senior ECAE test engineers to learn how quality assurance of small pumpsets for irrigation purposes is conducted and enforced by other regional countries. Output 3220: Manuals and reference materials developed and distributed on: appropriate manual drilling techniques; repair and maintenance of motorized pumps; and design, manufacturing and O&M of manual pumps The institutional and capacity assessments revealed that a number of manuals, guidelines and training materials have been developed by various institutions. The International Development Enterprise (IDE) has developed and promoted rotary and percussion hand drilling technology. MoA has developed and is promoting Sudanese hand drilling technologies. These technologies appears to be suitable for area-specific geological formations. Other agencies, pumpset dealers, TVETs and Agricultural Mechanization Wing (AMW) at MoA and in the regions have developed repair and maintenance manuals. As a first step, SMIS will review and analyse all available manuals, guidelines and training materials in order to identify their strengths, weaknesses, gaps and shortcomings based on a structured checklist prepared in consultation with AMW Platform and other stakeholders. To validate the results of the review and analyses, regional workshops with responsible public and private institutions will be conducted. Preparation of Manuals, Guidelines and Training Materials: Based on the review and analyses of all available manuals, guidelines and training materials, SMIS will support the responsible public institutions at federal and regional levels with the preparation of a set of standard manuals, guidelines and training materials related to manual hand drilling and repair and maintenance of motorized and manual pumps. The first version of the prepared manuals, guidelines and training materials will be submitted to the responsible public and private institutions at federal and regional levels for review and comments, whereas a peer review by a third party may also be considered. If necessary, workshops with all concerned stakeholders will be conducted to review the submitted comments and obtain a consensus. The regional institutions and other stakeholders will be supported in field testing the manual and techniques adopted in high-potential shallow groundwater areas in different formations. The results will be presented to stakeholders. Subsequently, a second version of the manuals, guidelines and training materials will be prepared by incorporating all validated comments and field test results; and translated to local languages before distributing to all responsible public and private institutions. SMIS will ensure that gender, environment and nutrition as cross-cutting issues will be fully incorporated during the preparation of the manuals, guidelines and training materials. The AWM forum of MoA and mechanization units attached to regional agricultural research institutes, TVETs and other stakeholders such as IDE have developed prototypes of various manual pumps. SMIS will support CD of regional experts at the zonal and woreda levels in field testing and performance assessment of prototypes. Standard design and quality control procedures will be developed and capacity of woreda experts will be developed for training of local manufacturers and micro entrepreneurs in the design, O&M and promotion of quality manual pumps. Project Inception Report (PIR) 65 June 2015

79 2 PROJECT CONCEPTS AND DESCRIPTION Output 3230: Responsible public and private institutions trained to support community members (including unemployed youth and women) on hand drilling techniques and on accessing micro finance for hand drilling equipment During an assessment carried out by the ATA and described in the Working Strategy document, key constraints for promotion of MI in high-potential shallow groundwater areas has been identified. Key among them are: limited knowledge and skill in well-drilling best practices among smallholder farmers, lack of capacity to install hand-drilled wells, availability of hand drilling equipment, lack of access to credit for HHIT and lack of access to improved inputs. ATA and IDE, among other NGOs, have developed best practices. Working closely with ATA and other stakeholders, SMIS will validate the adoption of best practices and demand for hand drilling technology in high-potential pilot woredas. Using the manuals developed in Output 3220, SMIS will support practical training at the zonal and woreda levels. Woredas will be encouraged to identify a select group of youth and women who are interested in learning and practicing hand drilling technologies, assessing hydro-geological characteristics using basic simple tools and O&M of drilling equipment. SMIS will support woredas who conduct training of selected youth and women entrepreneurs and farmers. The trained youth and women will be supported in applying the hand drilling technologies in the field. Performance and progress of hand drilling will be monitored and field validated. Based on the lessons learned in the pilot woredas, SMIS will support responsible regional institutions such as BoA and OIDA to develop a scaling-up plan. Lessons learned from MoA, ATA and IDE projects on hand drilling will be considered and simple illustrative brochures on best practices will be developed in local languages. SMIS will support woredas in the preparation of specifications and procurement of selected manual hand drilling tools, and other equipment required for the O&M of equipment. A cost-benefit analysis will be carried out to assess the economic viability of hand drilling wells and MI systems. Output 3240: Selected local manufacturers and dealers trained to produce, install, and maintain/repair manual and motorized irrigation pumps for HHMI, and to provide spare parts According to assessment reports of ATA and others, it is revealed that most motor pumps are imported by private companies, not through public support programs and tariffs on private imports drive up cost of irrigation technology. Despite the involvement of private enterprises, there are insufficient spare parts and support services for adequate maintenance of pumps. The farmers complain that pumps frequently breaks down, and their unfamiliarity with the technologies leads to delays in agricultural activities and contributes to dissatisfaction with the products. An effective O&M pump program will minimize the number of repairs to be undertaken by the pump s user. Therefore, the involvement of SMIS in support of selected local manufacturers and dealers in training programs and provision of spare parts has been considered important. SMIS will support zonal and woreda institutions in selecting local manufacturers and dealers to be trained to produce, install, and maintain/repair manual and motorized irrigation pumps for HHMI, and to provide spare parts (linked to 3220). Three main activities are planned to be conducted including: developing a production, repair and maintenance manual on manual pumps (adopted from the manual developed in 3220), supporting regional Agricultural Mechanization Units to conduct ToT for woreda and local manual pump dealers, workshops, and technicians, and finally Project Inception Report (PIR) 66 June 2015

80 2 PROJECT CONCEPTS AND DESCRIPTION supporting in ToT technical training on motorized pumps sets for local workshops, garages and technicians. The detailed activities to be conducted in achieving this output include: Review existing training manuals and revise/develop repair and maintenance manuals on selected manual pumps Support woreda conduct an assessment of the capacity of local dealers, workshops and technicians on manufacturing, repair and maintenance of manual pumps Support Agricultural Mechanization Units of BoA to conduct ToT on repair and maintenance of manual pumps Conduct an assessment of local capacity in repair and maintenance of workshops, garages and technicians Develop a concept paper and strategy on improving access to repair and maintenance services in rural area Immediate Outcome Improved capacity of public and private institutions to provide appropriate gender equitable agricultural extension and support services The proposed strategies in Output 1400 and the outputs of Outcome 3300 are closely linked. They have been organized to highlight SSI- and MI-specific irrigated agricultural technologies but will build upon and complement the results all outputs in 1400 and Strategies and activities described in Output 1400 will also be applicable to outputs in 3300 and will be implemented jointly at the regional, zonal and woreda levels. Specific strategies and activities proposed in support of promotion of HHMI are discussed below. Output 3310: Responsible public extension institutions supported to promote the results of demand-driven applied action research to farmers The strengthened research-extension-farmer linkages developed in Output 1410 will be used to identify and develop MI-specific irrigated agricultural crop production technologies and practices. Output 3320: Staff of responsible public organizations trained on irrigation agronomy, irrigation extension, and OFWM technologies for HHMI Since the target institutions at the regional, zonal and woreda levels are the same for Outputs 1430 and 3320 are the same, all activities planned under Output 1430 will be applicable to this output and will be jointly undertaken. Output 3330: Staff of responsible public institutions trained and supported to facilitate functional linkages between farmers and service providers Since the target institutions at the regional, zonal and woreda levels are the same for Outputs 1440 and 3330 are the same, all activities planned under Output 1440 will be applicable to this output and will be jointly undertaken. Project Inception Report (PIR) 67 June 2015

81 2 PROJECT CONCEPTS AND DESCRIPTION 2.3 Cross-cutting Themes Strategies Gender and Nutrition As part of the assessment work conducted during the inception phase of the SMIS project, a Gender Review of the SSMI sector was conducted in February and March 2015 in the four regions of implementation in Amhara, Oromia, SNNPR and Tigray. A literature review of key gender issues and constraints in SSI and MI and a capacity needs assessment of responsible public and private institutions (RPPIs) level of gender mainstreaming were used as assessment methodologies. Information was also gathered through meetings with relevant representatives of other organizations and programmes in Ethiopia. The assessment found that RPPIs have weak capacity to apply gender analysis across all stages of SSMI from design to M&E. They lack skill and practical tools and systems to develop gender responsive activities to reduce gender gaps and to avoid worsening existing gender and social inequities. The general assumption among RPPI staff is that gender integration is about counting numbers of targeted male and female beneficiaries. Little attention is paid to women s quality of participation. Regional Bureau gender advisers will review SSMI sub-sector plans and make recommendations for increasing women s participation and benefit but they are limited in numbers to support all SSMI sub-sectors and lack budgets, tools and institutional support to follow up with concrete actions. Another major challenge is lack of gender awareness and commitment among SSMI experts, leaders and community beneficiaries. The GoE s National Water Resource Policy (2001) has identified investing in effective, efficient and equitable irrigation as a priority intervention for improving rural household incomes and food security through increased agricultural production and productivity. Studies have shown that there are correlations between supporting gender equality in SSMI projects and the quality of hose projects results. Ignoring gender issues has led to continued marginalization of women from high value irrigated agriculture. Rural women experience unequal access and control over key social and productive assets of land, credit, farming inputs and information; low decision making power; uneven and heavy work burdens; and widespread negative gender stereotypes. These gender-based impediments hamper women s capacities to equally participate and engage in all decision making processes and to fully benefit from SSI scheme development, WUO, irrigation extension and household MI input services. Key barriers for women are their low socio-economic status and unequal access of social, economic and productive resources. These gender based constraints deny women their full rights to reach their potential and undermine their vital roles in securing household livelihoods and overall wellbeing. The main issues and barriers to women s equal participation and benefit to SSMI development and irrigated agriculture are as follows: Unequal gender division of labor Farming systems are generally male dominated with women predominantly working as family farm laborers and or dominating niches of small scale agricultural production and marketing. Project Inception Report (PIR) 68 June 2015

82 2 PROJECT CONCEPTS AND DESCRIPTION Uneven access and control of key productive resources Women have limited access to land, information and farming inputs like labor-saving/water-saving technologies, irrigation, and agricultural extension services that suit their needs and strategic interests. Married women in male headed households (WiMHHs) have little decision making power over male-controlled high value cereal crop and commercialized farming like teff, barley and Khat. In SSI development, studies show that male headed households have a comparative advantage to engaging in irrigated farming because they are land owners, and have higher access to income, farming inputs and information. FHHs have significantly lower take-up rates of irrigation as compared to men: only 2.9% of FHHs, but 4.8% of MHHs, currently use irrigation (ATA 2011). One study found that male headed households were 38% more likely to participate in irrigation activities than female headed households due to FHHs limited land access, labor deficits and limited income. Social and cultural barriers - Uneven gender norms put women and girls in a much lower social and economic status than men and boys. There are dominant gender stereotypes and misconceptions that women are not real farmers, are weak, and should remain docile that undermine their own self-confidence and motivation to engage in community and government agricultural support services that are based more in serving men s farming needs and interests. Recent research in Ethiopia suggests that investments in women s access to agricultural inputs and agronomic practices can bring up to a 30% increase in production (ATA 2011). Studies show that irrigation schemes that ignored local gender dynamics and failed to consult affected women and men farmers from the onset, reinforced gender and social inequities. In a recent study of an irrigation project in Zambia and Nepal, women farmers who had participated in irrigated plot production had greater influence in decision-making about their crops and of their husbands controlled plots as compared to households reliant on rain-fed agriculture (Wahaj et al 2012). Moreover, women and men farmers often pool their labor and resources together for mutual benefit in family farming. These positive gender dynamics should be fostered. This situational analysis demonstrates that the SMIS project must support its public and private counterparts to effectively apply proper gender analysis to understand local gender dynamics and women and men s different roles, status and benefits from agriculture production and sale. Consideration of these uneven gender relations is important to ensuing SSMI development responds to both women s and men s practical needs. It is also important to understand and respond to opportunities to increase shared decision making and pooling of labor and resources between husbands and wives. The SMIS project s gender and nutrition strategy aims to ensure gender responsive and nutrition sensitive SSMI development in SMIS-supported SSI scheme intervention areas in the four regions of implementation. The strategy entails mainstreaming gender and nutrition in all project activities. This will ensure gender responsive SSI scheme development, WUO organizational and water management practices, A-TVET SSMI training programs and irrigation extension and MI support services. Our interventions will be harmonized with current GoE initiatives in gender equality, national development plans (the GTP), irrigation-sector policies, Canadian and Dutch Project Inception Report (PIR) 69 June 2015

83 2 PROJECT CONCEPTS AND DESCRIPTION donor gender mandates and respectful of Ethiopian culture and traditions. SMIS will also address the cross-cutting theme of nutrition within its gender work. A twin track approach to gender mainstreaming will be adopted to ensure gender responsiveness in both our internal ways of working and in project management of all activities. Nutrition issues will be integrated into this approach. SMIS gender interventions will be a combination of gender mainstreamed and gender specific activities Environmental Strategies Regulatory Context There is a formal environmental regulatory framework in Ethiopia under which the Environmental Protection Authority (EPA) requires the preparation of an environmental impact assessment (EIA) for any planned development project or public policy that is likely to have a negative effect on the environment. The responsibility for coordinating the formulation implementation, review and revision of regional conservation policies and for environmental monitoring protection and regulation lies with the following regional environmental agencies: Amhara Environmental Protection, Rural Land Administration and Use Bureau (autonomous accountable to the Head of the regional government) Oromia Oromia Land and Environmental Protection Bureau (a sectorial environmental unit accountable to the regional council) SNNPR Land Administration, Land Use and Environmental Protection Agency (LALEP) under the BoA Tigray Tigray Regional State EPA, under the BoA It is essential, therefore, to ensure that as SMIS works with the partner organizations their activities are in compliance with, and promoting better understanding of, the sound rationale behind the regulations (i.e., principally to promote the long-term sustainability of the investments being made in SSI/MI). The impression given from the needs analysis and from review of available literature is that the environmental agencies and the EIA process throughout Ethiopia is still generally quite weak and that there is a generally low level of knowledge about the functions and purpose of institutions involved. Given the size of the investments being made in SSI through AGP2 and other parallel donor programs such as International Fund for Agricultural Development (IFAD) and the likely future uncertainties linked to climate change, it is essential that rigorous procedures be adopted for environmental assessment. This is needed to ensure that the investments made are in the best longterm interests of the proposed beneficiaries and of Ethiopia generally and represent good value for money. The focus of the EIAs should be on the command areas and the related water control, distribution and management systems, but also on the upstream catchments, the condition of which is usually a prime determinant of the operating costs and even the lifespan of these systems. Flash floods causing cataclysmic damage to irrigation structures and the more gradual accumulation of sediments in canals and ditches both pose major threats to SSI schemes, rendering them inoperable or increasing maintenance requirements and costs. These are often the direct result of degraded vegetative cover and exposed surfaces in the catchment areas. Project Inception Report (PIR) 70 June 2015

84 2 PROJECT CONCEPTS AND DESCRIPTION Where EIAs or Environmental and Social Impact Assessments (ESIA) are prepared they should be accompanied by an Environmental Management Plan (EMP) which should cover the following stages of project development enduring that: Pre-construction: (i) all government (EPA) requirements are complied with; (ii) technologies and processes selected for a specific development minimize environmental impacts; and (iii) there has been adequate consultation with the communities affected by the project. Construction: (i) construction procedures do not result in excessive noise dust, or water pollution; (ii) there is proper handling of wastes; and (iii) valuable natural resources (soils, vegetation, etc.) are handled appropriately. Operational: (i) application of good agronomic and land use practices including improved OFWM and application of IPM; (ii) compliance with relevant proclamations, e.g., 300/2002 (environmental pollution control) in relation for instance, to the use, handling and storage of pesticides and other potentially toxic agricultural chemicals. Strategies to be Adopted A. In relation to the EIA process In order to strengthen the EIA processes are engaged with the managers of the Regional Study and Design Teams, the EPA and the regional environmental entities to: Clearly define the conditions (i.e., size of scheme command area and size of upstream catchment) under which EIAs are required and the approval and monitoring process to be followed during the construction and operational phases (Outcomes 1120, 1210) Establish consistent guidelines for the preparation of Strategic Environmental Impact Assessments (SEIA) and EMPs that meet current regulatory requirements (Outcome 1130, 1210) Coordinate with the World Bank and with AGP2 to support the incorporation of an Environmental and Social Management Framework (ESMF) standard format to screen environmental impacts or assess the AGP format and arrange CD and awareness building linked to newly-proposed SSI schemes Establish an agreed modus operandi and training to ensure that appropriate and adequate environmental investigations are incorporated into all development activities for SSI/MI schemes (Outcomes 1140, 1210, 1220, 1230) B. In relation to Integrated Watershed Management (IWM) It is clear that there is often little working linkage between the SSI design/construction agencies and those responsible for catchment management. Thus rarely, if ever, is a true process of integrated watershed management being followed except perhaps in Oromia. A number of other governmental and non-governmental agencies are, however, engaged in catchment management and rehabilitation work. These include MoA s: SLM Programme supported by the World Bank 2 and Die Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ 3 ), and 2 SLMP Project Inception Report (PIR) 71 June 2015

85 2 PROJECT CONCEPTS AND DESCRIPTION the Productive Safety Net Programme (PSNP); Managing Environment Results for Transition (MERET) programme (World Food Programme (WFP)) and work by various NGOs. Thus, although a substantial amount of work is being targeted on catchments that have been prioritized on the basis of their degree of degradation it is not necessarily being focused on those in which irrigation schemes are planned or being developed. The result of this is that there is still a probability that many irrigation schemes are developed without effective remedial measures being implemented in the upstream catchments with the result that they are subject to rapid siltation with consequent highmaintenance requirements and costs and the likelihood of a shortened functional life. At the regional level the NRM sections in the BoAs, are responsible for catchment conservation planning, budgeting and coordination of works. The process is, however, executed through a bottom-up approach directed and implemented at kebele level through the Kebele Watershed Team supported as necessary in the selection of work sites and the selection of structural approaches by the DA and the Woreda Watershed Team. A variety of well-proven and understood physical (structural) and biological conservation measures are implemented that are effective for reducing overland flows and gulley formation and for increasing the infiltration of water into the ground. While the focus of these initiatives has been on catchment conservation there has been perhaps less emphasis on enhancing the recharge of shallow aquifers which is likely to be important in relation to the MI initiatives. In response to these issues the following steps should be taken: Establish a dialogue with the SLM Programme and NGOs involved in catchment rehabilitation works to explore opportunities for joint training of regional or woreda staff with specific emphasis on catchments below which SSI schemes are to be developed (Output 1120) Address the rigorous implementation of IWM considerations in the selection and operation of SSI systems together with regional survey and design organizations and AGP and other funding and donor organizations (Outputs 1120, 1130, 1140, 1210, 1220, 1230, 1240, 1340, 1350) Explore the situations, particularly in SNNPR and Tigray, where it is important to protect and rehabilitate recharge areas that are essential to the maintenance of shallow aquifers (Output 3110) Assess the extent to which IWM is incorporated into the A-TVET curriculum and the effectiveness of this (Output 2210) Engage with MoA on criteria for the selection or approval process for SSI schemes that takes into account the condition of upstream catchments and on adjustments to the Community Based Participatory Watershed Development (CBPWD) guidelines to give priority treatment where necessary to related catchments Compile a standard training manual, and training facilitation guide for integrated watershed management training for SSI/MI 3 Sustainable Utilization of Natural Resources for Food Security (SUN) Project Inception Report (PIR) 72 June 2015

86 2 PROJECT CONCEPTS AND DESCRIPTION C. Mapping and Survey of Watersheds The situation in regard to the mapping of catchments and the land use within them is quite variable from region to region, but overall could be greatly improved. The specialists in the Regional Case Teams responsible for undertaking the irrigation scheme feasibility and design have access Geographic Information System (GIS) to imagery or topographic maps on which they are able to identify catchment boundaries and observational land use information from which to estimate peak discharges and water balances. Most woredas appear to have administrative maps but many don t have catchments delineated and only a few show land uses. At kebele level land use maps are usually prepared by the DA and are mostly hand drawn representational maps with very little geographical precision which serve to plan conservation works. The initiatives which can be taken by the project to enhance the availability of land use information in catchments include: Improvements to the capability of the regions and the woredas to delineate the catchment boundaries and characterize them in accordance with their susceptibility to become degraded through training in the application of simple GIS technologies and provision of software/hardware (Outputs 1230, 1330, 1340) Improving the capability of regional hydrologists to assess runoff (using rational method or Cooks formula), water balances and sediment loads by having access to improved information on land use and catchment characteristics (Output 1230) Improving feasibility assessment process and diversion structure design criteria in relation to catchment size and the relative size of command areas (Output 1230) D. Soils and Land Capability Soil surveys for irrigation schemes are based largely on the assessment of soil texture rather than as pedological units reflecting landscape, geomorphology and soil forming processes. Although some chemical and physical analyses are undertaken in the laboratory, it is understood that it is not normal practice to dig soil pits to make auger borings or to otherwise investigate the nature of the underlying horizons in the soil profiles or to perform infiltration tests (e.g., double ring infiltrometer) or hydraulic conductivity tests (where water tables are shallow). This is potentially problematic as it leaves open the potential failing to identify drainage-impeding conditions deeper in the profile and results in very deficient knowledge of the root zone. Analysis of water for irrigation is done infrequently if ever and no protocols are followed for classifying land with regard to its suitability of irrigation. In response to these observations the following steps are recommended: Engage in an immediate dialogue with ATA in relation to the information being compiled in the Ethiopian Soil Information System (EthioSIS) and the uses may be made of this for: o planning of irrigation systems o planning catchment management initiatives o building better appreciation among the Regional Irrigation Design Teams and BoA staff and other partners of the need for essential soils information in the selection, development and operation of SSI schemes and for establishing and managing catchment management initiatives.(outputs 1120,1210, 1220, 1230, , 1420) Collaborate with MoA (SSI and NRM directorates) ATA, SLMP and other concerned parties (e.g., IWMI) to establish: Project Inception Report (PIR) 73 June 2015

87 2 PROJECT CONCEPTS AND DESCRIPTION o standard procedures for soils investigations for SSI schemes, including: frequency and depth of investigations, observational protocols, and essential chemical and physical analyses including field tests o guidelines for sampling and testing water to be used for irrigation purposes o guidelines for land capability assessment and mapping.(output 1210, 1410, 1420) E. Rainfall and Hydrometric Data Rain gauges and flow measurement stations are only installed sporadically among the catchments. In most cases stream flows have to be inferred using data from the nearest rain gauge, which could be many kilometers in distance using rainfall records kept by the Ethiopian Meteorological Service. There is a need, therefore, to improve the collection and application of more locally sourced data. With the regional and woreda specialists and the Ethiopian Meteorological Service review the spatial distribution of the rainfall gauges and flow measurement stations being used for project design provide truly representative information for the catchments related to the irrigation systems being developed (Outputs 1120, 1230) F. Land Drainage Although drainage may have been included in the original scheme designs it appears to be consistently overlooked during construction. If, or when, ponded water has to be removed during the wet season the farmers themselves reportedly take the necessary steps to remove it from their land. Given the known existence of saline conditions in some project woredas (e.g., Alamata Woreda in Tigray) it is evident that greater attention is required to the potential for this becoming a problem. In addition, therefore, following the steps outlined in the previous paragraph the woreda specialists in potentially saline areas should be familiarized with simple soils testing equipment (e.g., Hatch Kits and conductivity meter for assessing soil conditions) (Output 1240). G. MI from Shallow Groundwater and Ponds There appears to be generally little knowledge at regional, zonal or woreda levels concerning the location, depth or other characteristics of shallow aquifers. The most reliable sources of information reside in the communities which have historically exploited these for domestic water supplies and MI using hand dug wells (no reports were received of hand auger drills). Water is lifted either manually (bucket and rope) or else using rope and washer pumps or treadle pumps which tend to be unreliable and under-maintained and for which there is frequently a deficit of spare parts and the skills to maintain them. One of the major health problems associated with hand dug wells for the provision of domestic water is the introduction of pathogenic organisms through the use of contaminated receptacles used to draw water for human and livestock use. This can be largely overcome by the installation of drilled and lined wells fitted with pumps. The essential first steps required in relation to ensuring the safe use of shallow groundwater for irrigation or domestic use therefore include: Assess with ATA the opportunities for coordinated capacity building initiatives in the woredas in which schemes that have been selected for MI and implement training (Outputs 3110, 3120, , 3150 and 1340) Preparation of component in shallow aquifer drilling and development guidelines/manual covering measures to be taken to avoid well contamination (Output 3220) Project Inception Report (PIR) 74 June 2015

88 2 PROJECT CONCEPTS AND DESCRIPTION Review with regional specialists the need and opportunity for inclusion of groundwater development skills into the curriculum and into instructor training in the A-TVETs (Outputs 2210, 2310, 2320) Assess the availability of laboratories with the staff and equipment needed to do the essential basic analysis for drinking and irrigation water (Outputs 1120, 3120) These steps will provide the basis for the formulation of more specific CD initiatives in relation to the management and use of shallow groundwater. H. Community Engagement In the planning of irrigation schemes the engagement of communities appears to be limited primarily to the collection of data and not so much to involving them in the scheme planning process. Usually the intensity of the engagement drops off quite rapidly once ESIAs have been submitted and the feasibility stage has been completed and detailed design and even construction activities start. The planning of catchment conservation works is much more community-based, organized primarily through the kebele, usually by the DA. Even in relation to this though, there appears to be frequent exclusion of disadvantaged groups (the landless, the aged and women). For new SSI and MI schemes and in keeping with the PIDM approach, promote the engagement of communities, or at least the IWUA, at every stage of development, from feasibility analysis to scheme design and construction, so that farmers have contributed to the conceptual design and field layout, have a greater sense of ownership and better understand the manner in which the system operates (Output 1330, , 1440) Assess and, as needed, improve on community bylaws already enforced in SNNPR and Tigray and assist woredas and other regional partners to promote and extend the adoption of these for the management of their catchment areas (Output 1230) As part of the cooperation with the regional and woreda organizations responsible for the O&M of SSI schemes an initiative must be taken by regional irrigation specialists to collect and document farmer experiences from both the traditional irrigation areas and from the newer but fully functioning systems. The purpose of this would be to provide the basis for preparing a set of both positive and negative practical lessons learned to be incorporated into training materials for new irrigation farmers (Output 1330). I. Sanitation and Public Health Inadequate access to safe water and sanitation services and poor hygiene practices negatively impact health and nutrition; diarrheal disease is one of the leading causes of under-five mortality in Ethiopia 4. There is a good case to be made for promoting strengthened linkages between the study and design teams and the health bureaus at the time of project identification and design so that appropriate considerations are taken into account in project design. Promote linkages with health bureaus during project planning: to increase awareness of the nature and incidence of commonly occurring disease and their actual or potential relationship to irrigation; and to identify project design an operational measures (crop 4 Project Inception Report (PIR) 75 June 2015

89 2 PROJECT CONCEPTS AND DESCRIPTION selection, crop management, IPM, etc.) that would contribute to improved health and welfare of the communities (Outcomes 1120, 1340, 1420, ). J. Invasive Plants Invasive species that have been introduced into Ethiopia which pose a particular threat to agriculture include: Parthenium hysterophorus, pathenium weed or wiretop weed; Prosopis juliflora (Mesquite); Eichhornia crassipes (Water Hyacinth); and Striga hermonthica (Striga). Control of each requires either considerable labour or expensive treatment with herbicides, or both, which constitutes a significant constraint to farmers limited time and cash resources. In the operational design and the EIAs for new SSI schemes an assessment is needed of the potential for these or other species to invade and to constrain yields and profitability (Outcome 1410) Regional and woreda staff responsible for the design and operation of irrigation systems must be adequately informed of the invasive species that occur in the area and of the appropriate control measures (outcome 1420) K. On-farm O&M The status of on-farm water management in relation to the extension system is reviewed thoroughly in the Situation analysis and capacity needs assessment report related to gender-responsive regional irrigation extension system of Amhara, Oromia, SNNPR and Tigray regions for promoting small- and micro-irrigation development (Outcomes 1400 and 3300). It is clear from this that in addition to the issues discussed above, there are a number of issues associate with normal farmer operations are likely to have environmental or health impacts that regional- and woreda-level technical and extension staff must be aware of be aware of and which should be incorporated into any ESIA that is prepared. L. Integration with A-TVETs The DA play an essential role in the advising farmers at the kebele level and in facilitating community actions for catchment conservation and rehabilitation works. Among other things they need to have a strong background in community facilitation skills, but also essential and practical knowledge of SSI agriculture and of catchment protection measures and the function of these. The SMIS NRM staff in each of the regions should cooperate closely with the regional NRM specialists to review the A-TVET curricula to ensure that there is adequate focus on the environmental and NRM reviewed in the forgoing sections of this report, which would include (Outputs 2210, 2220, 2310, 2340): o strong community facilitation skills o fundamentals of the EIA/SEIA process and the nature of environmental issues likely to be encountered in relation to SSI/MI schemes o fundamentals of watershed protection (IWM) and soil conservation structures how they function; where and how to construct them o fundamentals of biological conservation measures species selection for different applications; establishment and husbandry of species o basic knowledge of soils and landform creation (geomorphology) o basic global positioning system (GPS) skills Project Inception Report (PIR) 76 June 2015

90 2 PROJECT CONCEPTS AND DESCRIPTION o invasive species and management procedures o improved knowledge of instructors where appropriate (Tigray, SNNPR) of shallow groundwater access and management and ability to deliver this knowledge to students Input as necessary to support of EIA for any construction work required in relation to the development of the CoEIWM or the regional A-TVETs (Output 2120) Assess needs for instruction equipment required for effective instruction of students in relation to the curriculum for environmental/lwm (Output 2340) 2.4 Sustainability and Risk Management Strategies Sustainability and Phasing of CD In its role as a support to the national SSI Capacity Building Strategy initiative, one of the SMIS key implementation challenges is to ensure the quality and sustainability of interventions and results while it supports implementing partners to institutionalize capacity within a relatively short timeframe. Sustainability is a core element of the strategy for implementing SMIS CD activities and emphasizes quality and scalability. SMIS is using a phased approach to CD that ensures sustainability of its results. The principle of the 4-stage CD model that is used in the project enhances sustainability through the following activities: establish local ownership, commitment and consensus about the need for change and plan activities in response to identified needs and priorities (stage 1) develop capacity in priority areas, primarily through training and mentoring activities (stage 2) ensure that capacity is applied to improve performance (stage 3) support internalization of changes for sustainability (stage 4). Institutionalization maximizes sustainability and is the ultimate goal of SMIS CD strategy. In order to increase its sustainability, the project has designed and sequenced its CD activities so that they can be integrated into the activities of the concerned regional government institutions. Other features of the SMIS project that will ensure sustainability are as follows: Whenever Ethiopian expertise is available, international expertise will be phased out to provide the opportunity for continued strengthening of national expertise. This may require coaching and mentoring, but an objective of the SMIS project is to encourage Ethiopian ownership and to contribute to strengthening local expertise. SMIS is structured so that there are National counterpart personnel for all international positions, both SMS and RTL positions. The capacity building of the A-TVET Colleges, through the SMIS Component 2 activities also contributes to the sustainability of project results in that it will address the medium- and long-term need for technicians as well as SMS and DA, who have the necessary knowledge and skills required for the sustainable development of the SSI, MI and irrigated agriculture now and in the future. Numerous knowledge products will be produced throughout the course of the SMIS project that will contribute to its sustainability. By the end of the project, an extensive set of Project Inception Report (PIR) 77 June 2015

91 2 PROJECT CONCEPTS AND DESCRIPTION standardized manuals, guidelines, training modules and materials will have been developed in various focus areas such as design and construction of SSI schemes, WUO development, irrigated agriculture and extension services, MI, installation and maintenance of pumps and equipment, watershed management and on-farm water management. These knowledge products will not only be used by SMIS partner institutions, but also by other public and private institutions in Ethiopia that are involved in the development of SSI, MI and irrigated agriculture. The successful implementation of SMIS will also enhance the sustainability of other projects in Ethiopia, in particular AGP, as they will benefit from improved institutional, human and technical capacity of public and private institutions involved in the development of SSI, MI and irrigated agriculture. The following principles adapted from the World Bank Group provide the guidelines for the SMIS project s sustainability plan and exit strategy to ensure lasting project benefits, and that technical expertise and knowledge are transferred to SMIS target groups. 1. Establish an enabling environment through the strengthening of relevant institutional and policy bodies. 2. Make investments responsive to informed demand. The basis of the SMIS Capacity Building Strategy is the first step arriving at consensus with the stakeholders. Through a fully participatory process, stakeholders will inform the iterative process of determining project priorities and applying methodologies to attain the greatest degree of participation. 3. Build participatory mechanisms for target group s control and stakeholder ownership. 4. Facilitate access to information. The expected results in establishing a sound knowledge management system as well as the legacy of the many knowledge products that will be produced will maximize the potential for long term gain through the program. 5. Ensure gender and social inclusion. The mainstreaming of gender responsiveness and nutrition are built into this project in every component. 6. Maintain flexibility in design of arrangements. SMIS uses an iterative approach. Sufficient flexibility is built into the methodology to ensure that the steps are not forced or implemented before their time. The CD strategy is designed to be implemented in a phased approach that takes into account specifics of local leadership, the results of prior efforts, and the realities of current partner capabilities, and how these change over the life of the project. 7. Develop simple rules and strong incentives, supported by M&E. Sustainability is enhanced when processes are simple and transparent, and when participants have strong and consistent incentives for performance. A key element of ensuring buy-in from stakeholders is for them to participate collaboratively in the preparation of the PMF. An effective communication strategy assists to build up common learning and support end of project results. 8. Design for scaling-up. In order to achieve scaling-up objectives effectively, it will be necessary for project stakeholders to document processes and design replication strategies based on lessons learned, on an ongoing basis. This is in support of the long term objective to strengthen the institutional capacity of the public and private institutions in Ethiopia that are involved in the development of SSI, MI and irrigated agriculture. Project Inception Report (PIR) 78 June 2015

92 2 PROJECT CONCEPTS AND DESCRIPTION Risk-Management Strategies The SMIS project uses a two-pronged approach to managing risks to its success, namely: i) avoiding risk situations, and ii) if the risks occur, implementing mitigation strategies. This proactive/reactive approach to monitoring risk requires a high level of awareness of local circumstances and conditions related to the risks. It is important to identify the most important risks to project success, provide some analysis of the level and potential implications of those risks, and devise a risk mitigation and response strategy. The assessment of risks is a task that is carried out for the duration of the project, and enables key stakeholders to monitor the ongoing threats to successful project implementation. Once risks have been identified, they will be noted in the Risk Register table in order to monitor the risks, as described in the table below, and to determine the level of risk (low, medium, high) in terms of the effect of the risk on the SMIS project. Some potential risks were initially identified during the design of SMIS and presented in the RFP-ToR. These potential risks were analysed during inception in terms of the level of risk posed to the success of the SMIS project. Many of these potential risks were validated and their mitigation strategies were strengthened. Some of these initial potential risks were found to be pertinent to the irrigation sector and/or to farmers livelihoods but were not considered relevant to the success of SMIS in terms of its stated CD results. Those risks were deleted from the risk register table. Some additional risks were identified during the inception period and these have been added to the Risk Register table together with mitigation actions as determined by the SMIS management team in collaboration with local GoE stakeholders. Risk monitoring and management are integrated into all project management and reporting activities, including regular team meetings and meetings with partners. The risk register will be updated twice yearly and included in the semi-annual progress reports for presentation and consideration of the PSB. The risk responses that are indicated within the risk register correlate to strategies for planning, and are included within the activities associated with various outcomes and outputs, as indicated within the LM and the work breakdown structure (WBS). For example, the risk pertaining to the lack of coordination and cooperation between government institutions involved in SSI, MI and irrigated agriculture is a key capacity focus area for SMIS as indicated in the outputs associated to outcome 1100 in the SMIS LM and WBS. The current risks for SMIS as identified during the design and inception phase of SMIS are summarised in the Risk Register table below: Project Inception Report (PIR) 79 June 2015

93 2 PROJECT CONCEPTS AND DESCRIPTION Table 2.1: Risk Register Potential Risks Political instability at national or regional level may hamper project implementation SSI, MI and irrigated agriculture. Level of risk to SMIS Success - Low Lack of continuity within the government institutions due to high staff turnover High turnover of staff compromises SMIS CD investments and results. Level of Risk to SMIS Success - High Falling value of the Euro as compared to the Ethiopian Birr results in higher costs and less money available for operations in Ethiopia. Level of Risk to SMIS Success - High Complimentary funding from other sources such as AGP1 funds for SSI schemes, demonstrations and associated activities or funds for infrastructure investments to be supported by SMIS are unavailable or delayed which would impact on SMIS results. Level of Risk to SMIS Success - High Lack of coordination and cooperation between government institutions involved in SSI, MI and irrigated agriculture Level of Risk to SMIS Success - Medium Limited availability of responsible key government personnel for participation in SMIS activities (committees, workshops, meetings, etc.) due to competing agendas or schedules. Level of Risk to SMIS Success - Medium Poor quality of imported pumps which frequently breakdown discourage farmers to invest in irrigation could impact the promotion of the technologies for HHMI development interventions Level of Risk to SMIS Success - Medium Delayed implementation of watershed interventions affecting performance and Mitigating Strategies SMIS activities will be implemented in areas where there is no instability; SMIS will ensure political neutrality in its operations. Project will support regional government with development of conducive working environment within the offices of the concerned public institutions at all levels and effective measures to reduce high staff turnover. Strengthen orientation procedures for new staff; Support the development of appropriate handing over mechanism. Strengthen Knowledge Management systems. Where appropriate, consider outsourcing services. SMIS will operate using the exchange rate in effect at project commencement. Accumulated losses (and/or gains) on EUR/ETB exchange rates will be tracked and recorded. Additional funds will be sought if accumulated losses are significant by year three. SMIS annual work plans will be integrated with regional plans with clear provisions and agreement on cost sharing. SMIS planning of infrastructure activities will be done together with relevant partners with due consideration of SMIS and Partners budget constraints. Rigorous procurement procedures will be used to ensure lowest cost of goods and services. If necessary, SMIS will assist and support Partner organizations to solicit additional funds from development partners. Project will support better coordination between different government agencies at regional level by forming RTCs and PITs. This is a CD focus area for SMIS as evidenced in the LM Outcome 1100 through which several mitigating activities will be implemented. Proper planning and timing of activities to align with government work plans. Procedures that provide for delegated representatives for senior personnel when necessary (e.g., SMIS Technical Committees). Design short and/or multiple training workshops to limit time demands on target groups. The SMIS project will assist the Ethiopian Standard Authority and Ethiopian Conformity Assessment Enterprise in establishment of standards and pump testing facility to ensure the import of good quality pumps. Project will develop integrated watershed-based SSI development project that will ensure that Project Inception Report (PIR) 80 June 2015

94 2 PROJECT CONCEPTS AND DESCRIPTION Potential Risks sustainability of SSI schemes due to siltation problems Level of Risk to SMIS Success - Medium Farmers are unable to grow irrigated crops due to lack/insufficient and/or timely supply of farm inputs (seeds, fertilizer) by government agencies Level of Risk to SMIS Success - Medium Poor male and female farmers are unable to purchase pumps due no or insufficient access to credit facilities Level of Risk to SMIS Success - Low Serious droughts affecting water availability and yields Level of Risk to SMIS Success - Medium Heavy rainfall may cause damage to irrigation infrastructure Level of Risk to SMIS Success - Medium Mitigating Strategies watershed treatment is an integrated component of SSI development. SMIS project through its agriculture extension CD activities - will strengthen or facilitate the establishment of functional linkages/value chains between farmers and service providers SMIS project through its agriculture extension CD activities - will facilitate linkages between farmers and credit suppliers. SSI and MI will reduce vulnerability to droughts. Assessment of water availability will be integrated part of SSI design SMIS Component 1 activities will lead to improved design and construction of SSI schemes including features that prevent damage from heavy rainfall such as headworks designed for flood protection and other measures. 2.5 Challenges, Issues, Constraints and Opportunities Constraints Existing in SMIS Partner Institutions One of the main findings of the conducted institutional and capacity assessments is that the large majority of the assessed public institutions at regional, zonal and woreda/district-level have the following (institutional) constraints: No/insufficient (skilled) staff due to high staff turnover and/or no recruitment of new staff for vacant positions No/insufficient (functional) vehicles required to conduct studies and other activities required for the selection, design and construction of the SSI schemes No/insufficient field equipment required to undertake feasibility studies and design of SSI schemes No/insufficient computer soft- and hardware required to process and analyse data, design of irrigation and drainage (I&D) structures and make calculations No/insufficient budget to conduct all necessary studies and other activities required for the development of the SSI schemes in a proper manner Proposed Mitigating Measure Committed Provision of Sufficient Budget and Means of Transport by Partner Institutions If staff of the responsible public institutions at regional, zonal and district level will not have access to sufficient budget and means of transport required for the execution of their tasks and duties, any activities undertaken by SMIS to enhance/strengthen the technical skills and capacities of these staff would be futile as they will be unable to apply the newly acquired technical skills and capacities as long as they do not have sufficient budget and means of transport. Project Inception Report (PIR) 81 June 2015

95 2 PROJECT CONCEPTS AND DESCRIPTION Therefore, SMIS will coordinate with the responsible public institutions at the regional level in order to ensure that sufficient budget and means of transport would be allocated to the zonal and district offices where SMIS will undertake CD activities. Adoption of Outsourcing Policy by Partner Institutions Taking into account that the (institutional) constraints related to staff, transport and budget cannot be resolved by SMIS and it is very unlikely that these constraints would be addressed by the regional governments in the short-term, it may be appropriate for the responsible public institutions to adopt a policy to outsource as many activities related to the development of SSI schemes as possible, including the execution of the feasibility studies, scheme design and construction management, to the private sector. The latter usually has all the necessary skilled and qualified staff, field equipment, vehicles and computer soft- and hardware. Before developing and implementing various CD activities, SMIS will facilitate a dialogue with the responsible public institutions at the regional level to discuss the need and benefits of outsourcing various activities related to the development of SSI schemes to the private sector, possibly in collaboration with the World Bank/AGP. IWUA Proclamation In September 2014, the (Federal) Proclamation No.841/2014 on IWUA was enacted. According to Article 3, this proclamation is applicable to IWUA, which are formed on irrigation systems constructed by the federal government throughout Ethiopia. To establish and register IWUA on SSI schemes, which are usually developed by regional governments, it is required to have a regional proclamation on IWUA. The current situation is that a regional IWUA proclamation has been drafted and adopted by the regional government in Tigray. The preparation of regional IWUA proclamations are in progress in Amhara and SNNPR. The Oromia Region is proposing regulations on IWUAs. Until their own regional regulations are approved, the region will adopt the federal proclamation on IWUAs. In addition to the IWUA proclamation, it is also required that the regional governments develop regulations on the establishment, registration and management of IWUA. Proposed Mitigating Measure As long as the IWUA Proclamation and Regulations have not been enacted at the regional level, it is not possible to establish IWUA and register them as legal entities in the respective project regions. Therefore, all CD activities related to Immediate Outcome 1300 must be focused on the establishment, registration and CD of ICs, which will be registered as legal entities under the existing regional proclamations related to the establishment of cooperative societies, until the new IWUA Proclamation and Regulations at the regional level have been promulgated. Project Inception Report (PIR) 82 June 2015

96 3 PROJECT ORGANIZATION AND MANAGEMENT 3.1 Management Approach and Organization General Approach Given the size and structure of the SMIS project, with its 5 offices covering 4 regions, having 72 fulltime national project staff and 5 full-time international staff in Ethiopia as well as 11 international SMS supporting the project, and considering the complexity of the SMIS institutional arrangements, effective project management structures, systems and procedures are essential to ensure its success. The key elements of the project management approach that will be used in SMIS are: Well-qualified international and national technical experts A broadly collaborative approach that includes provisions for effective management support systems Structures to ensure federal/regional coordination Sound M&E processes A strategy to track and mitigate risks A focus on sustainability and an exit strategy A plan for ensuring effective administrative, financial and logistical support A clear reporting framework A well-defined organizational structure and allocation of staff Results-focused methods and an RMB approach RBM Effective project management requires the focus of implementation to be on the actual results that are achieved, rather than on the various activities that are carried out in project implementation. RBM enables the definition of clearly-articulated goals, objectives and expected results, and provides tools to measure the progress towards achieving them. RBM defines levels of desired results (outcomes and outputs), applies the indicators used to measure performance toward results, and explicitly monitors the risk factors that may affect their achievement. The RBM approach provides the framework and operational tools that enable a shared understanding among SMIS stakeholders of the vision, targets and progress towards achieving its expected results. There are three key elements of the RBM approach used in the SMIS project. They are: LM (vision): The LM ensures a clear link between investment and project results, and assists in the roll-up of results for monitoring and reporting purposes. The SMIS LM has been developed during the inception period in collaboration with federal and regional partners through a participatory process based on the initial LM that was presented in the RFP-ToR. A detailed description of the SMIS LM is provided in section of this report. A copy of the final version of the SMIS LM is presented in Appendix B of this report. Risk Register (implementation and planning): The risk register is a table that describes all significant risks that were identified during the capacity assessments and other work that was conducted during the inception period. The register also describes the specific potential for negative impact that the risks pose to the success of SMIS as well as the actions or strategies for mitigating the risks. The SMIS risk register has been established based on the Project Inception Report (PIR) 83 June 2015

97 3 PROJECT ORGANIZATION AND MANAGEMENT risks identified in the RFP-ToR. It was further developed during the project inception phase as the nature of existing and potential risks were more clearly defined. These risks will be monitored and the register will be updated twice each year and included in SMIS progress reports. Initial risks will be identified and rated for their potential to compromise project results, along with mitigation strategies for each risk. As new risks emerge, new mitigation strategies will be developed. PMF (monitoring and reporting): The SMIS project management team will design the PMF, with gender-sensitive qualitative and quantitative indicators for each result level, and a baseline for each indicator from which targets can then be established. Through the PMF, performance information will be gathered continuously. Rigorous analysis of the information provided through the PMF can alert project management to areas where corrective action might be needed if project strategies are not leading to expected results. Making full use of these RBM tools for the management of the SMIS project will ensure that there is shared accountability for project results and that iterative principles are easily applied. RBM principles will inform project planning and implementation, AWPs, semi-annual progress monitoring, data collection and analysis and associated reports as well as project decision making. Broadly Collaborative Management Approach Agriteam Canada is contracted to manage the SMIS project on behalf of the GoE, EKN and DFATD using a broadly collaborative management approach. This approach will ensure meaningful, participatory and continuous engagement in the planning, implementation and monitoring of SMIS project activities by all key project implementing institutions. In addition to ensuring effective project management, this approach also contributes to the capacity strengthening objectives of SMIS in that it demonstrates leading management practices that can be applied by the local institutions (government departments, A-TVET institutions, WUO and other collaborating organizations). The broadly collaborative approach to SMIS project management also contributes to strengthening the relationships and fosters ownership with the key partner institutions. This is achieved by employing the methods and processes of the broadly collaborative management approach, such as: maintaining close and functional relationships with the key partner institutions at the regional, zonal, woreda and federal-levels ensuring regular formal and informal interaction and meetings with partner institutions liaising effectively with the PSBs, and the Technical Committees and the support institutions at the regional level providing regular reports and updates on the project through monthly project snapshot reports and communications and frequent informal briefings to key counterpart officials engaging relevant partner institutions in SMIS planning and monitoring activities maintaining productive relationships with key decision-making stakeholders at regional, zonal, woreda and federal-levels by providing regular progress reports on the project to decision-makers at various levels, by sharing information and lessons learned, and, where appropriate, making recommendations to improve SMIS performance Project Inception Report (PIR) 84 June 2015

98 3 PROJECT ORGANIZATION AND MANAGEMENT liaising effectively with other local, national and international organizations and agencies involved in CD for SSI and MI implementers Management Structure SMIS is governed by the National PSB. Regional PSBs govern project planning and implementation in each of the four regions, Amhara, Oromia, SNNPR and Tigray. Agriteam has overall project management responsibility. The Canada-based PD ensures compliance with the contractual responsibilities for the EKN/DFATD contribution to the project. The PD supports project field operations and coordinates communications with designated officials of EKN, DFATD and the GoE on project progress, finances and results. Agriteam also assigns administrative, logistics, procurement and financial personnel in Canada to ensure adequate project management support. Management functions and responsibilities in Ethiopia at federal and regional levels - are handled by the NPMU and RPMUs but with support and backstopping from Agriteam s Canada-based PD and management support personnel. In Ethiopia, the project management responsibilities are vested in the ICTA and a team of four IRTL located in Amhara, Oromia, SSNPR and Tigray. The ICTA heads the project's NPMU. The ICTA functions as the Project Field Manager and has overall responsibility for SMIS project management in Ethiopia. Each IRTL heads their respective RPMU and has responsibility for project management in their respective regions. Working directly with the international personnel in Ethiopia are national counterparts, namely: the NCTA and the NRTL. The NPMU and each RPMU also have a full complement of support staff i.e., a finance and administration manager (FAM), finance officer (FO), administrative officer (AO), drivers, cleaner/messengers (C/M) and security guards (SG). The chart below presents the SMIS Organizational structure. Project Inception Report (PIR) 85 June 2015

99 3 PROJECT ORGANIZATION AND MANAGEMENT Figure 3.1: Project Organizational Chart Project Inception Report (PIR) 86 June 2015

100 3 PROJECT ORGANIZATION AND MANAGEMENT Reporting Protocols and Schedule The PD and the SMIS management team in Ethiopia (ICTA, NCTA, IRTL and NRTL) are responsible for the preparation and submission of all work plans and reports including the inception report, AWPs and the six-monthly and annual consolidated progress reports. All reports will be submitted according to the deadlines as set out below. As noted in section of this report, the SMIS project operates according to the Ethiopian calendar which, in the European calendar is from July to June of the following year as follows: Inception Phase: November 4, 2014 to July 7, 2015 PY1: July 8, 2015 to July 7, 2016 (Ethiopia Calendar Hamle 01, 2007 to Sene 30, 2008) PY2: July 8, 2016 to July 7, 2017 (Ethiopia Calendar Hamle 01, 2008 to Sene 30, 2009) PY3: July 8, 2017 to July 7, 2018 (Ethiopia Calendar Hamle 01, 2009 to Sene 30, 2010) PY4: July 8, 2018 to July 7, 2019 (Ethiopia Calendar Hamle 01, 2010 to Sene 30, 2011) PY5: July 8, 2019 to November 3, 2019 (this is the end date of the SMIS contract). The PIR is prepared at the end of the inception phase. The SMIS AWPs will be prepared prior to the start of each project year. The due date of the six-monthly Semi-annual Progress Report (SAPR) and the Annual Progress Report (APR) is within two months after the reference period as stipulated in the RFP-ToR. It was recommended during the 1 st SMIS PSB meeting that the RTLs at each SMIS RPMU should provide quarterly progress briefings or reports to their respective RSB. A mid-term review will be organised in the third year of the project. The ToR for the mid-term review will be prepared by the PD together with the ICTA in consultation with the NRM/SSI Directorates within MoA. The ToR will be presented for discussion and approval by the PSB. Allowing two months after the end of the project for the preparation of the APR would mean a due date of August 31 st. However, the PSB meeting to approve the AWP takes place in June. The PSB will require information about the progress of the SMIS project during the previous year as it relates to the AWP being considered. Therefore, each year a preliminary APR presentation will be made at the June PSB meetings after which the complete APR will be prepared and circulated to PSB members by the end of August each year. Financial reports will be submitted twice yearly as part of the SAP and APR. Annual financial audits will also be conducted at the end of each project year. The table below presents the schedule of all SMIS project reports and their respective due dates. Project Inception Report (PIR) 87 June 2015

101 3 PROJECT ORGANIZATION AND MANAGEMENT Table 3.1: Schedule of SMIS Project Reports Name and Description of Report Due Date (Draft for PSB) PIR, including overall work plan for entire project implementation period, detailed approach for phasing of project activities and embedding of 1 national experts within partner institutions; proposed selection of A-TVET June 4, 2015 Colleges; modalities for alignment of SMIS with complementary projects and programmes as well as potential external service providers; M&E framework and draft LOU between MoA, EKN and Agriteam. 2 1 st AWP and Budget for period July 7, 2015 to July 6, 2016 June 4, st SAPR (activity report and financial report) January 29, st Preliminary APR presentation at PSB Meeting June 9, st APR (activity report and financial report) August 28, st Annual Audit October 31, nd AWP and budget for period July 7, 2016 to July 6, 2017 June 9, nd SAPR (activity report and financial report) January 27, nd Preliminary APR presentation at PSB Meeting June 8, nd APR (activity report and financial report) August 31, nd Annual Audit October 31, rd AWP and budget for period July 7, 2017 to July 6, 2018 June 8, rd SAPR (activity report and financial report) January 26, rd Preliminary APR presentation at PSB Meeting June 7, Mid Term Review to be conducted in June/July 2018 August 30, rd APR (activity report, financial report and mid-term review results) August 30, rd Annual Audit October 31, th (Final) AWP and Budget for period July 7, 2018 to November 3, 2019 June 7, th SAPR (activity report and financial report) January 25, th Preliminary APR presentation at Final PSB Meeting June 7, Final report (activity report and financial report), including: a) review of operations, results, lessons learned and obstacles for entire project period; October 31, 2019 and b) assessment of impact and sustainability 22 Final Audit (for period July 2018 to November 2019) December 31, 2019 All reports are submitted to the PSB for discussion and approval. Consequently, the reports are prepared and submitted to the PSB as draft reports two weeks prior to each PSB meeting. The draft reports are revised according to the comments and decisions of the PSB and the final versions of the reports are circulated to the PSB members within two weeks following the respective PSB meetings. In consideration of current environmental practices, all reports are prepared in electronic format and circulated by means of attachments. Printed copies of reports will be prepared for project files. Copies of the printed versions of the report will be available to any PSB members who request them. Project Inception Report (PIR) 88 June 2015

102 3 PROJECT ORGANIZATION AND MANAGEMENT Project Governance and Implementation Structures Federal-Level Structures Ministry of Agriculture (MoA) The MoA through its NRM Directorate and the newly created Small Scale Irrigation Directorate will have overall responsibility for oversight and guidance of the SMIS project, including the review of the six-monthly and annual progress reports submitted by the National Project Management Unit (NPMU). Through its Watershed and SSI teams, the NRM and or SSI Directorates within MoA will also provide technical support to the regional bureaus. During quarterly project coordination meetings, the NRM and/or SSI Directorates within the MoA will review the implementation of the project and its progress with EKN and DFATD. Project Supervisory Board: At the national level, the Project Supervisory Board (PSB, a body similar to a Project Steering Committee), chaired by the NRM State Minister, will provide overall guidance and oversight of the SMIS Project. The role of PSB is to oversee the implementation of SMIS and provide guidance and overall strategic direction. PSB will ensure that the Project is in line with national policies and strategies and is directed towards expected results agreed upon in the Implementation Plan. The PSB will review and approve the Project Implementation/ Operational Plan, as described in the Project Inception Report (PIR), and subsequent annual work plans and budgets. The PSB will review and analyze Project progress, incipient results, lessons learned, and recommend modifications or adjustments in the Project strategies, scope and expected results. Specifically, the PSB is responsible for: 1. Policy guideline and overall supervision of the project 2. Review and approve SMIS Implementation plan 3. Review and approve annual work plan and budget 4. Review and approve annual procurement plan 5. Review and approve six-monthly and annual progress reports 6. Review and approve financial report 7. Approve and amend SMIS management structure, procedures, terms of reference of any committee or individual delegated to the Project 8. Review and comment on studies and special and periodic reports including those from external and internal monitoring and evaluation of performance 9. Review project implementation constraints and direct relevant federal and regional agencies for appropriate mitigation measures The PSB may decide to amend or add any responsibilities as it may deem necessary. Members of the PSB will include senior officials from the MoA, MoWIE, MoFED and MoE as well as senior officials from EKN and DFATD and the SMIS Project Director as ex-officio member representing Agriteam Canada Consulting Consortium. The composition of the PSB is as follows: Chairperson: NRM State Minister, MoA and representatives from: 1. Ministry of Agriculture, NRM Directorate 2. Ministry of Agriculture, SSI Directorate 3. Ministry of Water, Irrigation and Energy (MoWIE) Project Inception Report (PIR) 89 June 2015

103 3 PROJECT ORGANIZATION AND MANAGEMENT 4. Ministry of Finance and Economic Development (MoEFD) 5. Ministry of Education, TVET Directorate 6. Representative from ATA, Household Micro Irrigation Directorate 7. Representative from EKN 8. Representative from DFATD 9. Chairperson of Regional Supervisory Boards (RSBs) from Oromia, Amhara, Tigray, SNNPR 10. Project Director, SMIS Project, Ex-officio member PSB may invite participants from relevant partner institutions. SMIS Chief Technical Advisors will jointly act as secretariat and assist in proceedings. SMIS Project, through the NPMU, will facilitate and support the meetings and the contributions of the members of the PSB. PSB meetings are arranged twice yearly; once in June each year to review and approve the annual progress report from the previous year and the AWP for the coming year, and; once in February each year to review and approve the SAPR. The PSB meetings will be conducted in suitable meeting venues using best meeting practices; fixed agendas, presentations from SMIS Managers, adequate time for discussions and recording of minutes and action points for follow-up. The first PSB meeting will be conducted June 18, The main agenda items will be the review and approval of this PIR as well as the review and approval of the AWP for PY1 (July 8, 2015 to July 7, 2016). NPMU The NPMU for SMIS is responsible for operational decision making and effective implementation of the entire project, including planning, coordination and supervision. In addition, the NPMU will coordinate the specific federal activities under Component 1: Small-scale irrigation capacity building activities at the federal level, including capacity building of SSI and Watershed Teams within NRM/SSI Directorates and Component 2: Support to A-TVET Colleges. Headed by the ICTA, the main responsibilities for project implementation of the NPMU are: preparation of the federal work plan; compilation of the federal and regional work plans and budgets in one overall work plan and budget for the entire project; project-related procurement and contracting; liaising with ATA to plan and coordinate activities related to MI development; identification, establishment and maintenance of linkages with all concerned government institutions and ongoing projects/programmes involved in SSI and MI; facilitation of exchange of documents, data, information and best practices between the four regions and with other institutions, agencies and projects/programmes, and; participation in the technical committees of other projects/programmes when necessary (i.e., AGP, SLMP). Technical Assistance Team (TAT): The TAT is responsible for the provision of technical support, project management support and quality control. The TAT will be headed by the ICTA and consist of international and national long- and short-term SMS. The TAT will also support the federal activities concerning the capacity building of A-TVET Colleges as well as the capacity building of the SSI and Watershed Teams within the NRM/SSI Directorates. The main responsibility of the SMIS Project Inception Report (PIR) 90 June 2015

104 3 PROJECT ORGANIZATION AND MANAGEMENT international SMS, as members of the TAT, is the provision of training, advice, technical support and backstopping to the PIT at the regional level prior to and during the implementation of capacity building activities Regional-Level Structures Regional Supervisory Boards: In each of the four regions (Amhara, Oromia, SNNPR and Tigray) the Regional Supervisory Board (RSB, a body similar to a Project Steering Committee) will provide oversight of SMIS in the region. The RSB will ensure that SMIS Plans and activities address regional priorities within the framework of national strategies. The RSB will be chaired by the Head of Bureau of Agriculture (BoA). Other members of the RSB will include senior officials from relevant regional bureaus and agencies involved in the development of SSI, micro irrigation and irrigated agriculture as well as the Bureau of Finance and Economic Development (BoFED) and the TVET Bureau/Agency. The recommended structure and terms of reference are proposed below. Composition: Chairperson: Bureau Head, BoA and member representatives from: 1. Head, Bureau of Water or other agency responsible for SSI development 2. Process Owner, Household Micro-irrigation implementing process 3. Director, Agricultural Research Institute 4. Head, Bureau of Cooperative Promotion 5. Representative from Women and Youth Welfare Agency 6. Representative from Environmental Protection Agency 7. Others that RSB considers necessary The RSB may invite participants from relevant other partner organizations, NGOs and private sector. The Regional Team Leaders will jointly act as secretariat and assist in proceedings. SMIS Project, through the RPMU, will facilitate and support the meetings and contributions of the members of the RSB. The functions and Responsibilities of the Regional Supervisor Boards are as follows: 1. Policy guideline and overall supervision 2. Review and approve regional annual work plan and budget 3. Review and approve regional annual procurement plan 4. Review and approve six-monthly and annual progress reports 5. Facilitate a collaborative working platform involving key partner institutions 6. Facilitate assignment of counterpart staff and focal persons from relevant institutions 7. Review and comment on regional studies and special and periodic reports including those from external and internal monitoring and evaluation of performance 8. Review project implementation constraints and direct relevant agencies at the regional, zonal and woreda levels for appropriate mitigation measures Project Inception Report (PIR) 91 June 2015

105 3 PROJECT ORGANIZATION AND MANAGEMENT RSB meetings are arranged twice yearly; once in June to review and approve the APR from the previous year and the AWP for the coming year, and; once in February to review and approve the SAPR. The RSB meetings will be conducted in suitable meeting venues using best meeting practices; fixed agendas, presentations from SMIS managers, adequate time for discussions and recording of minutes and action points for follow-up. Regional Technical Committees (RTC) SMIS will establish RTC in each of the four regions. The RTC will be composed of senior technical staff from relevant regional government agencies. Ideally, the RTC could be an existing committee that the project could work with and strengthen a working collaborative platform. The role of the RTC is to assist the RSB and RPMU on all technical aspects related to the development of SSI, MI and irrigated agriculture. The SMIS project, through the RPMU, will facilitate and support the meetings and contributions of the members of the RTC. The role of the RTC as a working-level committee is to closely assist, follow-up and support the smooth implementation of SMIS work plans and provide timely guidance to the joint project implementation team. To ensure that the project is directed towards regional priorities and expected results agreed upon in the regional implementation plan, the RTC will actively participate in the preparation and review of the regional implementation plan and subsequent AWPs and budgets. The RTC will follow project progress on activities and results and recommend to the RSB justifiable modifications/adjustments to the project strategies, scope and expected results. This committee is facilitated by the RTL and the RTC should comprise technical experts from BoA (ID, IE, NRM/SSI), BoWRD, BoWYCA, BoEPLAU, CPA, ASD, and RARI. RPMU experts and/or AGP coordinators may be invited to attend meetings dealing with topics relevant to their work. The RPMU may act as secretariat. Specifically, the RTCs are responsible for: Advising and guiding the PIT in all technical matters related to SSI development, MI and irrigated agriculture Reviewing project strategies, methodologies and procedures; and ensuring that they meet national standards Reviewing all manuals and guidelines adopted or developed by the project Ensuring standardization of procedures, guidelines and manuals in the region Contributing to capacity needs assessments and/or other assessments as necessary Acting as resource persons in various CD programs and training events Joint field monitoring of project activities with SMIS experts Contributing to and assisting in the preparation of project operational annual reports and plans Addressing implementation issues and constraints on a regular basis and promptly bringing them to the attention of Bureau Heads Reviewing and commenting on studies and special and periodic reports including those from external and internal M&E of performance Project Inception Report (PIR) 92 June 2015

106 3 PROJECT ORGANIZATION AND MANAGEMENT Ensuring effective and harmonious collaboration/coordination of activities between relevant partners and RPMU Securing participation of and inputs from all project stakeholders and target groups The RTC meet on a monthly basis or more often if required. PIT SMIS through its RPMU and PITs plan and implement CD activities together with partner institutions, which are the regional government institutions responsible for the development of SSI, MI and irrigated agriculture. Each RPMU works to ensure that all concerned regional government agencies are considered as equal partner institutions. They also facilitate and strengthen the coordination and cooperation between the concerned regional government agencies with regard to the development of SSI, MI and irrigated agriculture in accordance with the integrated watershed-based approach. Members of the PITs from SMIS consist exclusively of national SMS. The main responsibility of the SMIS international SMS, as members of the TAT, is the provision of training, advice, technical support and backstopping to the PIT at the regional level prior to and during the implementation of capacity building activities. Zonal and Woreda Focal Persons Based on past experience from other projects, it is proposed that Zonal and Woreda focal persons be appointed from within the permanent staff members of relevant government departments. As well as supporting implementation of capacity development activities, these focal persons will also facilitate scaling up and rolling out best practices within the region. These focal persons would be supported by SMIS Project through the respective RPMU offices with logistical and communications support. The chart below provides a visual representation of the SMIS project governance and implementation structures: Project Inception Report (PIR) 93 June 2015

107 3 PROJECT ORGANIZATION AND MANAGEMENT 3.2 Roles and Responsibilities within Project The SMIS project will work through a number of guiding principles to ensure proper checks and balances of project activities. Specific emphasis is there on ensuring adequate ownership of the GoE and accountability to the donors (EKN/DFATD). The guiding principles are as follows: MoA, through the NRMD and/or SSI Directorate, will have overall responsibility for project coordination Agriteam will provide the overall management of project operations and the provision of technical support and assistance to MoA and concerned regional line departments with the implementation of SMIS EKN will maintain contractual arrangements with Agriteam (in consultation with the GoE) SMIS will be implemented in partnership with various public and private institutions that are directly and indirectly involved in the development of SSI, MI and irrigated agriculture SMIS, through its RPMU and PIT, will plan and execute all envisaged capacity building activities together with partner institutions, which are the regional government institutions responsible for the development of SSI, MI and irrigated agriculture SMIS will also establish functional linkages with 'support institutions', such as public and private institutions as well as ongoing projects and programmes, for sharing information on best practices and providing capacity building services A-TVET Colleges selected for direct support from SMIS will be the main partner institutions of SMIS for Component 2: Capacity Building of CoEIWM Project Inception Report (PIR) 94 June 2015

108 3 PROJECT ORGANIZATION AND MANAGEMENT ATA will be a key partner institution of SMIS at the federal level for strategic and policy issues related to Component 3: Promotion of MI In each region, a number of SSI schemes to be constructed or rehabilitated with funds from the regional government or other projects (i.e., AGP) will be selected for SMIS focus in a limited number of watersheds as 'pilots' and examples of best practices. The regional BoA and other institutions that are responsible for implementing these schemes will be supported intensively by SMIS Governments The EKN has contracted Agriteam as the implementing organization to provide services for the management and execution of the SMIS project in Ethiopia. The project is co-financed by the Government of Canada through DFATD. The oversight and guidance body for the project in Ethiopia is the MoA. The MoA has further designated the NRMD to be the primary counterpart for the SMIS. EKN and DFATD The EKN and the DFATD are the joint donors of the SMIS project. The EKN has responsibilities as the Contracting Authority. DFATD has a silent partner role under the terms of its agreement with the EKN and the GoE. GoE An MOU has been signed between the GoE and the Governments of the Netherlands and Canada. MoFED is the signatory to the MOU and is designated as the official GoE representative for the project. MoFED has designated responsibility for this project to the MoA. The roles and responsibilities of the MoA are further described in section below Agriteam Consortium Members (Canada) Agriteam is the lead firm in the consortium with overall project management responsibility. Specific responsibilities include the following: Assign the Canada-based PD to oversee project delivery Assign administrative, logistics, procurement and financial personnel to ensure adequate management support Lead the preparation of all project planning and reporting documents: Inception work plan Project implementation AWPs and budgets SAPRs and financial reports APRs Technical and special studies and reports Project completion report Manage, administer and support all long- and short-term project personnel Prepare all financial statements and submit invoices to the contracting authority EKN Handle coordination with and among consortium members and/or sub-contractors using effective yet economical communications facilities Project Inception Report (PIR) 95 June 2015

109 3 PROJECT ORGANIZATION AND MANAGEMENT Ensure that the SMIS Guiding Principles as described in the RFP-ToR section 2.7 are observed Ensure compliance with contract and legal requirements AG Consult (Ethiopia) AG Consult provides their technical experts and specialists for the delivery of the project. AG Consult manages the Water Technology Training Center, which will be available for the delivery of training related to SMIS, and which consists of modern facilities and equipment with space for 45 trainees at one time. AG Consult conducted the A-TVET Assessment study during the inception phase. They have experience working with TVETs and A-TVETs in water management technical areas. As such AG Consult will contribute to SMIS Activities in Component 2: Strengthening A-TVETs. McGill University (Canada) The McGill Faculty of Agricultural and Environmental Sciences (MacDonald College) has extensive resources and experience in the delivery of training and institutional strengthening initiatives for farmers, technicians, water managers, technical specialists, researchers, academics and policy makers. Chandra A. Madramootoo, Dean for the Faculty of Agricultural and Environmental Sciences will contribute directly to SMIS in his capacity as the OFWM SMS. The Brace Centre for Water Resources Management is a multi-disciplinary research and training centre of McGill University. The Brace Centre will also serve as a model for establishing the CoEIWM in Ethiopia. Van Hall Larenstein University of Applied Sciences (VHL) (Netherlands) VHL was engaged in a Netherlands-funded capacity building project with Mizan, an A-TVET College in Ethiopia, and has substantial capacity for A-TVET support and capacity building. They are making their team of TVET experts available to SMIS for work in Component 2 particularly in the areas of curriculum development and revision and instructor training. Headed by Steven Starmans, the VHL team of TVET experts consists of Richard Kraaijvanger, Michiel Hupkes and Hermine de Wolf. Cooperative WaterFocus (Netherlands) As a cooperative of more than 40 independent Netherlands professionals in the water and irrigation sectors, WaterFocus, together with their partner in the cooperative, the Nedworc Foundation, provide technical expertise to the SMIS. One IRTL (Bob Pengel in Amhara) and the Pumps Testing expert (Jan Nederstigt) that conducted the initial pumps standards assessment are assigned to the SMIS from WaterFocus Project Management Team The PD (Canada-based) Based in Agriteam s Head Office in Canada the PD represents Agriteam and assumes overall responsibility for project management and administration including responsibility for matters pertaining to the contract for SMIS with the EKN. The PD also has overall management responsibility for implementation throughout the duration of the project, as well as responsibility for ensuring the quality of services rendered and the overall implementation of the project in accordance with the approved work plans. The PD delegates the day-to-day authority for managing SMIS in Ethiopia to the ICTA. Project Inception Report (PIR) 96 June 2015

110 3 PROJECT ORGANIZATION AND MANAGEMENT The PD will participate in at least two planning and monitoring missions to Ethiopia each year. He will represent Agriteam at the SMIS PSB meetings as part of the PSB Secretariat. During periods of time when the PD is not in Ethiopia, s/he will provide oversight and support to the project management team in Ethiopia and financial services team in Canada and contribute to communications and project reporting for the EKN and the GoE. ICTA The ICTA has overall technical responsibility for the project as well as responsibility for managing the project in the Ethiopia. S/he works in collaboration and consultation with the PD and plays a key role in planning and implementing activities and interventions in the field that will contribute to achieving the project s expected results. The ICTA will be in place for the duration of the project and is based in the NPMU in Addis Ababa. The ICTA provides the day-to-day management of SMIS operations in Ethiopia. Along with the PD, the ICTA acts as the primary point of project liaison with the EKN in Addis Ababa and with the Ethiopian government counterparts. The ICTA is responsible for developing strong and mutually respectful relationships among project counterparts, and ensuring that open communications are established with key Ethiopian partners and stakeholders. The ICTA participates in PSB meetings as part of the PSB Secretariat. He may also serve as ex-officio member of the RTC. The ICTA works collaboratively with the regional project teams and has oversight responsibility for the RTLs. IRTL/NRTL The IRTL and the NRTL will have shared responsibility for: overall program management at the regional level guiding national and international experts building and maintaining relationships with BoA and other public and private institutions planning activities and reporting on results The RFP-ToR proposed that the IRTL would work in the RPMUs on a full-time basis for the first two years of the project after which they would demobilize but return for short-intermittent support missions during the following two years. During the inception phase the SMIS team reviewed this proposal and decided that it would be more effective and efficient to keep the IRTL in the RPMUs for a full three years after which they would be demobilized. The idea is that the management capacity of the NRTL would be strengthened so that they could assume full management responsibility without IRTL support - by the end of PY3 (June 2018). The IRTL and the NRTL are jointly responsible for integrating the technical expertise and other inputs required to strengthen the institutional/organizational CD of the partner institutions to enable them to support sustained and effective SSMI development by poor communities in the region. In close collaboration with their respective NRTL, the IRTL will ensure that all project deliverables are submitted in accordance with scope, quality, timeframe and budget assigned to them. The IRTL and NRTL also liaise with and report regularly to their RSB and RTCs. Included in the management responsibilities of the IRTL is the allocating and controlling use of the project funds. Project Inception Report (PIR) 97 June 2015

111 3 PROJECT ORGANIZATION AND MANAGEMENT SMIS Management Team in Ethiopia The ICTA, NCTA, IRTL and NRTL form the core management team in Ethiopia. They are responsible for ensuring high-quality performance from project staff and consultants. They will ensure that the content delivered by SMIS staff and SMS is consistent with project objectives. The core management team will meet regularly at least every two months to review progress, address management issues and share information about the SMIS activities and results in their respective jurisdictions. An important responsibility of the SMIS management team is to ensure that all staff members are motivated and have a clear understanding of SMIS, its intended results, strategies and approaches, its operating and administrative guidelines and procedures, and the roles and responsibilities of all staff/team members. This is achieved through orientation procedures for new project staff and ongoing team building efforts that are embedded in the regular interactions and activities between managers and staff. Managers monitor staff performance through regular and ongoing performance evaluations that enable recognition of strong performance and identification of support that may be needed to improve performance. SMIS Code of Conduct Another important responsibility of the SMIS management team is to demonstrate good practices and professional conduct; to establish a code of conduct for communications and inter-personal relations with and among staff, to communicate the code of conduct to all staff, to ensure its adherence and to make sure that harmful practices such as harassment, bullying and abuse of any kind are not tolerated at any level of operations within SMIS International and National SMS International and national experts have been engaged by the project as SMS. They serve as technical advisors and resource persons for the project management team. They also support the RTC and the regional PIT. National SMS also provide direct JES in their area of expertise as part of the SMIS jobembedded CD support to partner institutions in the four regions. More information about the role and functions of each SMS is provided in section 4.6 of this report. The selection of SMS has been done according to the RFP-ToR requirements (section 7.2). All SMS, both international and national, engaged by SMIS are independent and free from conflicts of interest in the responsibilities accorded to them. SMS provide technical information, advice and recommendations to the SMIS project management team, but they are not members of the management group and are not actively involved in project management decision making. This can sometimes lead to differences of opinion between the SMS and the management team on matters such as focus areas, priorities, activities to be implemented and levels of support in their focus areas. In most cases the differences of opinion are overcome through discussion and negotiation. However, it is clear to all SMS that the authority to make decisions on these and other relevant matters rests solely with the management team. The SMS respect the management team structure and communications protocols. They also work according to the SMIS Code of Conduct. The international SMS ensure that the ICTA and/or the RTL are kept informed of his/her activities and communications with staff and partners in their Project Inception Report (PIR) 98 June 2015

112 3 PROJECT ORGANIZATION AND MANAGEMENT respective jurisdictions. Further, the level of effort assigned to the short-term SMS both national and international - for providing their contribution to the project as well as the timing/schedule of their missions and field work in Ethiopia is determined by the project management team. The SMS are engaged by SMIS through annual contracts, either as contracts of employment for fulltime national SMS, or through consultancy contracts with specified levels of effort (number of days) and agreed timing and schedule of missions and/or field visits indicated in their respective contracts. International SMS are engaged for ongoing work, through intermittent short-term assignments under the general ToR for their positions. In addition, specific ToR are prepared by the project management team for each SMS mission. These mission ToR also spell out the deliverables and expected results of each of the SMS assignments Ministry of Agriculture The MoA, having been designated responsibility for the SMIS project by MoFED, further designated their responsibilities to the NRMD. In April 2015 a new Small Scale Irrigation Directorate (SSID) was established within the MoA. It is anticipated that the responsibilities for the SMIS project will be transferred from the NRMD to the new SSID. The MoA is the primary counterpart agency for the SMIS project and has several roles and responsibilities for the project. As stated earlier in this report, a key activity completed during the inception period, was the negotiation and approval of an LOU that sets out the responsibilities of the EKN, MoA and Agriteam in relation to the implementation of the SMIS project. A copy of the LOU is attached as Appendix A of this report. The MoA has a governing role in that the NRMD and/or SSID is a member of the PSB and the State Minister responsible for the NRMD and SSID serves as the Chair of the PSB. The MoA is also a key partner in the planning and implementation of the SMIS project. The project inception plan, the project implementation plan and the AWPs are prepared by the SMIS management team in consultation with the MoA and their regional counterparts. Likewise, the key element for monitoring SMIS progress, the SMIS PMF will be developed in consultation with the MoA and their regional counterparts. The MoA and its regional counterparts are also key members of the SMIS Technical Committees as well as the regional PITs. The MoA is also responsible to ensure that relevant counterpart personnel from government departments and agencies are available and authorized to support the SMIS project and to engage in relevant project structures such as being members of project committees, serving as focal persons or participating in other project activities as may be required. Project activities will be planned and scheduled in collaboration with regional government partner institutions to the extent possible in order to enable SMIS activities to be integrated into regional plans. The MoA also acts as the official liaison with other government offices in Ethiopia for SMIS. They provide guidance and support pertaining to government regulations and procedures for logistics and procurement such as assisting with the immigration procedures for obtaining visas for long- and short-term international experts, and facilitating duty-free importation of project vehicles and equipment. The MoA provided the necessary support letters and other documentation that is required to obtain a VAT-exempt TIN and duty-free status in order to facilitate project procurement. Project Inception Report (PIR) 99 June 2015

113 3 PROJECT ORGANIZATION AND MANAGEMENT In addition to the above, the MoA, through the NRMD and/or the SSID, will have the following roles and responsibilities pertaining to the SMIS project: Participate in PSB meetings Facilitate linkages with SSI projects and harmonization of SMIS activities Facilitate manuals and guidelines preparation, and support standardization of manuals and procedures Facilitate linkages with the Federal Coordination Unit (FCU)-AGP, and other federal institutions involved in SSI and MI development Facilitate linkages with regional institutions involved in SSI development Participate CD, project M&E activities Facilitate proposed measures for mitigation of possible constraints and risks Ministry of Water, Irrigation and Energy The MoWIE, through the Irrigation Development Department, will have the following roles and responsibilities pertaining to the SMIS project: Participate in PSB meetings Nominate a focal person to closely collaborate with SMIS project Review manuals and guidelines and provide input in standardization of SSI development manuals and guidelines Facilitate provision of hydro-met data and assist in the development of irrigation database Facilitate provision of available irrigation maps, data and shape-files Provide the necessary human resources, in a timely manner, to facilitate CD exercises that will enable the project to deliver the stated outputs Participate in various workshops related to consensus building and review, comment and approval of documents to be produced by SMIS project Provide access to all relevant documentation that will assist in the development of SSIs, special studies and enhancement of the irrigation database. The Water Technology Institute (WTI) within the MoWIE may also become a key partner institution for the SMIS Project. The relationship and the potential opportunities for collaboration will be established and defined early in the 1 st year of implementation Supporting and Collaborating Institutions Preliminary consultations revealed that the institutional landscape at the regional level is very diverse and would require clear identification of key institutions involved in the implementation of SMIS project components. SMIS carried out an institutional assessment at the federal and regional levels of institutions including zones and selected woredas (also refer to Section 1.5.3). The following is a summary of key partner and supporting institutions at the federal and regional levels Federal Institutions The table below presents a summary of federal institutions and their expected contribution in achieving the SMIS project s immediate outcomes and outputs (refer to the SMIS LM in Appendix B). Project Inception Report (PIR) 100 June 2015

114 3 PROJECT ORGANIZATION AND MANAGEMENT Project Inception Report (PIR) 101 June 2015

115 3 PROJECT ORGANIZATION AND MANAGEMENT Table 3.2: Federal Institutions Relevant for SMIS MoA NRMD Institution Irrigation Case Team, NRMD Role and Responsibilities Relative to SMIS Overall project coordination and Chair of the PSB, facilitation of linkages and harmonization of projects/programs with SMIS activities, facilitation of MoA support as per the LOU signed between MoA and SMIS, overall project M&E, facilitation of measures for mitigation of constraints and risks as per LOU. Facilitation of linkages with SSI projects and harmonization of SMIS activities, facilitation of manuals and guidelines, support standardization of manuals and procedures, facilitate linkages with FCU-AGP, facilitation of linkages with regional institutions involved in SSI development, participation in CD, project monitoring. Contribution to Outputs 1000, 2000, , 1300, 3100, 3200 Watershed Team, NRMD Facilitation of watershed based approach to SSI development A-TVET Project Office Support selection of A-TVETs, facilitation of linkages with A- TVETs, participation in review of OS, participation in review/modification of curriculum, participation in the development of a CoEIWM, facilitation of linkages with other projects and programs linked to A-TVET development. 3100, 3200 Agriculture Extension Directorate Support manuals and guidelines on irrigation extension, facilitation of linkages with BoAs, facilitate OEWM demonstrations on pilot schemes and FTCs, participate in CD at the woreda and kebele levels. MoE Support review of OS in SSI development; facilitate review of TVET Agency curriculum in SSI and MI development. Ministry of Water, Irrigation and Energy Irrigation Development Directorate Participate in PSB meetings, facilitate provision of data and information on irrigation development, participate in standardization of SSI development practices and guidelines. Agricultural Transformation Agency Support development of manual pumps standards and quality control at the local level, support quality of manual pumps by CD of local manufacturers through quality assurance, support HHMI Unit improved practices and build capacity in manual well drilling through training of micro-entrepreneurs, support irrigation knowledge management and information system, and support development of improved training curriculum on MI for DA. Facilitate development of standards both for manual and ESA motorized pumps, water-saving technologies and irrigation equipment. Participate in the development of small pumps testing facilities, facilitate testing of manual pumps facilities at the regional level, ECAE participate in the CD of micro-entrepreneurs in quality assurance of manual pumps , , , Project Inception Report (PIR) 102 June 2015

116 3 PROJECT ORGANIZATION AND MANAGEMENT Institution Supporting Institutions Agricultural Mechanization Directorate Soil Fertility Improvement Directorate Soil Resource Information and Mapping Directorate Women Affairs Directorate (WAD), MoA Role and Responsibilities Relative to SMIS Support preparation of training manuals on production, repair and maintenance and use of agricultural tools, equipment, implements and manual and motor pumps for small-scale and HHMI irrigation. The activities such as manuals preparation, trainings, etc. on manual and motor pumps can be linked with the Agricultural Mechanization Directorate. Secure sustainable growth of agricultural production and productivity through provision and promotion of soil fertility improving technologies and practices. SMIS project could collaboratively work activities related to soil fertility improvement in A-TVET and FTC demonstration plots. Develop soil resource and landscape information system at the national level so that soil and landscape related data can be centrally managed and easily accessible to users. some major duties and responsibilities: developing spatial soil database for managing the soil data; collecting soil- and landscape-related data from various sources (field survey, satellite imagery and other legacy data); processing and analyzing various soil parameters in soil laboratory; preparing soil fertility status map and new fertilizer recommendation, atlas for regions at woredalevel; preparing soil resource and bio-physical atlas(in GTP-2); preparing relevant manuals, protocols, etc. Activities related to soil and agronomy in Components 2 and 3 (A-TVET and FTC demonstration plots) can be linked with. The WAD of the MoA has commissioned for review of the present Gender Mainstreaming Guidelines where the Women, Children and Youth Directorate is given the full mandate to facilitate and monitor for its full realization across all the units within the sector and affiliated institutions. The scope of the Gender Mainstreaming Guidelines and Checklist is to serve as a working document to the MoA/WAD and its stakeholders with a view of to narrow the gaps of existing gender inequality in their respective areas of intervention. The overall objective of the Gender mainstreaming Guidelines is to serve as a practical tool for incorporating gender issues and prioritize into the overall endeavors of the agricultural sector, which ultimately contribute to the sustainable agricultural development of the country. Contribution to Outputs Component 3 HHMI Component 2, 3 Component 1, 2, 3 Component 1, 2, 3 Ministry of Environment RPMUs The region is structured into three levels of administration: regional, woreda/district and kebele. Wherever it is necessary, the regional government can establish other additional administrative structures with specific duties and responsibilities. Towns and cities within the region enjoy their own internal administration. Project Inception Report (PIR) 103 June 2015

117 3 PROJECT ORGANIZATION AND MANAGEMENT a) The Regional Level The Regional Council is the supreme legislative body of the government and is accountable to the people who elected it. The Regional Administrative Council (cabinet) is the executive arm of the government and is accountable to the Regional Council. It is composed of different regional sector bureaus such as BoA, and is led by a regional chief administrator. The judiciary power of the region rests with the courts of the region. b) The Woreda Level The woreda/district administration is an administrative entity organized under the regional administration with the following executive bodies: The Woreda/district Council, which is composed of representatives from the kebeles found in the woreda The Woreda/district Administration Council whose members are elected from the Woreda/district Council The Judiciary body c) The Kebele Level Organization and accountability The kebele administration is the lowest government administrative unit and is accountable to the nearby town or woreda administration. The kebele administration bears the following arms: o a kebele council o a kebele administrative council o a social court The kebele council is the highest power in the kebele and its members are elected by and accountable to the people of the kebele d) The Community/Kebele Committees Kebeles commonly form community committees, for example: Water users' committees or associations to oversee irrigation water management, spring management and maintenance of water infrastructure Health-brigades to drain and spray malarial areas Special women's committees to raise consciousness, provide education and mobilize female labour Community development committee to follow a particular development project or a special development project grant allocated to the kebele While SMIS will support regional institutions at the regional and woreda/district levels to achieve its ultimate goal, the table below presents key partner and supporting institutions for direct and indirect support. Project Inception Report (PIR) 104 June 2015

118 3 PROJECT ORGANIZATION AND MANAGEMENT Table 3.3: Summary of Key Regional Partner Institutions and Supporting Institutions Partner Institutions Level Tigray Amhara Oromia SNNPR SSI Development Identification/selection of SSI scheme Feasibility studies of selected SSI schemes Design of SSI schemes Tendering of construction of SSI schemes Construction management of SSI schemes Regional Zonal Woreda Regional Zonal Woreda Regional BoWR Agriculture Department Water Resource Department (WRD) Office Agriculture Office BoWR Agriculture Department Water Resource Office, Agriculture Office BoWR, Tigray Water Works Study, Design and Supervision Enterprise (TWWSDSE) Amhara BoWRD, BoA, ADSWE, ORDA Water Resource Department (WRD) Office Agriculture Office (West Gojjam) BoWRD, ADSWE, ORDA WRD Office NA BoWRD, ADSWE, ORDA OIDA OIDA Office OIDA Office OIDA OIDA Office OIDA Office OIDA Zonal None NA OIDA Office Woreda Water Resource Office Agriculture Office NA None IDSAA, BoWR (water permit), SDCSE Agricultural Department Agriculture Office IDSAA, SDCSE Agricultural Department Agriculture Office IDSAA, SDCSE Agriculture Department Agriculture Office Regional BoWR BoWRD, OIDA IDSAA Zonal None WRD Office OIDA Office None Woreda Water Resource Office None OIDA Office None BoWRD, Amhara BoWR, Tigray Waterworks Waterworks Construction Regional and Enterprise Construction (AWWCE) OIDA IDSAA, SDCSE Enterprise ADSWE (TWWCE) (supervisoin, ORDA Project Inception Report (PIR) 105 June 2015

119 3 PROJECT ORGANIZATION AND MANAGEMENT Partner Institutions Level Tigray Amhara Oromia SNNPR WRD Office Agricultural Zonal None OIDA Office (O&M only) Department Transfer of O&M responsibility for SSI schemes HHMI Irrigation Extension Input Supply Cooperative Development Agriculture Marketing Gender Mainstreaming Watershed Development Supporting Institutions Environment Woreda Water Resource Office Agriculture Office (O&M) OIDA Office Agriculture Office Regional BoWR BoA OIDA IDSAA Zonal Woreda Regional Regional Regional Regional Regional Regional Regional Regional Agriculture Department Water Resource Office and Agriculture Office (Southern zone) BoA, NRM Process BoA, Crops and Extension Process BoA, Agriculture Input Core Process Bureau of Marketing and Cooperative (BoMC), Coop Development Core Process Tigray Agricultural Market Promotion Agency (TAMPA) BoA, Gender Core Process BoA, NRM Core Process Agriculture Office Agriculture Office BoA, NRM Process BoA, (horticulture and IWM, extension processes) BoA, Agriculture Input Core process BoMC, Coop Development Core Process BoMC, Marketing Core Process BoA, Gender Core Process BoA, NRM Core Process Bureau of Enviornmental Protection and OIDA Office OIDA Office OIDA BoA, Crops and Extension Process BoA, Agriculture Input Core process BoMC, Coop Development Core Process BoMC, Marketing Core Process BoA, Gender Core Process BoA, NRM Core Process IDSAA, Agricultural Department IDSAA, Agricultural Department, Agriculture Office BoA, NRM NRM, Natural Resource Management and Environmental Protection Agency (NRMEPA) BoA, Crops and Extension Process BoA, Agriculture Input Core process BoMC, Coop Development Core Process BoMC, Marketing Core Process BoA, Gender mainstreaming support Process BoA, NRM Core Process NREPA, (LAEPCP) Land Admin, Project Inception Report (PIR) 106 June 2015

120 3 PROJECT ORGANIZATION AND MANAGEMENT Partner Institutions Level Tigray Amhara Oromia SNNPR Land Use Authority (BoEPLUA), Environment Protection Core Process Environment. Protection Core Process Nutrition Regional BoH, Nutrition Support Process BoH, Nutrition Support Process BoH, Nutrition Support Process BoH, Nutrition Support Process, Disease prevention and control core process Gender Regional WCYB WCYB WCYB WCYB Agricultural Research Regional Amhara RARI Southern Agricultural Research Institute Some of the above partner institutions have specific roles within the SMIS as follows: Regional BoAs Participate in RSB meetings for supervision of the regional project and annual plan approval Participate in the formation of RTC and PIT of the SMIS project Facilitate linkages with regional-agp, and other regional institutions involved in SSI and MI development Involve in the joint assessment of regional SSI CD needs, and identification/selection of SSI schemes Participate in the joint M&E of the SSI schemes implementation Participate in the preparation of training programs in areas of agronomy (crop production), IPM, NRM, soil fertility and agricultural extension Assist the project in gender mainstreaming in agriculture, linkage with A-TVETs, nutritional improvement, and agricultural technology generation Collaboration in formulation of WUA in the selected SSI schemes Participate in the demonstrations of OFWM and O&M activities of SSI and MI schemes and selected A-TVET Colleges. Regional BoWRDs Participate in RSB meetings for supervision of the regional project and annual plan approval Participate in the formation of RTC and PIT of the SMIS project Involve in the joint assessment of regional SSI CD needs, and identification/selection of SSI schemes Participate in the joint M&E of the SSI schemes implementation Participate in the assessment, review and development of guidelines and manuals for the design, tendering, and construction supervision of SSI development OIDA Participate in RSB meetings for supervision of the regional project and annual plan approval Participate in the formation of RTC and PIT of SMIS project Project Inception Report (PIR) 107 June 2015

121 3 PROJECT ORGANIZATION AND MANAGEMENT Facilitate linkages with regional-agp, and other regional institutions involved in SSI and MI development Involve in the joint assessment of regional SSI CD needs, and identification/selection of SSI schemes Participate in the joint M&E of the SSI schemes implementation Participate in the assessment, review and development of guidelines and manuals for the design, tendering, and construction supervision of SSI development SSIDSAA, SNNPR Participate in RSB meetings for supervision of the regional project and annual plan approval Participate in the formation of RTC and PIT of SMIS project Involve in the joint assessment of regional SSI CD needs, and identification/selection of SSI schemes Participate in the joint M&E of the SSI schemes implementation Participate in the assessment, review and development of guidelines and manuals for the design, tendering, contract administration and construction supervision of SSI development CPA Participate in the formation and certification of WUA and irrigation cooperatives of selected schemes Facilitate linkages with micro finance enterprises and support services to have access to credit and input supply 3.3 Other Participating Agencies and Advisors There will be additional 'support institutions' identified in the course of SMIS implementation. These institutions will mainly include: regional government institutions related to environment, gender, cooperatives, input supply, extension and marketing regional agricultural research institute and the improved seeds enterprise universities and other academic/training institutes NGOs financial institutions (i.e., MFIs) private sector (i.e., consultancy and construction companies, agro-industry) new projects and programmes or new phases of existing programs that may commence during the later years of the SMIS term. 3.4 Potential Opportunities for Synergy with Other Relevant Programmes and Projects A large number of multi- and bilateral programs/projects and development partners/ngos are active in the agriculture and irrigation sector in Ethiopia. A full scoping of complimentary projects and programs has been undertaken during the SMIS inception period with a view to identify complementarity with SMIS components, and to identify potential linkages and synergy with ongoing projects with a view to avoid duplication of efforts. The following is a summary of the key Project Inception Report (PIR) 108 June 2015

122 3 PROJECT ORGANIZATION AND MANAGEMENT programs/project directly relevant to SMIS and with which SMIS will aim to develop close linkages and harmonize its activities are given below. More details about these relevant programs and projects are provided in Appendix E of this report. AGP AGP is a World Bank Trust Fund-supported program under the MoA supporting agricultural productivity and commercialization focusing on high agricultural potential areas to address some of the key constraints to agricultural growth and thereby contribute to overall economic growth and transformation. AGP2 is a continuation of AGP1 with an expanded mandate. The program will operate in 7 regional states including SMIS target regions and 1 city administration covering 157 woredas. The program has four components, of which Component 3 deals with smallholder irrigation development and is related to the SMIS project interventions. All AGP component activities are relevant to SMIS and can be linked to SMIS project outputs of 1100, 1200, 1300, 1400, 3100, 3200 and 3300 in CD through provision of standard manuals, trainings resource materials and CD at the regional, zonal and woreda levels. HHMI Program of ATA ATA provides strategic and policy directions to MoA in transformation of smallholder agriculture into a productive irrigated agriculture cash economy. The HHMI Directorate of ATA supports promotion of HHMI and assists MoA and BoA in coordinating and scaling-up and adoption of household-level irrigation technologies including manual and mechanized pump technologies, water-saving technologies and support to improved support services in AGP woredas. Its five-year strategy is focused on realizing the potential of household irrigation in Ethiopia. SLM Program 2 (SLMP-2) This program is led and implemented by the MoA and financially supported by the World Bank, Global Environment Facility (GEF) and the Government of Norway. The program implementation takes place in nine regions including the four SMIS intervention regions and will have a duration of five-years ( ). Two of the four components of the program are relevant to the SMIS project. PASIDP PASIDP is supported by IFAD and coordinated by MoA at federal level and regional levels up to woreda and kebele levels. The primary goal of the program is to improve the food security, nutrition and incomes of poor rural households by developing irrigation schemes for small-scale farmers in four SMIS target regions. PASIDP targets poor rural households (specifically women-headed, unemployed youth and landless people) in high-density, drought-prone and food-insecure districts of the highlands. Its primary objective is to develop a sustainable, farmer-owned and managed system of small-scale irrigated agriculture. The program has three components which all have relevant interventions that SMIS project can be linked. Capacity Building for Scaling-up of Evidence-based Best Practices in Agricultural Production in Ethiopia (CASCAPE) CASCAPE is an ongoing project designed to add and further strengthen the activities and capacity of AGP stakeholders in identifying, validating, documenting and disseminating best practices in agricultural production. The purpose of CASCAPE is to identify drivers for uptake of innovations, test Project Inception Report (PIR) 109 June 2015

123 3 PROJECT ORGANIZATION AND MANAGEMENT and disseminate these innovations and evaluate their short- and long-term effects and with this knowledge stimulate scaling-up of innovations. CASCAPE is supported by the Government of the Netherlands and closely working in collaboration with, MoA, universities, EIAR and RARIs to provide support through training and provision of evidence-based validation for the implementation. The Netherlands Universities Foundation for International Cooperation (NUFFIC) NUFFIC, under its implementing organization, the Netherlands Initiative for CD in Higher Education (NICHE) is currently working in Ethiopia in three focus sectors: education, agriculture and environment. In all these sectors NICHE aims at strengthening the capacity of education and training institutes (higher education and TVET) in the field of business, agriculture and NRM to deliver quality and gender-sensitive education and training, and to do identify best practices and conduct relevant applied research. Among the many projects NICHE supports in Ethiopia that are related to SMIS project activities include: Strengthening the Ethiopian National Qualifications Framework (ENQF) unit at Higher Education Strategy Center (which is related to curriculum and TTLM development and review and linked to Component 2 of the SMIS project) CD of Agarfa A-TVET College on SSI and MI (which could be related to Components 2 and 3 of the SMIS project) IWMI IWMI is actively involved in the irrigation sector in Ethiopia through a large number of bilateral and multi-lateral projects. Key among them relevant to SMIS are: Livestock and Irrigation Value Chain for Ethiopian Smallholders (LIVES) Project Innovation Lab in SSI Development: with support from the United States Agency for International Development (USAID), under the Feed the Future initiative, the project is involved in innovative practices for the SSI development Africa Rising: is a sector partnership for improvement and development of higher education in irrigation Sustainable Agricultural Water Management: mainly focusing on SSI Water, Land and Ecosystems Project: mainly deals with spate irrigation for promotion of SSMI development Documentation of Best Practices: IWMI has developed various standard manuals and guidelines on small scale and MI development on different aspects of irrigation development Japan International Cooperation Agency (JICA) JICA has been active in the SSI sector through its Capacity Building in Irrigation Development (CBID) project. The aim of the project is the capacity building of experts in irrigation development in OIDA. The project has developed 14 manuals and guidelines on various aspects of SSI development over the past 5 years. The CBID project was phased out in 2014, however, the manuals and guidelines have been widely adopted in OIDA and will be an important resource for review and adoption in other SMIS regions. SMIS has collected all manuals and guidelines and conduct a review along with Project Inception Report (PIR) 110 June 2015

124 3 PROJECT ORGANIZATION AND MANAGEMENT other manuals available in the regions with a view to promote standard practices for SSI development. JICA s other projects, particularly the Quality Seed Promotion Project for Smallholder Farmers (QSPP) implemented in Oromia, Amhara and SNNPR and Sustainable NRM through FFS in the Rift Valley of Oromia will also be an important source of materials and best practices that can be adapted in the SMIS project. IDE IDE is an international NGO active in market-oriented affordable irrigation technologies in Ethiopia. IDE s focus areas are: improving water access and control; increasing agricultural productivity; improving market access and increasing income of smallholder farmers. Some of the water saving technologies piloted by IDE are: improved suction treadle pumps; pressure treadle pumps; rope and washer pumps; low-cost small plot drip kits; manual well drilling technology, etc. IDE provides training to local entrepreneurs in the manufacturing of low-cost water saving technologies as well as support quality assurance to ensure that smallholder farmers gets quality technologies. Other Projects Agriculture and Nutrition Linkage project linked to the United Nations Children s Fund and CASCAPE Integrated Home fortification Project implemented by GAIN PSNP Integrated Seed Sector Development (ISSD) implemented by Wageningen University and Research Centre with Hawassa Universtiy Geodata for Agriculture and Water (G4AW) Geodata for Innovative Agricultural Credit Insurance Schemes (GIACIS) Agribusiness Support Facility (ABSF) Smallholder horticultural development project implemented by MASHAV with support from the Government of Israel Initial consultations have revealed that the above projects have developed guidelines, manuals and training resource materials on various aspects relevant to SMIS. SMIS will explore potential collaboration with these projects and will adopt the available materials developed by these projects to the extent possible. Most of the above programmes/projects and NGOs operate at both federal and regional levels. Some of them have standalone coordination offices in the regions and others working in the region from their central offices and assigning a focal person at the respective counterpart offices. Project Inception Report (PIR) 111 June 2015

125 4 PROJECT IMPLEMENTATION 4.1 Approach to Implementation Agriteam s approach to project implementation will be driven by the following key factors: Local Ownership The key to our approach is the recognition that for projects to be justified and sustainable the ownership must rest with the target groups: in this case federal-, regional-, woreda- and kebele-level institutions, the training and educational institutions they depend on for a source of trained staff, the actual and potential irrigation farmers and the allied elements of the private sector. To successfully achieve the sought-after organizational and technical transformations, SMIS must be seen as part of a personal and national priority by all stakeholders, from the most senior leadership to the participating farmers. With these thoughts in mind the Agriteam consortium will always act in an advisory and facilitating role and always in consultation with the stakeholders. CD SMIS is, therefore, envisioned as largely a capacity building initiative and as a means to expand the SSI planning and implementation capacity of local government water and agriculture officials, the A- TVET Colleges and the farmers who will use the newly provided water and technologies to increase yields and quality of their produce. In focusing on CD to improve the design and implementation of SSI and MI schemes, this changes the modalities of implementation and eventual results compared to a technical assistance approach where our team directly controls aspects of design, construction and management. While this approach does limit our control over the final implementation of the schemes, which is reflected in the structure of the LM and PMF, we also it feel it represents the strong approach to engender long-term sustainability and improvements across the SSI and MI subsector. Alignment with GoE Policies and Initiatives Our implementation of SMIS will be closely aligned with existing and upcoming GoE- and donorfunded initiatives. In particular, we will closely link with the AGP2, in addition to some first phase schemes, as AGP irrigation activities present an ideal leverage point for SMIS CD activities. We will also link closely with other key initiatives including programming in the TVET sector. Results-focused The project will utilize RBM to plan, manage, monitor and evaluate its results. This will ensure project is driven by its end goals rather than in an activity-driven and supply-focused manner. In addition, as part of our CD approach, we will also work closely with our government partners to ensure they integrate results-focused methodologies into the design, implementation and management of SSI and MI schemes Results Chain for SMIS The SMIS results chain utilizes the DFATD LM which includes three levels of outcomes: immediate, intermediate and ultimate. The SMIS results chain reflects the project s role, which was clearly Project Inception Report (PIR) 112 June 2015

126 4 PROJECT IMPLEMENTATION identified in Agriteam s proposal, to develop the capacity of key GoE public and private institutions across the SSI and MI sub-sector. The first level within the SMIS results chain are immediate results which reflect the series of organizational capacities required to achieve the intermediate results which are expected by the end of the project. Within the results chain, the intermediate outcome level is the focus of organizational results for the project which reflects the limitations of SMIS control given the project s CD focus where SMIS does not deliver services directly to farmers (a technical assistance model) but instead builds the capacity of both public and private institutions to deliver better services to farmers. Thus the ultimate outcome is one on which the project has influence, but we are highly aware of the other actors and influences in the sub-sector contributing to and impacting on achievement of this result. This also incorporates a theory of change approach which recognizes the role of the project as a contributor within the broader SSI and MI sub-sector and the impact of other actors and influences on the achievement of ultimate outcomes. This approach is reflected in the results chain by the following: For Component 1000 which focuses on the improved design and construction of SSI schemes, this will be achieved by improving organizational capacity at the immediate level in the areas of: inter- and intra-organizational coordination and management (Immediate Outcome 1100); the design, construction and management of SSI schemes (Immediate Outcome 1200); development and management of water user groups (Immediate Outcome 1300); and extension services (Immediate Outcome 1400). For Component 2000 which will build the capacity of A-TVETS around SSI and MI, this will be achieved through: development of a CoEIWM as well as demonstration capacity at selected A-TVETs (Immediate Outcome 2100); revisions to SSI and MI curriculum (Immediate Outcome 2200); and improved pedagogical skills by instructors (Immediate Outcome 2300). For Component 3000 which builds capacity for MI development at the woreda and kebele levels, this will be achieved by: improving capacity of relevant institutions to provide training in technical areas related to MI (Immediate Outcome 3100); improving MI-related technologies (Immediate Outcome 3200); and improved extension and support services for MI (Immediate Outcome 3300). Achieving these three intermediate outcomes related to SSI, MI, and the capacity of the A-TVETs to support the SSI and MI sub-sector are expected to lead to the ultimate outcome which is a strengthened MI sub-sector: To ensure that all concerned public and private institutions within each of the four regional states have the necessary capacity required for gender-responsive identification, planning, design, construction and management support of sustainable SSI systems and MI schemes in a coordinated manner and according to adopted integrated watershed-based approach. Project Inception Report (PIR) 113 June 2015

127 4 PROJECT IMPLEMENTATION 4.2 Work Breakdown Structure SMIS PRELIMINARY WORKBREAKDOWN STRUCTURE (24/04/2015) Output/ Project Year Activity Activity COMPONENT 1: SSI CAPACITY BUILDING MANAGEMENT AND COORDINATION Improved capacity of public/private organizations to coordinate and manage the planning, design and construction of SSI schemes Staff of responsible public and private institutions trained in results based irrigation project management Project Management Training for SSI Projects x Design, develop and deliver training on an RBM approach to support SMIS M&E activities PY1 x Conduct baseline survey on M&E Performance indicators x Design, Develop, and Train on an M&E Database for Selected Target Organizations x Assess the RBM M&E System for Effectiveness and Support Quality Scale Up x x 1120 Essential institutional linkages for SSI & MI development explored, documented, promoted and strengthened Conduct a problem-based assessment to explore effective SSI and MI linkages and coordination mechanisms at the regional, zonal and woreda levels x Establish and support coordination mechanisms (SMIS TCs) at regional level x Assess effectiveness of SMIS TCs and propose action plans for institutionalization x x 1130 Responsible public institutions implement irrigation KM guidelines Consultation workshops on the development of a national/regional irrigation KM system road map x SMIS will design and establish digital document repositories for SSI and MI knowledge products x Support the establishment of regional SSI databases x Support existing agriculture libraries and document centres x x Assess effectiveness of SMIS KM interventions for sustainability x x 1140 Responsible public institutions implement agreed-upon approach to systematic capacity development Establish technical and publication standards and guidelines for developing all SMIS SSI and MI technical standards, guidelines, manuals, and training programs x Support the development of irrigation capacity development guidelines and accountabilities x Develop capacity of regional experts as competent trainers/facilitations x Develop capacity of regional experts to design and develop training programs x 1150 Responsible public institutions have adopted and implemented rigorous contract administration procedures. TECHNICAL SKILLS AND TOOLS/EQUIPMENT RELATED TO SSI Improved capacity of responsible public and private institutions, to promote, develop supervise, monitor and evaluate gender responsive SSI schemes Relevant, good quality, technical standards, guidelines and manuals available for identification, planning and design, Assessment and gap identification for technical standards, guidelines and manuals for SSI schemes using a gender responsive PIDM approach x Develop/revise technical standards, guidelines and manuals for SSI schemes using a gender responsive PIDM approach x x x Project Inception Report (PIR) 114 June 2015

128 4 PROJECT IMPLEMENTATION SMIS PRELIMINARY WORKBREAKDOWN STRUCTURE (24/04/2015) Output/ Project Year Activity Activity COMPONENT 1: SSI CAPACITY BUILDING 1220 Standard procedures for Tendering, contract administration, construction, supervision, and M&E of SSI schemes in place Assessment and gap identification for standard procedures for tendering contract administration, construction, supervision, and M&E of SSI schemes using PIDM x Develop/revise standard procedures for tendering contract administration, construction, supervision, and M&E of SSI schemes using PIDM x x 1230 Responsible public and private institution staff trained and supported on integrated watershed-based SSI development and management as per Develop gender responsive training plan and training resource materials x x Conduct gender responsive Tot with selected regional and zonal trainers x Conduct gender responsive cascade training with public and private institutions at the regional, zone and woreda level x Provide JES to support application of GR IWM approaches to pilot schemes x x x x x 1240 Public institutions responsible for SSI design have essential tools (such as field equipment, computers, software etc.) to support pilot SSI development schemes Gap analysis and development of procurement plan for design tools x x Procurement of essential SSI design tools x x Install tools and train staff in SSI design tools x x WUOs/IWUAs Improved capacity of responsible public organizations to develop capacity of WUOs/IWUAs to manage gender responsive SSI schemes Standard guidelines and manuals available for organizational development and registration of WUOs/IWUAs and application of irrigation service fees Inventory, review and analysis available guidelines and manuals x x Prepare manual and guidelines x 1320 Responsible public organisations trained and supported in formation, organisation and registration of WUOs/IWUAs Identification of organizations and needs analysis x Development of CD Programme x x x Delivery of CD Programme x x x x 1330 Responsible public organisations trained and supported to establish SSI operation and maintenance practices among WUOs/IWUAs Identification of target groups and needs assessment x x Development of skills-based CD programme x x 1340 Responsible public organisations trained and supported in M&E of WUOs/IWUAs performance Identification of target groups and needs assessment Identification of target groups and needs assessment x Development of skills-based CD programme x x Delivery of CD through ToT x x x x 1350 In pilot SSI schemes responsible public organizations supported in the training and support of WUOs/IWUAs In sustainable scheme management Selection of pilot schemes appropriate for the formation, registration and capacity development of WUOs x x x Provision of job-embedded support to concerned staff of responsible organisations at regional, zonal and district level x x x x M&E of the use of new skills by the trained staff related to 1320, 1330 and 1340 x x x Evaluation of conducted CD activities at regular intervals based on the results of activity x x 1400 Improve capacity of responsible public institution to provide appropriate extension and support services for irrigated agriculture in selected Districts 1410 Responsible public organizations supported to strengthen existing research-extension-farmer linkages to facilitate promotion, introduction and adoption of appropriate technologies and practices related to irrigate agriculture. x x Support to strengthen existing research-extension-farmer linkages x 1420 Adaptation/development and provision of relevant manuals, guidelines and training materials on: irrigation agronomy, irrigation extension, OFWM, IPM and management of soil fertility Support adaptation/development and provision of relevant manuals, guidelines and training materials for SSI/MI x x 1430 Responsible public organizations trained and supported on irrigation agronomy, irrigation extension, OFWM, IPM and management of Soil fertility Conduct various training events x x x 1440 Responsible public institutions staff trained and supported to facilitate farmers to access to agricultural support service and technologies Conduct staff training to facilitate farmer access to irrigated agricultural support services and technologies x x x Project Inception Report (PIR) 115 June 2015

129 4 PROJECT IMPLEMENTATION Output/ Activity Improved capacity of Centre of Excellence for Water Management and selected A-TVETs to advocate and demonstrate gender responsive water management technologies and practices, including MUS, water saving and water harvesting technologies Five A-TVETs, including the Centre of Excellence for Water Management selected based on agreed-upon criteria and physical needs assessed Develop criteria for selection of ATVETS x Conduct needs assessment x Facilitate Institutional self-assessment of Alage Center of Excellence on OFWM x Conduct physical needs assessment of Alage Center of Excellence on OFWM x ATVETs selection report submitted to PSB/RSP x 2120 Center of Excellence supported to establish a demonstration site, a training hall, and other facilities based on physical needs assessment Conduct a CE strategic plan workshop x Support to MoA and A-TVET with design of OFWM field laboratory (demo farm) provided and design completed x x TA and support to MoA and A-TVET with design of essential physical facilities provided and design completed based on needs assessment x Provide TA in the preparation of specification and support of the procurement of OFWM equipment x Provide TA and support to the A-TVET in the preparation of civil work tender and bid evaluation documents x Provide TA and support to the MoA and A-TVET with the supervision of construction and installation of physical facilities and OFWM equipment x x 2130 Selected A-TVETs supported to establish up to 10 ha irrigation demonstration and practical training farms to demonstrate appropriate OFWM technologies and practices Design of OFWM demonstration farm developed based on need assessment in 2110 x Appropriate water saving technologies identified, equipment procured and installed on demo farm x x Practical demonstration on demo farm conducted by instructors x x x 2140 Centre of Excellence and A-TVET staff trained in the use of practical approaches to demonstrate water saving technologies and on-farm water management Conduct a training on O&M of demonstration farm and technologies x Conduct a training on identification of practical approaches on OFWM relative to OS on agronomy practices used in specific regions x x x x Conduct a training on identification of water saving technologies on SSI and MI schemes specific to regions x x x SSI and MI CURRICULUM 2200 SMIS PRELIMINARY WORKBREAKDOWN STRUCTURE (24/04/2015) COMPONENT 2: CAPACITY BUILDING OF SELECTED A-TVETS PHYSICAL CAPACITY OF CENTRE OF EXCELLENCE and SELECTED A-TVETs Improved capacity of selected public institutions and A-TVET staff/instructors to revise and deliver gender responsive SSI/ MI courses and training, including teaching, training and learning materials, in line with national occupational standards MoA, MoE, BOA and BoTVETs supported to ensure that national irrigation occupational standards meet the requirements of sustainable SSI & MI development Activity Undertake needs assessment of SSI and MI training x x Short training to experts and pertinent staff of the MoA/BOA x Provide a more inclusive and relevant EOS that can support the design of outcome x x Project Year Project Inception Report (PIR) 116 June 2015

130 4 PROJECT IMPLEMENTATION Output/ Activity SMIS PRELIMINARY WORKBREAKDOWN STRUCTURE (24/04/2015) Activity COMPONENT 2: CAPACITY BUILDING OF SELECTED A-TVETS Project Year MOA and MOE supported to develop/revise, and systematically pilot practical SSI and MI curricula and training programs, including instructor manuals and student texts, based on experiential learning practices Provide refresher skill training to instructors of selected A-TVET Colleges x x x Update existing curricula of SSI and MI occupations in the light of the newly updated EOS x x x Preparation of TTLM and orientation of instructors for use to trainees x x 2230 Adoption and use of SSI and MI curricula and training programs, including instructor manuals and learning materials Apply SSI and MI curricula that were prepared by individual A-TVETs and carryout training programs x x x Update curricula on a regular interval and /or when there is an urgent need for revision to make it more consistent to the need of SSI and MI x x x Revise the TTLM following the revision of the curricula x x x INSTRUCTORS Improved capacity of A-TVET staff/instructors to deliver quality gender sensitive SSI/MI courses and training based on adult learning principles and experiential learning Technical and instructional capacity needs of instructors responsible for SSI/MI courses are identified Undertake technical and instructional capacity needs assessment of instructors responsible for training in the areas of SSI and MI x x Review trainers recruitment guidelines and procedures in selected A-TVET Colleges and advise. x 2320 ATVET instructors trained and provided with support on technical competencies related to SSI and MI development, irrigated agriculture practices and participatory extension techniques Provide training to instructors of the selected A-TVET Colleges in areas of technical competences x x x Organize experience sharing visits x x x Train A-TVET staff to apply the M&E system x x 2330 A-TVET instructors trained and supported on using effective instructional practices, and student assessment strategies, based on national instructor standards Organize short training on how to introduce effective instructional practices x x Organize orientation to instructors and relevant process owners on how to undertake trainees assessment system based on the TVET strategy 2340 Support the procurement of essential instructional equipment (such as computers, software and reference materials) based on Identified priorities Undertake capacity assessment on essential training resources x Procure essential instructional equipment to support the training and learning process. x x Project Inception Report (PIR) 117 June 2015

131 4 PROJECT IMPLEMENTATION SMIS PRELIMINARY WORKBREAKDOWN STRUCTURE (24/04/2015) Output/ Project Year Activity Activity COMPONENT 3: PROMOTION OF HHMI MI TECHNICAL COMPETENCIES 3100 Improved capacity of responsible public and private institutions to provide training and to demonstrate household micro-irrigation (HHMI), O&M, and OFWM practices Responsible public/private institutions supported to identify and promote area specific HHMI technologies, systems and practices and including O&M and, OFWM Support for inventories x Conduct consensus workshop with potential public/private institutions to review and gap analysis. x Produce consensus workshop proceeding and distribute among various relevant stakeholders to further enrich the workshop output x 3120 Manuals and guidelines, brochures developed on selected HHMI technologies and practices Make inventory of existing manuals, guidelines and brochures x Review and gap analysis and ensure all cross cutting issues gender, environment and nutrition are addressed x Conduct validation workshop x Develop or improve as necessary facilitator guideline, x Peer review the documentation x Translate to regional language and disseminate x x 3130 Responsible public and private institutions trained and supported in application of selected HHMI technologies and practices Train and support responsible public and private institutions. x x x x Job embedded support and follow-up x x x x 3140 Support demonstration on FTCs, and training of farmers on appropriate HHMI technologies Assess FTCs and farmer support institutions associated with selected HHMI initiatives x Gap analysis x Conduct validation workshop x Training for public/private sector staff on Tot for FTC staff. x x x Support demonstrations of appropriate HHMI for selected irrigated commodity at selected FTCs x x x 3150 Responsible public institutions supported to monitor and evaluate performances of HHMI technologies Train and support institutions engaged in promotion of HHMI technologies in M&E approaches. x x x Job embedded support and follow-up x x x x Project Inception Report (PIR) 118 June 2015

132 4 PROJECT IMPLEMENTATION Output/ Activity SMIS PRELIMINARY WORKBREAKDOWN STRUCTURE (24/04/2015) Activity COMPONENT 3: PROMOTION OF HHMI Project Year MI RELATED TECHNOLOGIES Improved capacity of responsible public and private institutions to develop, install and support shallow well technologies and the operation and maintenance of certified motorized and manual irrigation pumps ECAE supported in: planning, design and installation of a pump testing facility for motorized and manual irrigation pumps for use in HHMI; and pump certification by ECAE Review pump standards and identify gaps related to motorized pumps testing and quality assurance x Prepare pump test facility plan and product specifications, cost estimates x Get ECAE agreement on product specification, procure test facility x Training of ECAE staff in O&M of test equipment and certification x 3220 Manuals and reference materials developed and distributed on: appropriate manual drilling techniques; repair and maintenance of motorized pumps; and design, manufacturing and O&M of manual pumps Review manuals/guideline on manual drilling techniques and prepare recommendations on selection of appropriate techniques for geological formations x x Consult AWM taskforce and reach consensus on appropriate techniques for different geological formations x x Develop or revise manuals on selected manual drilling techniques x 3230 Responsible public and private institutions trained to support community members (including unemployed youth and women) on hand drilling techniques, and on accessing micro finance for hand drilling equipment Selected local manufactures and dealers trained to produce, install, and maintain/repair manual and motorized irrigation pumps for HHMI, and to provide spare parts x x x Develop a production, repair and maintenance manual on manual pumps (Adopted from the manual developed in 3220) x Support region Ag Mech unit to conduct TOT for woreda and local manual pump dealers, workshops, and technicians x x x IRRIGATED AGRCULTURE DEVELOPMENT FOR MI Improved capacity of responsible public institutions to provide appropriate gender equitable agricultural extension and support services. Responsible public extension institutions supported to promote the results of demand-driven, applied-action research to farmers Support to strengthen existing research-extension-farmer linkages x x x 3320 Staff of responsible public organizations trained on irrigation agronomy, irrigation extension, and OFWM technologies for HHMI Support adaptation/development and provision of relevant manuals, guidelines and training materials for irrigation agronomy and nutrition, irrigation extension, OFWM, IPM and management of soil fertility x x x x 3330 Staff of responsible public institutions trained and supported to facilitate functional linkages between farmers and service providers. x x x x Project Inception Report (PIR) 119 June 2015

133 4 PROJECT IMPLEMENTATION 4.3 Capacity Development and PIDM Approach SMIS Capacity Development Approach SMIS is a CD project. This means that SMIS is responsible for supporting government organizations to do the work required to support the SSI and MI sub-sectors. SMIS will not be responsible for doing this work. SMIS will be responsible for developing the capacity of responsible organizations to do the work through providing JES and training in a manner that will lead to sustained change within these organizations. As outlined in Agriteam s proposal, SMIS s interventions will be planned using an adapted version of Agriteam s four-stage CD approach, successfully used on other development projects in Ethiopia and the region. It is described below in general terms and then followed by an implementation plan specific to SMIS. Summary of the existing situation and rationale for a systematic approach How is capacity developed in the agriculture sector in Ethiopia? Typically capacity development provided by Government institutions is in the form of training. The training programs are developed by federal or regional GoE experts, or out-sourced to consultants, local universities or research institutes. Programs are based on national or regional priorities and are not always based on needs of the targeted organizations or staff. Products usually included detailed participant reference material and PowerPoint slides. Experts, as lead trainers, discuss the technical aspects of the training program with regional trainers as part of a ToT. The regional trainers then adapt the program based on regional resources, and deliver the training program to woreda (and perhaps zonal) staff. Training is usually delivered in a didactic manner by 2-3 experts in a large lecture hall with many people ( people) over several days. For training that is particularly technical, participants usually go to a demonstration site to see how the technology works. At the end of the training, participants will get a soft copy and perhaps a hard copy of the material to take back to their offices. The return of investment on this type of CD is generally considered by most stakeholders, including the participants, to be low. CD as a concept is cited as the performance solution to many challenges facing the efficient take-up of SSI and MI technologies. However, public sector organizations put little attention on exercising systematic CD. Interventions are planned in an ad hoc manner without proper follow-up and monitoring. Now, with so much capacity support from development partners (JICA, ATA, AGP) and projects (such as LIVES) in the irrigation sector, this responsibility has been mostly assumed by external providers, reducing the interest of government organizations to maintain this responsibility. This situation was reflected in the institutional capacity assessment government organizations are currently dedicating minimal budget to CD (less than 15% of annual budgets). Theory of Change Organizations responsible for SSI and MI will improve their technical capacities when: The organization is a learning organization and individuals, including leaders and managers, within the organization are motivated to learn and are able to change Learning experiences are relevant, meaningful and empowering A critical number of individuals within an organization learn new competencies Project Inception Report (PIR) 120 June 2015

134 4 PROJECT IMPLEMENTATION A critical number of individuals practice and experiment with new competencies in the workplace/work site, with support from other experts Organizations systematically identify best practices (systems, approaches, tools, strategies) and adapt structures and resources to institutionalize changes. By supporting PIT and regional partners to systematically develop capacity at the regional, zonal and woreda levels, the SMIS project will contribute to the coordinated development and management of gender-responsive SSI systems and MI schemes. Annotated Definitions Capacity and capacity development are over-used yet poorly understood concepts in the world of development and change. SMIS defines these and other related concepts as follows: Capacity: Individual competencies (knowledge, skills and attitudes) and organizational characteristics (procedures, structures, systems and technologies) that allow people and organizations to perform their functions well. Capacity development: The processes whereby people, organizations and society as a whole unleash, strengthen, create, adapt and maintain capacity over time (OECD definition). CD assumes there is some capacity in place whereas capacity building implies that support starts from the ground up. Competence: A cluster of related knowledge, skills, abilities and personal attributes that contribute to enhanced staff performance and ultimately result in organizational success. JES: Support that takes place on or near the job/work site and is led by experts, supervisors, managers and colleagues. JES strategies are used to support individuals as they try on new competencies and ways of working. JES and on-the-job support hold similar meanings. Train/Trainer: drill; exercise; sequence of drills. A trainer is an expert who imparts knowledge to others. Facilitate/Facilitator: A facilitator promotes the exchange of prior knowledge and experience among participants s/he is not the only knowledge repository; the participants have important wisdom and experience. A facilitator encourages participants to share their knowledge and collaborate on challenges. The term organization is used as an all-inclusive term to refer to: group, team, process, core process, unit, department, enterprise, authority, project, or NGO. It does not refer to an institution (MoA, BoA, BoWR). Individual, organizational and institutional/system level changes A systematic approach to CD influences individuals, organizations and ultimately the system. The relationship among the levels can be explained as follows: The institutional/system level influences and governs the thinking, behaviors and practices of organizations and individuals. Organizations, in line with the established systems, put in place operational systems, processes, and procedures for effective and efficient delivery of the collective vision and goals. While they interact and contribute Project Inception Report (PIR) 121 June 2015

135 4 PROJECT IMPLEMENTATION to the system level, organizations guide and influence the competencies and performance of individuals towards achieving the shared vision and goals. Individuals in organizations influence the organizational and institutional levels for adaption and enhancement of systems, structures, policies and laws The Four Stages of Capacity Development Stage One: Consensus building The first stage of the SMIS CD approach is consensus building. Consensus building is: the process by which people come together to express their ideas, clarify areas of agreement and disagreement, develop shared resolutions, and/or reach consensus/common ground. At this stage, project staff will work with key stakeholders to reach agreement on project priorities, results, approaches, and strategies; and as the project gets underway, SMIS staff make sure that specific interventions are designed-based on stakeholder needs and collective agreements. SMIS will use a number of mechanisms to reach consensus between/among partners: consultative meetings and workshops; participatory road maps; awareness-raising/creation activities; gap analysis and needs assessments; accountability matrices; criteria to select A-TVETS and SSI schemes; annual planning processes; international, regional and in-country/region study tours; and PSB meetings. Stage Two: Capacity Strengthening The second stage of the SMIS CD approach is referred to as capacity strengthening. Capacity strengthening means: developing individual competencies and attitudes, and organizational operating systems structures, procedures and technologies that allow people and organizations to perform their functions well. At this stage, project staff will work with key partner experts to develop/adapt activities designed to strengthen individuals and ultimately, their organizations. They will provide some training. SMIS capacity strengthening interventions will take on a variety of forms: training; learning-by-doing; demonstrations; peer assist (learning-before-doing); side-by-side support; and procurement (supporting physical capacity). At this stage, SMIS national and regional experts will, together with regional and woreda experts,to carry out the work (based on agreed-upon annual plans), mostly side-by-side, in order to improve individual technical competencies and organizational performance. Project Inception Report (PIR) 122 June 2015

136 4 PROJECT IMPLEMENTATION Stage Three: Capacity Application The third stage of the SMIS CD approach is capacity application. Most organizations provide training opportunities in order to strengthen individual and organizational capacity. Done poorly, training can waste human and financial resources. Done without follow up support, training interventions may be completely ineffective. Activities at this stage provide opportunity for individuals to practice what they have learned in real situations. Capacity application means:... enhanced or new capacities are applied on-the-job and to the task at hand, and when new or improved processes, procedures, technologies or systems are implemented to improve individual and organizational functioning and performance. SMIS staff and PIT members will employ a variety of job-embedded strategies to support individuals as they try on and experiment with new competencies in the workplace/work site following a learning experience (training, demonstration). At this stage, SMIS experts will be hands-off as stakeholders practice using new skills at the workplace/site (offices, schemes, households). They will do less demonstrating of skills, and more observing, and less mentoring and more coaching. SMIS staff will create a safe space. Regardless of the practice or strategy, any type of JES should result in experts feeling empowered and able to critically solve their own problems. Trust must be in place in order for such JES strategies to work effectively. Stage Four: Institutionalization The fourth and final stage of SMIS s CD approach is institutionalization. Institutionalization is: those new capacities, approaches, systems, and processes that have been successfully applied by an organization (or program) and are achieving the desired improvements become internalized and regularized within the system. At this stage, it is appropriate for interventions to be evaluated by external assessors to identify those interventions that support gender-responsive identification, planning, design, construction and management support of SSI systems and MI schemes in a coordinated manner and according to an adopted integrated watershed-based approach (the project s ultimate outcome). Those capacities, approaches, systems and processes introduced by SMIS over the project s life such as the PIDM approach, an enhanced irrigated agriculture extension system, hand pump construction guidelines, and other systems and processes will be assessed (internally and/or externally) for effectiveness. Institutions will adopt those capacities, approaches, systems and processes deemed Project Inception Report (PIR) 123 June 2015

137 4 PROJECT IMPLEMENTATION effective at improving sector-level performance, and be prepared to adapt organizational structures and dedicate human and financial resources to ensure their sustainability. It takes time and ongoing support to reach this stage. In a typical development project cycle, institutionalization usually happens towards the end of the project, in the fourth or fifth year Implementation of the Capacity Development Approach on SMIS Considering the design of the SMIS project and the context in which it will operate, the following implementation approach, based on the four stage CD model, will be used to achieve SMIS results. This approach will be used to deliver almost all planned SMIS activities. SMIS personnel and Government staff will be trained on this approach through Output JES as the Primary Modality Based on the project s design, JES, where SMIS personnel provide coaching, mentoring or side-byside support to their counterparts, will be the primary way SMIS develops capacity of individuals and organizations. Although training will be provided to regional and woredas experts, technical knowledge will be learned most efficiently when SMIS staff support these experts to do the work required to create efficient, well managed SSI schemes and MI activities. Mainstreaming Gender Considerations As detailed in the SMIS Gender Review, there are a number of gender issues that impact women in the SSI and MI sectors. The Gender Strategy shows how gender issues related to women and men in the public sector and women and men beneficiaries will be integrated at all stages of the CD process. In each activity, strategic and practical ways to promote active participation by women will be developed, and specific content dedicated to particular gender issues will be part of every intervention. The assumption is that even if women are poorly represented in the agriculture public sector, men can be responsible for promoting gender equality at the organizational and beneficiary level. Main Target Group: at the national level, NRM and related organizations within the MoA at regional levels, staff working in public and private institutions (including A-TVETs) who are responsible for SSI or MI activities pilot schemes zonal and woreda staff from responsible organizations who support SMIS pilot schemes Consensus Building To develop the capacity of organizations responsible for SSI and MI, and thus to achieve most of the project s immediate outcomes, a number of technical guidelines, manuals, curricula and training programs need to be adapted, designed, developed and piloted. At the highest level, the federal Agriculture Irrigation Committee will create a sub-committee to be responsible for identifying, standardizing, and approving SSI and MI guidelines and technical manuals. The need for such knowledge products is high and yet the level of effort to develop just Project Inception Report (PIR) 124 June 2015

138 4 PROJECT IMPLEMENTATION one guideline is significant. As there are many projects and organizations tasked supporting the irrigation sector, the Agriculture Irrigation Sub-Committee will serve as the coordinating body and make decisions about which organizations should develop what specific SSI and MI technical products. When it comes to identifying specific technical manuals needed at the regional level, the SMIS technical committees will provide this coordination role. Coordinated at the project level, SMIS teams will work with TAT or PIT team members to create an inventory of all existing relevant guidelines or technical documents, analyze these products for accuracy and relevance, and reach consensus with key partner organizations about gaps. Standardized Approach to Developing and Publishing SSI and MI Technical Standards, Guidelines and Manuals SMIS personnel and PITs will agree on a standard approach to developing SMIS-funded SSI and MI technical knowledge products. The approach will outline how to: create a digital inventory of existing materials systematically and efficiently review materials for technical competency adapt or develop materials collaboratively draft and review documents write materials using clear English and one voice pilot and revise materials publish materials o look - front/back cover, inside cover page, logos, font, formatting binding, graphics o low-cost reproduction o translate into local languages o distribution process. Once the approach to technical knowledge products has been agreed-upon, a project-level how to guideline will be shared with all SMIS staff and consultants. Capacity Strengthening Once consensus is reached about what technical products need to be developed, and how to go about the work, SMIS staff (including international SMSs) will focus on strengthening individual and organizational capacity of stakeholders. SMIS is staffed with experts who are competent technical specialists and have had significant experience training others. In order to make sure all staff are equally-skilled as facilitator/trainers, the project s CD advisors will provide training and JES to staff on ways to develop high-quality training materials using an experiential-based approach. Staff with master training and facilitator competencies that empower trainees to deepen their knowledge and skills become critical thinkers and use creative problem-solving skills. This targeted support will begin in PY1 and continue, as required, through the first two years of the project. JES to Technical Material Development In line with the four-stage CD model, SMIS personnel (including international SMS and external consultants, as needed) and PIT counterparts will work together to design and develop technical Project Inception Report (PIR) 125 June 2015

139 4 PROJECT IMPLEMENTATION materials and related training programs. The side-by-side nature of this work will strengthen the capacity of government staff involved in the process, enabling them to become enhanced technical experts and lead facilitators. Once the product has been developed (and this will take some time), the technical experts will design an accompanying training program to make sure regional and woreda experts understand the material, and use the new knowledge and skills in their work. Facilitator s Notes Each training program will include facilitator s notes to guide trainers about how to facilitate the training, including how to sequence the content using an experiential learning approach and what instructional strategies such as practical exercises, group work, cases, demonstrations, etc. should be used. These facilitator s notes will ensure quality control as the training program is cascaded to the kebele level by woreda staff and to other jurisdictions by regional experts. Systematic ToT SMIS will organize a step-by-step approach to ToTs. Most ToT processes will include a pre-tot where participants (regional experts and soon-to-be facilitators) will gain a good understanding of the content of the guideline. For example, if a training program is designed to train WUA managers about how to form, organize and regulate their WUA, first SMIS personnel (international SMS and regional PIDM/WUO specialists) and federal/regional experts as lead facilitators (individuals who wrote the WUA technical material) will train the woreda-level GoE staff. In this case, woreda-level staff near SMIS schemes will come together in one place and be trained on WUAs by lead facilitators. Before going out to train WUO, woreda-level staff will practice delivering parts of the training, through rehearsals, in front of lead facilitators who will give them critical feedback. Rehearsals ensure that woreda-level staff can demonstrate technical competence and know how to deliver the training in line with adult learning principles and practices. As part of capacity application, the woreda-level staff will then train WUA at the kebele level, with support from the project. Evaluating Interventions SMIS staff will evaluate all capacity interventions using the Kirkpatrick model. Pre- and post- training evaluations will be designed to measure participant initial learning level changes. Behavioural or performance changes will be measured annually through project monitoring activities. Rolling-Out and Scaling-Up SMIS is responsible for rolling-out the knowledge products and training programs to staff in institutions supporting piloted schemes. Trained regional experts will be able to scale-up the programs to other schemes. Capacity Application As part of a good technical training program, participants will get a chance to apply the capacities they have learned. This will happen during the training program through practical experiences, immediately after the training program in the workplace/site, and several months later. Using the WUA example above, immediately following the training program, SMIS staff will support woreda experts responsible for WUAs as they train chairpersons and other key members. SMIS staff will Project Inception Report (PIR) 126 June 2015

140 4 PROJECT IMPLEMENTATION provide ongoing support to woreda-level experts over time as they continue to support beneficiaries. Other examples of strategies SMIS staff will use to support counterparts and trainees to apply new skills: SMIS experts support regional expert counterparts: as required, SMIS experts will work with regional experts to carry out joint activities. SMIS experts will not do the work at hand (technical assistance) but will support experts to do the work. This is a nuanced but important distinction. Visiting SSI schemes: SMIS staff will coach regional stakeholders as they identify and troubleshoot technical problems on the schemes, and challenges facing farmers as they use the schemes. Reviewing feasibility studies: SMIS staff will mentor regional staff responsible for conducting feasibility studies, providing them with immediate technical knowledge in order for them to improve the study. PIT experts will support SMIS zonal and woreda focal persons Institutionalization By the end of the project, SMIS plans to achieve three key results: Improved planning, design and construction of gender equitable and sustainable SSI and MI schemes by public and private institutions in a coordinated manner and according to an integrated watershed-based approach Improved management of gender equitable and sustainable SSI and MI schemes by WUO/IWUA and individual users respectively with support from key public institutions Improved water, soil and crop management practices for irrigated crops (and rainfed within command area) adopted by male and female farmers. These results will be achieved if public and private institutions own, adopt and use standardized guidelines and technical materials developed by SMIS and others. They need to be part of the process from the beginning and lead the institutionalization efforts as SMIS begins phasing out support. Institutionalizing Capacity to Develop Capacity Through SMIS, many SSI and MI CD programs will be developed/adapted and delivered to a variety of target groups. Not only will SMIS demonstrate standardized technical approaches, it will also model a step-by-step approach to CD. By implementing activities supporting output 1140, SMIS will strengthen the capacity of organizations to develop capacity. Through PITs at the regional level, institutions will experience the value of a systematic, comprehensive approach to CD. Over time, these institutions will adapt this systematic approach to their own purposes, thereby becoming even more competent at developing Project Inception Report (PIR) 127 June 2015

141 4 PROJECT IMPLEMENTATION the capacity of their organizations, and in the end, advancing their organization s technical performance. By the end of the project, regional partners will be using products developed by SMIS to scale-up learning programs for zonal and woreda experts across their regions. The way SMIS supports its stakeholders will ensure these interventions lead to improved performance by individuals and their organizations Participatory Irrigation Development and Management Approach Introduction A significant number of SSI schemes in Ethiopia have failed due to lack of watershed-based planning and development. In many instances, irrigation projects are designed without fully considering the importance of maintaining the integrity of natural systems within the hydrological boundaries. Irrigation development based on river diversions and dams is highly dependent on the effective implementation of watershed management activities. While siltation is particularly detrimental to dam reservoirs, it also significantly impacts on river diversions by silting weirs and water delivery systems. In most cases the upper catchment is cultivated or used for grazing and is often not sustainably managed. It is recognized by the Ethiopian government that all water projects should be considered in the context of the overall watershed. Water development activities should not be considered in isolation from the overall watershed. Environmental and sustainability issues elsewhere in the watershed, both upstream and downstream, may have an influence on the viability of any proposed water project. Where possible, water projects should be part of an integrated watershed management approach and support multiple uses of water (MUS). In the Small-Scale Irrigation Situation Analysis and Capacity Needs Assessment (2011), the following technical knowledge gaps related to SSI development were identified: Use of a scheme-based approach rather than watershed/catchment-based approach for the development of SSI schemes. Concept of integrated irrigation water use is not well-addressed right from the planning and implementation periods with examples of communities living adjacent to SSI schemes being forced to fetch drinking water from distant areas and instances of irrigation canals being damaged by livestock due to inadequate structures for watering animals. Lack of proper consultation of the target beneficiaries and other stakeholders at each stage of project implementation affecting operational efficiency and sustainability of SSI schemes: planning and implementation approach for development of SSI schemes often is top-down and not demand-driven. Rationale for Integrated Watershed-based Approach for Participatory and Gender-responsive Development and Management of SSI Schemes The rationale for an integrated watershed-based approach for participatory and gender-responsive development and management of SSI schemes, hereinafter called "PIDM approach", is summarized as follows: Project Inception Report (PIR) 128 June 2015

142 4 PROJECT IMPLEMENTATION Integrated Approach: Overall objective is the development of sustainable and profitable irrigated agriculture by male and female farmers within the command area of SSI schemes. In addition to the construction of irrigation and drainage structures, it is also required to: a) establish and develop capacity of WUO for the O&M of SSI scheme in an adequate, effective and timely manner; and b) provide appropriate irrigation extension and support services to support male and female farmers to develop their irrigated agriculture successfully within the command area of SSI schemes. Need for close coordination and collaboration as different public and private institutions are involved in: a) design and construction of SSI schemes; establishment and CD of WUO for the O&M of the SSI schemes; c) development of irrigated agriculture within the command area of SSI schemes; and d) planning and execution of soil and water management interventions within the watershed where the SSI schemes are located. Watershed-based Approach: Many SSI schemes in Ethiopia failed due to lack of watershed-based planning and development resulting insufficient water availability, unreliable water supply, more frequent and higher floods and/or siltation problem caused by deforestation, overgrazing and/or inappropriate crop husbandry practices in areas upstream of SSI scheme. Reduce the impact of siltation problem, unreliable water supply and (more) frequent floods on the performance and sustainability of SSI schemes within the watershed by improving soil and water management upstream of the SSI schemes. Avoid/minimise any (potential) negative impact of SSI development on downstream users and support and facilitate the MUS within the watershed by improved water balance study and planning within the watershed. Participatory Approach: Most SSI schemes in Ethiopia have been developed with no or limited participation of concerned farmers Ensure that all male and female farmers are fully involved, informed and consulted during all stages of the SSI development process Ensure that male and female farmers are fully involved in decision-making during all stage of the SSI development process Ensure that male and female farmers through their WUO take over the full O&M responsibility for their SSI schemes Gender-responsive Approach: No or limited involvement of female farmers in decision making related to O&M of SSI schemes and management of WUO Ensure effective participation of all female farmers in the management of their WUO and decisions related to the O&M of their SSI schemes Ensure full access of all female farmers to irrigation water as well as the provision of training, extension and support services Avoid/minimise any (potential) negative impact of the development of irrigated agriculture on female household members (i.e., increased workload) Project Inception Report (PIR) 129 June 2015

143 4 PROJECT IMPLEMENTATION Facilitate the safe use of irrigation canal for non-irrigation purposes, such as fetching water for domestic use, washing clothes and watering livestock, by providing social structures in scheme design Phases and Steps of PIDM Approach The PIDM is sub-divided in the following four phases: Assessment Phase Preparatory Phase Implementation Phase M&E Phase Each phase of the PIDM approach comprises a number of steps: Step 1: Registration of application for SSI scheme development Step 2: Pre-feasibility studies Assessment Step 3: Community awareness campaign Phase: Step 4: Feasibility studies Step 5: Preparation and approval of feasibility report (Milestone 1) Step 6: Participatory scheme design Step 7: Establishment of water user groups WUG and IC/IWUA Preparatory Phase: Step 8: Participatory planning of soil and water management interventions Step 9: Preparation and signing of Scheme Development Agreement (Milestone 2) Step 10: IC/IWUA capacity building in governance, administrative and financial management Step 11: Land acquisition and distribution Step 12: Participatory planning and execution of irrigation extension and support services Implementation Step 13: Execution of soil and water management interventions Phase: Step 14: Tendering and execution of construction works Step 15: Capacity building of WUG and IC/IWUA in O&M and water management Step 16: Preparation and signing of irrigation management transfer (IMT) agreement (Milestone 3) Step 17: IC/IWUA-managed O&M of SSI scheme M&E Phase: Step 18: Monitoring and evaluation of IC/IWUA performance Step 19: Environmental, socio- and agro-economic impact assessment PIDM Milestones A milestone is included at the end of each phase of the PIDM approach, which is a major achievement and conditional for proceeding with the subsequent steps. The milestones include: Milestone 1: Milestone 2: Milestone 3: Approval of feasibility report at the end of the assessment phase Approval and signing of Scheme Development Agreement at the end of the preparatory phase Signing of IMT Agreement at the end of the implementation phase (Milestone 3). Project Inception Report (PIR) 130 June 2015

144 4 PROJECT IMPLEMENTATION PIDM Exits The PIDM approach also has a number of exits indicating the option to stop the development of the SSI system or the transfer of the O&M responsibility. The following exits have been identified: Exit 1: Registration of application of SSI scheme development rejected (Step 1) Exit 2: Pre-feasibility studies conclude that SSI scheme has no potential (Step 2) Exit 3: Community awareness campaign reveals that the majority of farmers are not interested in the development of their SSI scheme (Step 3) Exit 4: Feasibility studies conclude that SSI scheme is not feasible (Step 4) Exit 5: Feasibility report is not approved by all stakeholders (Step 5) Exit 6: Scheme Development Agreement has not been signed by all stakeholders (Step 9) The 4 phases and 19 steps of the PIDM approach are shown in the following flowchart below. A detailed description of each of the PIDM steps is provided at Appendix F of this report. Project Inception Report (PIR) 131 June 2015

145 4 PROJECT IMPLEMENTATION Project Inception Report (PIR) 132 June 2015

146 4 PROJECT IMPLEMENTATION 4.4 Mainstreaming of Cross-Cutting Themes and RBM Mainstreaming Gender and Nutrition The SMIS project is committed to mainstreaming gender and nutrition in all project activities. Throughout the project, the SMIS will provide technical assistance in gender mainstreaming, enabling our partners to build their capacity to apply gender analysis to identify gender gaps and ensure that gender concerns are integrated into SMIS and NRM implementation practices, including gender-based monitoring. The ability of field-level staff and partners to conduct a gender analysis and to apply its findings at the grassroots level is fundamental to mainstreaming gender responsiveness into project implementation. Essential linkages will be developed with complementary projects to strengthen important capacities such as gender responsive project management skills and systems, to help partners become gender sensitive and in the longer-term apply more gender transformative approaches and interventions in the SSI and MI sectors. To ensure that gender responsiveness is integrated into all SMIS activities, all elements of the baseline study will include sex-disaggregated data, which will be used as the first step in identifying gender gaps in programming and policy. Gender-based indicators will be incorporated into the PMF, and SMIS results will be assessed from a gender perspective rather than using a separate suite of gender indicators. A twin track approach to gender mainstreaming will be adopted to ensure gender responsiveness in both our internal ways of working and in project management of all activities. Nutrition issues will be integrated into this approach. SMIS gender interventions will be a combination of gender mainstreamed and gender specific activities. These activities consist of gender & nutrition-integrated activities that should be fully incorporated into other planned activities for each output across Components 1, 2 and 3 as well as some stand-alone activities. The table below outlines the gender and nutrition mainstreaming activities envisaged for the term of the SMIS project. The proposed implementation sequence in terms of year of implementation is indicated (PY). Further, the stage that the activities supports in SMIS four-stage CD model is also identified (S1: consensus building, S2: Capacity building; S3: Application and Follow up and S4: Institutionalization). Immediate Outcome 1100 Output Gender and Nutrition Mainstreaming Design, develop and implement phased training on gender concepts and approaches and gender sensitive RBM (PY1) (S1 and 2) Integrate into RBPM training for responsible public and private institutions (RPPI) in 1110, gender analysis and gender mainstreaming minimum requirements, tool/manual review and development, capacity building activities, and M&E of capacity building for all targeted SSMI sectors. Facilitate review/approval process with key stakeholders on standard gender mainstreaming approaches/guidelines in all stages of SSI scheme development/management; gender mainstreaming in A-TVETs/SSMI programs and HHMI promotion. Support relevant RPPIs to establish and facilitate a gender and irrigation task Project Inception Report (PIR) 133 June 2015

147 4 PROJECT IMPLEMENTATION Immediate Outcome Output Gender and Nutrition Mainstreaming force (forum) of relevant stakeholders nationally/regionally (PY1-5) (S1-4) Include in knowledge management guidelines key gender and nutrition sensitive knowledge management guidelines relevant to irrigated agriculture and SSMI scheme/systems development, A-TVETs SSMI programs and HHMI promotion. (S2, 3 and 4) Support RPPIs to design, develop and conduct regional collaborative gender and nutrition situational analyses at household, community/scheme and service provider levels relevant to developing SSI schemes, SSMI programs in A-TVETs and MI promotion (PY1) (S1, 2 and 3) Support RPPIs to develop gender sensitive training/cd approaches and designs that accommodate to women government staff and community members roles, needs and interests. (PY1-4) (S1 and 2) Assist SMIS/RPPIs to establish and implement formal and informal mechanisms to promote gender equity principles in work environment of SMIS/partners, RPPIs and in project supported community groups (e.g., gender sensitive human resource policies and peer learning/incentive system) (PY1-5) (S1-4) Integrate practical tailor-made gender and socio-economic analysis guidelines and participatory planning tools into development of technical standards, guidelines and manuals for all stages of SSI scheme development and management. Consider a revised and more gender responsive PIDM approach. (PY1-2) (S1-2) Integrate into training and CD support linked to 1210, how to conduct gender and socio-economic analysis and facilitate gender sensitive participatory planning for all stages of SSI scheme development. Where possible, include tips on promoting women s leadership to increase women s participation and leadership in SMIS-supported SSI schemes. Plan future monitoring and support as needed. Plan future monitoring and support as needed. (PY1-2) (S1-3) Integrate into inventory development, gap analysis and guidelines and manuals developed, gender guidelines and tips for promoting gender equitable water management and women s leadership promotion techniques to increase women s quality of participation. (PY1) (S1 and 2) Integrate into development of a comprehensive gender-responsive CD program for RPPIs, gender guidelines and tips for the establishment and organizational development of gender responsive WUA. Implement, monitor and evaluate. (S1, 2 and 3) (PY2-3) Incorporate into design/implementation of capacity building program and JES for responsible public institutions (RPI) staff to Zonal Office of Agriculture (ZoA)/Woreda Office of Agriculture (WOA) staff to IWUA on sustainable SSI O&M; gender responsive participatory strategies/techniques to increase women and youth active participation (voice) and engagement/benefit in O&M management. (PY2 and 3) (S1-3) Design and incorporate into performance assessment criteria gender related criteria as measured in baseline studies such as gender sensitive human resource policy and gender equity in membership, leadership and water management and access. (PY1-4) (S1-4) 1350 Ensure participatory gender-sensitive M&E of conducted CD activities is carried Project Inception Report (PIR) 134 June 2015

148 4 PROJECT IMPLEMENTATION Immediate Outcome Output Gender and Nutrition Mainstreaming out in regular intervals related to 1320, 1330 and 1340 (PY1 5) (S1 4) Review/adapt/adopt/develop manuals, guidelines and other training materials on gender responsive minimum standards in HHMI technologies and extension service provision, including gender transformative extension service methodologies and women and youth friendly water/labor-saving HHMI technologies and extension services (e.g., credit access) and nutrition education. (PY1 2) (S1 2) RPIs trained and provided with ongoing capacity building support in how to conduct gender/nutrition/gender sensitive value chain analysis of farming systems, provision of women/youth-friendly, gender transformative household and participatory planning methodologies, relevant gender and nutrition sensitive agricultural services and HHMI technologies. (PY1-4) (S1-4) Strengthen inter-linkages with complementary projects, integrate where possible, capacity building training and support to RPIs to provide gender responsive nutrition education targeting women/mothers, men/fathers and couples for shared responsibility. (PY2-5) (S1-3) Support RPPIs to strengthen linkages with BoH/community nutrition programs to increase women s/men s access to nutrition education and other communitybased nutrition programs. (PY2-5) (S1-4) Review curriculum in the selected A-TVETs, interface with Ministry of Women, Youth and Children s Affairs (MoWYCA), MoA, MoE, BoA, and B-TVET and relevant projects (e.g., Agricultural Transformation through Stronger Technical Education (ATTSVE) to ensure that the national irrigation occupational standards incorporate essential gender and nutrition issues and practical gender analysis/gender mainstreaming and participatory planning topics for promoting sustainable gender responsive SSMI. (PY2-3) (S1 and 2) Coordinate with staff of RPPIs and selected A-TVET staff to support development and piloting elements of the revised curriculum with application of gender/nutrition analysis in irrigated agriculture and agronomy, gender-sensitive irrigation extension and participatory planning techniques in the context of SSI and MI. (PY2-4) (S1-3) Identify capacity gaps for A-TVET instructors to be able to implement gender mainstreaming and nutrition sensitive components of the national irrigation occupational standards. (PY2) (S1 and2) Participate in identifying essential instructional equipment required for effective instruction of students in relation to the curriculum for gender and nutrition mainstreaming in SSMI components of the national irrigation occupational standards. (P2-3) (S2) Support RPPIs to integrate gender and nutrition criteria in the identification of and promotion of most optimal area-specific HHMI technologies, systems and practices such as selection and promotion of high nutritional-value improved crops and production. (PY1 2) (S1 2) Input on gender responsive and women and youth friendly specific and nutrition guidelines and brochures on HHMI technologies and practices. (PY2) (S1-4) Input on women and youth specific technologies and extension service methodologies and gender transformative techniques in training of responsible public institutions in applying selected HHMI technologies and practices. (PY1-3) Project Inception Report (PIR) 135 June 2015

149 4 PROJECT IMPLEMENTATION Immediate Outcome Output (S1 and2) Gender and Nutrition Mainstreaming Input as appropriate for inclusion of gender and nutrition awareness as part of HHMI farmer training at FTCs. (PY2-4) (S1-3) Assist responsible public institutions in the development of gender and nutrition sensitive and women/youth specific indicators for M&E of HHMI performance. (P2-5) (S1-4) Identify and support RPI staff to develop and improve female/youth/landless women and men s access to accessible/appropriate gender responsive services and rural financing through micro-finance institutions (MFI) or informal/formal women/youth friendly savings and credit associations/cooperatives. (PY2-3) (S2) Train and support RPIs as necessary or in conjunction with 1430 on gender- and nutrition-sensitive irrigation agronomy, extension services and OFWM for HHMI. (PY1-4) Staff of RPPIs trained and supported to facilitate functional linkage between female and male farmers and service providers Conduct situational analysis on ways female and male farmers can purchase MI technologies and spare parts (linked to 1140) (PY1) (S1-3) Mainstreaming Environment As SSI/MI schemes are in essence about the natural resources: mostly soils, water although these are obviously also subject to atmospheric influences, and the impact of the manner in which these are managed on natural system and on the human population. The natural elements that must be considered and their interactions are numerous and complex and as demonstrated in Figure 4.1 below, just about every element of SSI/MI therefore touches on some component of the environment. Figure 4.1 Key SSI/MI Activities and Linkages to Environmental Values Landform Slope SSI/MI Command Area Design, Construction O&M Catchment Management Natural Vegetation Invasive Species Vegetation Crop Pests Surface Water Volumes Surface Water Quality Chem/Bio Ground Water Volume/Depth Ground water Quality Chem/Bio Soil Phys/Chem Characteristics Drainage Crop Selection and Management Human Health Project Inception Report (PIR) 136 June 2015

150 4 PROJECT IMPLEMENTATION Taking into account this complex web of interactions we have prepared Table 4.1 below which indicates how it is envisioned that the environmental interventions will be implemented to ensure that there is effective awareness and mainstreaming of this topic throughout the project. For additional description of the context in which these steps are to be taken see section of this report in which the outputs shown in the table are also cross-referenced. This table is also designed to act as a check sheet for the Regional NRM specialists and the RTL so that as the project activities linked to any of the outputs are planned and initiated, their involvement is anticipated and their inputs are incorporated into the work plans with appropriate budget provisions. Table 4.1: Suggested NRM Involvement Contributing to Project Outputs Immediate Outcome Output NRM/Environmental Actions 1120 Explore linkages to environmental and NRM authorities to improve IWM and integration of concerns identified in EIAs into identification, feasibility assessment, design and O&M of SSI and MI schemes Include in knowledge management guidelines information relevant to EIA process, IWM, geomorphology and soils, land use, sanitation, principal health concerns Ensure that the CD includes awareness of financial and human costs of ignoring environmental/land and water impacts (e.g., canal siltation, waterlogging/saline/sodic conditions, lost productivity and health) Review and revise as necessary, guidelines and manuals for the inclusion of appropriate watershed management and environmental elements into the processes of: scheme identification, planning and design and into contracting and contract supervision process Ensure that for construction adequate measures are included in the construction contracts to guard against associated environmental, health and safety impacts such as noise, dust and appropriate use of protective equipment Provide training as needed for the integration of IWM into scheme development, O&M. Plan future monitoring and support as needed Ensure that woredas have access to simple GIS software and essential topographic/geology/soils maps Support public organizations activities in building WUO/lWUA awareness of IWM issues through participation in community events. Also identify and make available, or prepare graphic and/or simple narrative information relevant to IWM and relevant environmental/public health and sanitation issues Incorporate into training of public organizations the use of indicators of 1340 compliance with relevant IWM, environmental/public health and sanitation issues. Support public organizations in the training of WUO/lWUA relative to the 1350 maintenance of IWM/environmental protection measures intended to contribute to scheme sustainability Assess research-extension programs to promote as necessary, or opportune, the incorporation of essential environmental/lwm measures: e.g., IPM, appropriate soil nutrient use, improved tillage and crop rotation practices, drainage, invasive species management, improved catchment protection technologies or approaches. Project Inception Report (PIR) 137 June 2015

151 4 PROJECT IMPLEMENTATION Immediate Outcome Output NRM/Environmental Actions Review, assess and provide, or if necessary, generate or contribute to: manuals, guidelines and other training materials relevant to catchment protection, IPM, soil nutrient management, sanitation and control of water borne diseases, etc. Participate in training of responsible public organizations on: catchment protection, IPM, soil nutrient management, sanitation, control of water borne diseases, etc. Provide technical and methodological support and advice, as necessary to public organization staff as they facilitate farmer access to agriculture support services and technologies Ensure that any physical development in the selected CoEIWM, including the development of the demonstration site is done in compliance with Ethiopian environmental regulations. Review curriculum in the selected A-TVETs and interface with MoA, MoE, BoA, BTVET, and EPB to ensure that the National irrigation occupational standards incorporate comprehension and the ability to act on the essential IWM and environmental management topics contributing to sustainable SSI and MI development. Coordinate staff of Public Institutions and selected A-TVET staff to develop and pilot elements of the curriculum that are germane to IWM and environmental and health protection in the context of SSI and MI. Define the minimum qualifications needed for instructors and the capacity gaps for them to be able to effectively deliver the environmental/lwm components of the National irrigation occupational standards. Identify and/or prepare training or upgrading materials relative to environmental/lwm components that instructors would need to achieve the required levels of competency and deliver training. Participate in Identifying essential equipment required for effective instruction of students in relation to the curriculum for environmental/lwm components of the National irrigation occupational standards Identify and document potential IWM/environmental issues associated with development of MI. Refer to 1220 but also to issues such as shallow groundwater recharge and contamination. Input on IWM/environmental issues in, guidelines and brochures on HHMI technologies and practices. Input with respect to IWM/environmental issues in training of responsible public institutions in the application of selected HHMI technologies and practices. Input as appropriate for inclusion of environmental and health awareness as part of HHMI farmer training at FTCs. Assist responsible public institutions in the development of environmental/iwm Indicators for M&E of HHMI performance (see 1340). Contribute guidelines for prevention of shallow aquifer contamination to drilling manual. Refer to 1410 as principal basis for demand driven research, adapted as necessary to the household production context Train responsible public organizations as necessary or in conjunction with 1430 on IWM/environmental issues related to HHMI. Project Inception Report (PIR) 138 June 2015

152 4 PROJECT IMPLEMENTATION Implementing RBM RBM will be implemented in two distinct but interwoven ways in project implementation. First, RBM will form the core of the project s systems for planning, management and M&E. This includes a strong emphasis on learning with monitoring and reporting of project results at the regional level, which will then be rolled up to the project level. The use of RBM will ensure the project focuses on the achievement of its intended results, the progress toward which it will measure in addition to the outputs (goods and services) provided by project activities. Second, key needs have been identified by project partners in supporting them to undertake resultsand evidence-based approaches to their own planning and evaluation around SSI and MI scheme development. Partners will thus be supported through technical assistance provided by the regional M&E specialists to build capacity for results-based planning to measure the impact of SSI and MI schemes and the approaches used in their development. Specific activities will be identified on annual basis for support which fall within the LM in key areas such as the design, construction and monitoring of SSI and MI scheme design and the development of water user groups to manage SSI schemes. Regional M&E specialists will provide both training and JES to partners to ensure RBM and results-based focus is undertaken in the planning and management of these key activities. 4.5 Schedule and Timing of Activities The CD model and the sequence of PIDM steps required using a phased-approach to the provision of technical assistance and the use of targeted interventions that will address immediate areas of concern and medium-term goals for CD. The scope and reach, as well as the sheer numbers of SMIS stakeholders and beneficiaries, also must be considered in the schedule and timing of SMIS activities. This phased approach has the benefit of setting a pace for SMIS implementation that allows partners to reflect on their experiences at each phase of implementation and plan the next phase to meet their changing needs. It will allow SMIS to work with a critical mass of individuals to ensure ongoing CD can eventually be replicated by the regional institutions and scaled-up across other woredas in their regions. This is essential to enabling the regional bodies, and to some extent the woredas and kebeles, to become learning organizations that can independently identify and address their own capacity needs in order to strengthen their support for SSI, MI and irrigated agriculture in their regions. Direct support to the key partner institutions at the federal and regional levels will be ongoing and will be implemented in the form of JES by the national SMS working beside their respective regional counterparts and SSI teams. SMIS will also be available to provide additional CD and process-related advisory services to the NRMD and/or SSID and other implementing agencies upon request. All of the activities that must be implemented in order to achieve all of SMIS stated outputs have been identified and are listed under each output in the WBS presented in Section 4.2 of this report. In developing the SMIS project implementation plan, much attention has been given to determining when to implement these activities in consideration of the phasing and sequencing requirements Project Inception Report (PIR) 139 June 2015

153 4 PROJECT IMPLEMENTATION mentioned above. The outcome of this intense planning is reflected in the Schedule of Planned Activities that is presented as a Gantt Cart at Appendix G of this report. 4.6 Human Resources Assigned (Personnel Inputs) There are 22 international positions in SMIS of which all but 3 have been filled. These include both project staff and international SMS working on short-term assignments. There are a further 72 national positions in SMIS of which all but 22 (which includes 18 driver positions) have been filled. These include both project staff and international SMS working in the RPMUs. This large contingent of project personnel reflects the emphasis in the design of the SMIS project on the provision of technical assistance and JES to the public and private institutions that are involved in SSI, MI and irrigated agriculture, i.e., the project s target groups. The SMIS project team has been selected to provide broad and in-depth expertise in project inception and management, CD, M&E, the many areas of technical expertise related to SSI, MI and A-TVETs as well as finance, procurement, information technology, administration and other support services. A number of the team members have extensive experience working on SSI in Ethiopia and other countries with conditions similar to those in Ethiopia. Many of the project management team members have worked together on other projects, so familiarization among team members and especially among the managers has contributed to effective implementation of inception phase activities. Agriteam recruited and engaged an expert in irrigation agronomy with relevant experience for the position. Unfortunately he could not be mobilized to Ethiopia as we were unable to obtain a visa for his first mission during the inception period. Recruitment for another agronomy expert for this position was ongoing at the time of preparing this report. Recruitment of SMIS national staff and SMS was completed during the inception period for all current staff positions except two FAM positions in the RPMUs in Oromia and SNNPR and one AO position in Oromia. In the SNNPR, one person was engaged in the FAM position but was terminated during the probation period and recruitment is underway to identify a replacement. In the Oromia RPMU recruitment is taking longer than expected for both the FAM and AO positions due to the requirement for Oromifa language skills in addition to the high-level of professional qualifications and experience required for these positions. The project has provision for 18 driver/mechanic positions (4 in each RPMU and 2 in the NPMU) but recruitment for these positions has been delayed awaiting the arrival of SMIS project vehicles. The tables below presents a summary of the SMIS staff and SMS positions, location and the name of the individuals engaged for each position. Further details about SMIS national staff and SMS, including a summary of their qualifications and recent experience is provided at Appendix H of this report. Project Inception Report (PIR) 140 June 2015

154 4 PROJECT IMPLEMENTATION Table 4.2: List of SMIS Project Staff and SMS International Staff and SMS - Position and Location Project Principal - Canada Project Director - Canada Finance Officer - Canada Administrative Officer - Canada International Chief Technical Advisor (ICTA) Addis Ababa International Regional Team Leader (IRTL) - Oromia International Regional Team Leader (IRTL) - Amhara International Regional Team Leader (IRTL) - Tigray International Regional Team Leader (IRTL) - SNNPR International SMS Natural Resources Management (NRM) - Canada International SMS CD - Canada International SMS PIDM/WUO - Netherlands A-VET Assessment Design Consultant (Inception phase only) South Africa International SMS (Gender Responsiveness and Nutrition) - Senegal International SMS (M&E) - Canada International SMS (Irrigated Agriculture Extension) - Canada International SMS (Irrigation Agronomy) International Pump Specialist - Netherlands International SMS (A-TVET) - Netherlands On-farm Water Management Adviser (CoEIWM) - Canada Agro-Processing and Post-Harvest Advisor Agro-Marketing and Market Linkage Advisor National Staff and SMS NPMU Addis Ababa - Position National Chief Technical Advisor Capacity Development Specialist National M&E Expert Human Resources and Administration Manager IT Expert Finance Officer Procurement Officer Admin Officer Cleaner/messenger Cleaner/messenger RPMU Hawassa SNNPR- Position National Regional Team Leader Irrigation Agronomist Expert Gender and Social Development Expert M&E Expert Irrigated Agriculture Extension Expert Name Robert Francis Rick Sunstrum Yohannes Feyissa Mary Plunkett Dev Sharma Farzad Dadgari Bob Pengel Jalal Jebelli Ravi Naraine Alex Schumacher Sacha Innes Olaf Verheijen Geri Burkholder Kate Waller Robin D'Arcy Sajjad Noor Jan Nederstigt VHL University Chandra A. Madramootoo Name Wubshet Alemayehu Hune Nega Aleazar Tilahun Tsega G/Egziabher Etsegenet Awash Akalewold G/Wold Girmachew Teferera Meseret Mulugeta Hayimanot Zewdie Roman Getahun Name Mitiku Bedru Awake Nigatu Teshome Beyene Damenu Bekele Dr. Duresa Chibsa Project Inception Report (PIR) 141 June 2015

155 4 PROJECT IMPLEMENTATION RPMU Hawassa SNNPR- Position Water and NRM Expert PIDM Expert Regional Finance Financial Manager Regional Administrative Officer Regional Finance Officer Cleaner/messenger RPMU Amhara, Bahir Dar - Position National Team Leader Irrigation Extension Expert Water and NRM Expert Gender Expert M&E Expert Irrigation Agronomist Expert PIDM Expert Finance and Administration Manager Regional Finance Officer Regional Administration Officer Cleaner/messenger RPMU Oromia, Addis Ababa - Position National Team Leader PIME Water and NRM Expert Gender Expert Finance Officer M & E Expert Irrigation Agronomist Expert Irrigation Extension Expert Regional Finance & Admin Manager Regional Administration Officer Cleaner/messenger RPMU Tigray, Mekele - Position National Team Leader Gender Expert NRM Expert PIDM Expert M&E Expert Finance & Admin Manager Regional Administration Officer Irrigation Extension Expert Irrigation Agronomist Expert Regional Finance Officer Cleaner/messenger Name Fiseha Gizachew Tamirat Erifo VACANT Asegedech Belayneh Etenesh Abraham Munite Tesfaye Name Mamaru Tsidku Melkau Tefera Begashaw Molla Tinsaie Berhanu Endalkachew Yehun Yalew Zewdie Yelibe Aneleye Kindu Kinfe Tsion Addisu Gebeyanesh Yihunie VACANT Name Yohannes Geleta Girma Lema Debella Ebissa Wubit Shiferaw Eyerusalem Yoseph Alemnesh Zewdie Anbesu Jimma Gurji Tatek Gebreab VACANT VACANT Solome Tadesse Name Hailu Berhe Tesfay Haregu Mahamed Adem Tigabu Lema Bahta Demoz Teka Baraki Semere Gebretsadik G/Hiwot Mesfin Kahsay Woldu Helen Mebrahtu Mersa Abadi H/Selassie Meresa Abdelrazik Abdelwahab Abraha Hintsa Tsigab Senait Hayelom Project Inception Report (PIR) 142 June 2015

156 4 PROJECT IMPLEMENTATION 4.7 Procurement of Goods, Equipment and Materials SMIS practices will follow the guiding principles of procurement: economy, efficiency, transparency and equal opportunity for all eligible bidders to compete in project implementation. Procurement Overview Agriteam shall procure, on behalf of EKN, all equipment, materials and technical services needed to execute the project. We will work to ensure value for money and procurement will be managed by the SMIS team, supported by Agriteam s financial and administrative officers. To the extent possible, all items will be purchased locally. The PSNP Procurement Manual which was developed for the Safety Net Support Facility project provides best practices and visual guides for procurement specialists at the woreda, regional and national levels. Detailed processes and guidelines are included for procurement of public works, goods, food, selection of consultants, training and workshops and non-consultancy services. These practices and policies outlined in the Manual will be the basis of SMIS s implementation of the procurement plan. The practices and policies outlined in the Procurement Manual, based on GoE procurement guidelines, will be the basis of SMIS s implementation of the procurement plan. Procurement Process The project team will ensure that all equipment and materials are lin line with the standards commonly used in Ethiopia to ensure availability of repair and maintenance services. The method of procurement that the project will adopt depends on the nature and size of procurement and the urgency with which the goods or services to be procured are required. It is anticipated that the value of individual items purchased will have a cost of < US$ 50,000, therefore, the Manual s shopping guideline will be the most commonly used method of procurement. Approvals Prior to the start of each PY, Agriteam will submit for EKN s approval an Annual Procurement Plan as part of the AWP. The plan will include detailed lists under broad categories and a maximum budget for the year for each category. The proposed categories, and maximum overall contribution by EKN is as follows: Training and Capacity Building Equipment SMIS Office Equipment Vehicles Pump Testing Equipment Total = 2,000,000 Upon EKN s approval of the procurement budget, the SMIS national procurement specialist will be responsible for developing a list of procurement including quantities and estimated unit prices. This list will be presented to the respective regional IRTL for approval before the actual sourcing and purchasing begins. Shopping Method The shopping method is the least-competitive procurement method. Shopping is an appropriate method only for procuring readily available off-the-shelf goods or standard commodities in Project Inception Report (PIR) 143 June 2015

157 4 PROJECT IMPLEMENTATION quantities of small value, services and in some cases, very small simple works. Shopping occurs in the immediate market area and may extend geographically to available suppliers in other woredas, regional or national markets. While shopping does not require formal bidding documents, it is carried out by requesting written quotations from several local suppliers at least three to ensure competitive prices. Telephone or verbal quotations are not acceptable. Local advertising, which is currently practiced in the regions and woredas, is also acceptable provided that the process satisfies the minimum of three quotations received and compared. In comparing quotations submitted by bidders under the shopping method, price and ability to meet delivery requirements are usually the main selection considerations for these simple purchases. However, the project may also take into account things such as the availability and costs of maintenance services and spare parts. The terms of the accepted offer are incorporated in the purchase order. Basic steps are presented to SMIS team members in the following checklist tool: Procurement List of Detail Activities and Documentation to be Filed Stages Consult the end user and prepare the items to be procured, timing and Planning quantities under shopping procurement method. Prepare simple RFQ documents by completing the standard RFQ document. The RFQ shall contain type of item procured, quantity, and delivery time and place. The currency of quotation shall be in Ethiopian Birr (ETB) and the price shall include all associated costs. RFQs can be issued by letter, fax or electronic messaging, (with proof of receipt and recordkeeping). RFQ can be sent to at least three reputable suppliers of the goods or Request for services being purchased as part of their normal business. If possible, Quotation (RFQ) suppliers should not be invited more than once unless other firms do not exist. Note that in the case when unsolicited suppliers may submit quotation, these may be accepted after carrying out a similar due diligence exercise to verify the nature and reputation of the firms. To minimize the risk of getting only one or two quotations, it is advisable to request more than three quotations. At the time of the request, verify whether those being invited will make an offer or not. Submission of Quotation Suppliers submit their quotations in writing, i.e., by fax, telex, letter, or (copies to be kept for the records). Bid or performance securities are not required. Receive quotations from bidders up to the deadline for submission and record properly. Close the bid submission at the precise date and time of the deadline and ensure that no late quotations are received; Keep all quotations received secure and ensure that information contained in quotations is kept confidential. Project Inception Report (PIR) 144 June 2015

158 4 PROJECT IMPLEMENTATION Procurement Stages Comparison of quotations Award and Signing of Contract Contract Implementation List of Detail Activities and Documentation to be Filed The evaluation/comparison of quotation shall be made at least for three suppliers. Comparison of two quotations is justified only when there is evidence that there are only two reliable sources of supply. Ensure that the quotation is complete through checking the quantity, same item requested, price and delivery time. Carefully do the price comparison by adding all associated costs and select the least evaluated supplier. Submit the quotation comparison report for its review and approval by authorized person. Use standard purchase order and prepare a contract agreement, where necessary Sign contract with the least evaluated bidder. Ensure that the items are received within the agreed-upon delivery time. Ensure that the necessary tests and inspections are carried out by the respective technical and relevant staffs, as required. Ensure whether the supplier has submitted the required documentation with the items before effecting full payment. Ensure that the required warranty time (if required) is provided by the supplier. Check whether all contractual obligations are fulfilled and effect payment against submission of legal and acceptable invoice. Payment Process Upon delivery and installation of procured items, SMIS will ensure the specifications of the purchase order have been met and are supported by an original and detailed invoice from the supplier. The invoice will be processed by the respective NPMU or regional office for payment, in accordance with the project s financial accounting practices. Recordkeeping and Inventory Management Recordkeeping is an integral piece of the procurement process. SMIS will maintain a purchase file for each procurement transaction. Each purchase file will contain all relevant procurement documentation, including: Approved procurement plan Invitation letter to the suppliers RFQ document Quotations submitted by suppliers Approved report for comparison of quotations Letter of award Signed contract or purchase order Amendments/variation Inspection certificate/report Goods receiving certificate Payment certificate Final acceptance letter Shipping and receiving documents Warranty documents Project Inception Report (PIR) 145 June 2015

159 4 PROJECT IMPLEMENTATION The procurement files are to be compiled in the field offices, and all originals forwarded to the Canadian administrative officer upon completion of the procurement process for each transaction. The procurement process is considered complete once the item has been paid for, an original receipt is received and the goods are received and, if required, installed and in working order. As soon as the field office takes possession of an approved item, the field office will assign an Inventory Asset Number to the item, using labels provided at the beginning of the project. The field office will then update the log/inventory to include the number. The inventory log is a database that tracks the following information about each piece of equipment or furnishings: Inventory Asset Number Description Manufacturer/supplier Serial number Approved unit cost Actual purchase cost Each time the Canadian administrative or finance officer visits the field offices, they will conduct an inventory audit. The auditor will review the procurement log and will ensure that each piece of equipment or furniture has been assigned an Inventory Asset Number and has a label attached. The auditor will also document any items that are damaged or broken and are decided to be unusable. Handover Any equipment or office furniture purchased with project funds will be turned over to the counterpart agency or host country government. Any other disposal methods, such as selling the equipment, must be pre-approved in writing by EKN and MoA. Handover certificates will be prepared for each package of procurement and will be supported by the detailed inventory log. These certificates will act as a formal agreement between Agriteam, EKN and MoA that ownership is officially being transferred from Agriteam to its local Ethiopian counterparts. The certificates will be signed by the appropriate EKN and MoA representatives and packages of original, signed certificates and inventory logs will be provided to each party. The handover process will begin approximately six to eight months prior to the end of the project and will be managed by SMIS. 4.8 Work Places, Logistics and Communications Office Facilities, Vehicles and Equipment The NPMU office in Addis Ababa and the four RPMU offices were established in rented facilities during the inception period. The MoA initially directed that the NPMU office should be located within the NRMD. However, MoA could not identify sufficient space within the ministry compound and it was agreed to establish the NPMU close to MoA. An office building about 500 metres from the MoA in Addis Ababa was leased and is fully operational. Project Inception Report (PIR) 146 June 2015

160 4 PROJECT IMPLEMENTATION The Oromia RPMU office facility has been identified and leased in the Sarbet area of Addis Ababa close to the Office of BoA. It will facilitate close interaction and consultation with key partners in the region. Office facilities for RPMUs in Amhara, Tigray and SNNPR have also been leased in Bahir Dar, Mekelle and Hawassa, respectively. All office furniture and equipment, including computers, and LAN server and related hardware were procured and installed during the inception period and all offices are fully functioning. To facilitate transport and field visits across the four regions, the NPMU will have two vehicles and each RPMU will have four vehicles. Procurement of vehicles has been a lengthy process. All 18 vehicles have been procured; eight Toyota Hilux 4x4 double-cab pick-ups (2 for each RPMU) and 10 Toyota Land Cruiser 4x4 Hard Top (2 for each RPMU and 2 for the NPMU). The registration and predelivery inspection processes will be completed in June 2015 after which vehicles will be put into service. Transportation needs during the inception and project start-up period have been met using rented vehicles Logistics and Support Services The PD and other administrative, logistics and procurement personnel working in Canada and in Ethiopia are provided to the SMIS to ensure that the NPMU and RPMUs have ample support to identify and coordinate all logistical and support services required over the life of the project. The SMIS Project Administration and Finance Manual was prepared by the Agriteam administration support unit based in Canada. The manual is based on experiences in Ethiopia and defines operational administration and finance procedures. An orientation of the SMIS team was conducted on February 20 21, This included training on administration and financial procedures, quality and cost control measures, operational procedures and SMIS internal control procedures. The orientation workshop provided an opportunity for team building and reinforcing project outcomes and outputs to be achieved in a participatory manner involving all key partners. The workshop was also used to reinforce cross-cutting themes and training on gender and environmental aspects that must be integrated in all project activities Communications The SMIS approach to communications is based on the following objectives: 1) To improve the flow of information and communication among the various implementing levels of SMIS 2) To provide awareness of the SMIS project and its progress to higher decision makers and other stakeholders involved in related development activities. 3) To make best use of communications technology and to demonstrate best practices and their value in enhancing the capacity and performance of public and private institutions with responsibility for SSI, MI and irrigated agriculture at all levels. Linking Parallel Internal and External Communication Strategies Project Inception Report (PIR) 147 June 2015

161 4 PROJECT IMPLEMENTATION The foregoing objectives will be addressed through two linked communication strategies, targeting internal and external audiences. Each is designed to contribute to communications throughout the project as well as capacity building for local institutions along the way to ensure sustainability. Internal communications Internal communication systems will be developed to ensure that the four RPMU offices are able to communicate effectively with each other and with the NPMU. Regular channels of sharing information and program planning will be established, and technologies appropriate for Ethiopian conditions will be acquired to facilitate this communication. Through its M&E activities, SMIS will establish and maintain a database to enable frequent reporting and activity tracking mechanisms. SMIS performance reporting will be strengthened through access to the real time information that is provided in this manner. External communications The external communications strategy will essentially comprise a two-way flow of information as an effective method of keeping the project implementing institution, closely linked. This will enable vital information and best practices learned to be quickly shared and programming coordinated more readily. The SMIS knowledge management database will be used as an archive for this information. It is intended that the information flow will function as a mechanism for performance measurement reporting. This strategy is designed to ensure that project stakeholders such as the GoE, EKN and others are able to keep abreast of SMIS activities. This will involve the use of electronic communications such as a project website, with links to the activities in each of the four regions. Regular print-based documents such as brochures and newsletters will supplement the information outreach for those with limited bandwidth and/or sporadic internet access. Project Inception Report (PIR) 148 June 2015

162 5 ANNUAL WORK PLANNING SMIS will conduct an annual planning process in collaboration with the federal and regional partner institutions. The planning process will culminate with the preparation of four regional AWP which will be presented for approval by the respective RSB in April each year. The four regional AWP will be consolidated into one AWP by the NPMU in May for presentation and approval of the PSB in June of that same year. The annual planning process and the regional AWPs will be aligned with the GoE fiscal year. The regional consolidated AWP will provide a detailed and updated review of planned project activities and budgets to be undertaken and outputs/outcomes to be realized over the upcoming year. Each AWP will demonstrate appropriate plans, systems, structures, policies and procedures for the effective management of human, material and financial resources of the project, in ways that reflect the GoE s and the EKN s requirements as well as SMIS s approach towards CD, PIDM, cross-cutting themes (gender, nutrition and environment) and RBM. Each AWP will contribute to achieving the project s expected results towards benchmarks defined in the PMF. The AWP may also include recommendations regarding any changes to project benchmarks, outputs, budget and schedule. The annual preparation of will be done in collaboration with the federal and regional institutions, particularly the institutions that are involved in SSI, MI or irrigated agriculture, namely: The NRMD and/or SSID in MoA at Federal level The AGP Coordination Units in MoA at the federal and regional levels The ATA at the federal and regional levels, particularly regarding Component 3 MI The BoWR in Tigray The BoA and BoWRD in Amhara The OIDA in Oromia The BoWR and the IDSAA in SNNPR Each AWP will provide the details and updated review of SMIS s planned project activities to be undertaken and the outputs/outcomes to be realized over the upcoming year. In addition, AWP preparation will contribute to strengthening the capacity of the above institutions in planning methods, particularly at the regional level. This will be evident in each AWP as follows: The AWP preparation process will strengthen the capacity of the regional partner institutions and the selected zonal and woreda-level institutions to plan, manage, implement and monitor their role and performance in supporting SSI, MI and irrigated agriculture in their regions. The AWP will: be based on annual assessments of CD needs and prior years activities and results ensure coordination and complementarity of the project activities with the partner institutions annual plans. The aim is to eventually integrate the SMIS within the regions annual plans ensure cross-cutting issues of gender, nutrition and environment are satisfactorily addressed by the project ensure adequate and participatory results-based M&E of activities and results Project Inception Report (PIR) 149 June 2015

163 5 ANNUAL WORKPLANNING set-out the proposed methodology to achieve the expected annual results; establish and confirm semi-annual targets, present a budget and schedule; and identify responsibilities reflect the lessons learned from previous project experience and provide recommendations for modification to the design and structures SMIS based on the experience and results of prior years. Within each of the SMIS AWPs provision will be made for frequent and ongoing communications with partner institutions, according to SMIS s communication strategy, to ensure that implementing institutions are engaged in project monitoring with the identification of lessons learned, best practices and experience sharing conducted through joint monitoring activities and regular AWP review meetings with the relevant institutions. The first AWP covering the period July 1, 2015 to June 30, 2016 will be presented to the EKN and the PSB with this PIR as a separate document. The format for the AWP will include the following: Executive Summary Introduction Description of the project context including relevant economic issues Objectives, results and challenges for the upcoming year Expected results framework for the PY (based on the project outputs), outlining the annual major activities by component Level of effort and planned missions of the PD and international SMS Management activities planned for the year Schedule and timing of planned activities for the period Annual procurement plan Budget and finance matters Appendices as required including the RBM tools: LM, WBS, PMF and risk register. 5.1 Summary of First Year AWP The AWPs for PY1 implementation (July 8, 2015 to July 7, 2016) from each of the four RPMUs have been consolidated into one AWP prepared as a separate document. The following is a summary of the key features of the SMIS AWP for PY1. The work plan reflects the consolidated work plan approved by the RSB based on extensive consultation undertaken in the four regions. The work plan lays a solid foundation for CD, training programs, pilot and demonstration, institutional equipment, special studies, consulting personnel, project expenditures and various activities, all to be conducted under a carefully-selected methodology and organizational structure over the five-year period. Building on their work during the inception phase, SMIS SMS will work with key stakeholders to reach agreement on CD priorities, results, approaches, and strategies; and develop specific interventions based on stakeholder needs and collective agreements. JES and on-the-job mentoring in all aspects of the CD interventions is the emphasis of PY1 AWP implementation approach. Project Inception Report (PIR) 150 June 2015

164 5 ANNUAL WORKPLANNING Coordinated at the project level, SMIS teams will work with TAT and PIT members to create an inventory of all existing relevant guidelines and technical documents, analyze these products for accuracy and relevance, and reach consensus with key partner organizations about gaps in the first work plan period. All existing manuals and guidelines will be reviewed for content related to any of the steps in the PIDM approach. Appropriate resource materials will be used/adapted and a set of manuals and guidelines will be developed for use in all four target regions. The standardization of manuals and guidelines will be sought from the MoA Agricultural Water Management (AWM) platform. This first AWP emphasizes the standardization of the watershed-based SSI development strategy as per the proposed PIDM approach. The PIDM approach will be presented to the MoA AWM platform and key projects, such as AGP and PASDIP, for review and consensus building. Regional workshops will be conducted to present the PIDM approach to all institutions involved in SSI and MI scheme development and seek consensus. The work plan initiates irrigation extension activities that will continue beyond PY1 with highest priority for achieving outcomes 1400 and The immediate outcomes 1400 and 3300 are designed to improve capacity of responsible public institutions to provide appropriate extension and support services for irrigated agriculture in selected woredas. Collection, review and updating of technical guidelines for scheme O&M, irrigation agronomy, irrigation extension and OFWM technologies will also be initiated and will continue through the second work plan period. Capacity building support to A-TVET Colleges and the establishment of a CoEIWM as a separate unit within an existing A-TVET College will begin in the first year. Based on an agreement with Alage A- TVET and NRMD on sustaining and operating the CoEIWM development plan, SMIS will provide support to initiate the infrastructure development in PY1 with the aim to make the CoEIWM functional by the end of PY2. The following A-TVETs have been recommended for SMIS support: Kombolcha (Oromia Region) Mersa (Amhara) Wukro (Tigray Region) Wolaita Sodo (SNNP) Beginning in the first year of implementation, SMIS will support establishing functional linkages with federal and regional agricultural research institutes, other public and private institutions involved in agricultural research and ongoing projects/programmes to facilitate demand-driven applied/action research in various fields related to irrigated agriculture and OFWM, including new (cash) crops, water-saving technologies and practices, preferably with farmers in the pilot SSI schemes. The development of the SMIS M&E system and the PMF was started in the inception phase and will be completed early in the first quarter of PY1. The development of the PMF will be participatory and prepared in consultation with key stakeholders at the federal and regional levels. The SMIS project is committed to mainstreaming gender and nutrition in all project activities. This will ensure that SSI scheme development, WUO and A-TVET SSMI training programs are gender- Project Inception Report (PIR) 151 June 2015

165 5 ANNUAL WORKPLANNING responsive. Starting in the first year, the SMIS gender team will collaborate with relevant partner institutions such as ATA, WAD at the MoA and regional institutions in undertaking all gender activities and special studies. The total AWP budget is 4,393,488. Details of the budget are presented by output and by region in the consolidated first year AWP. Project Inception Report (PIR) 152 June 2015

166 6 PROJECT PERFORMANCE MEASUREMENT The international M&E E will work with the SMIS National M&E specialist to develop a sound M&E framework for the project. The key document for this will be the PMF which will be developed collaboratively with MoA and with regional stakeholders. This framework will be the foundation for an M&E plan which will include a detailed baseline survey plan to be implemented as soon as the inception report has been accepted and work has been initiated on the subsequent project activities. This plan will also specify the manner in which data is to be collected, processed and stored in relation to the selected indicators which are provided in the ToRs. These may be adjusted somewhat in consultation with the federal and regional institutional stakeholders to ensure that they demonstrate real change and not just the execution of process (i.e., changes in awareness skills or access to resources, or changes in behaviour or practice, and not just the delivery of services such as training). Any changes to the already-selected indicators presented in the ToR will be presented for approval by the PSB. Data will mostly be collected in statistically-significant format but also as justified and useful, qualitative, describable observations. All data will be collected in a gender disaggregated format. As agreed in the LOU between the MoA, Agriteam and the EKN, SMIS, in consultation with NRMD/SSID and their regional counterparts will begin developing the project M&E system in June 2015, during the extended inception period, for completion early in the first quarter of PY1. The PMF will be developed for use in monitoring project implementation and measuring performance towards achieving SMIS s expected results. The PMF for SMIS will include baseline data as well as agreed indicators and benchmarks for measuring performance. It will be developed in collaboration with relevant regional government agencies and vetted by the RSB through regional validation workshops. The PMF will be presented to the PSB for final review and approval by early September In addition to planning the execution of the baseline survey and the M&E plan for the remainder of the project, the national and international M&E specialists will also be responsible for the preparation and delivery of training for federal and regional staff in M&E techniques with emphasis on participatory monitoring. Project Inception Report (PIR) 153 June 2015

167 APPENDIX A: LETTER OF UNDERSTANDING LETTER OF UNDERSTANDING BETWEEN THE MINISTRY OF AGRICULTURE OF THE GOVERNMENT OF THE FEDERAL DEMOCRATIC REPUBLIC OF ETHIOPIA AND AGRITEAM CANADA CNSULTING LTD. CONCERNING THE IMPLEMENTATION OF THE SMALL-SCALE AND MICRO IRRIGATION SUPPORT PROJECT (SMIS) Project Inception Report (PIR) A-1 June 2015

168 APPENDIX A: LETTER OF UNDERSTANDING The Embassy of the Kingdom of the Netherlands (EKN), has contracted Agriteam Canada Consulting Ltd., (Agriteam) as the Implementing Organization to provide services for the management and execution of the Small-Scale and Micro Irrigation Support Project (SMIS) in Ethiopia. The project is co-financed by the Government of Canada through the Department of Foreign Affairs, Trade and Development (DFATD). The oversight and guidance body for the project in Ethiopia is the MoA. The parties to this project, EKN, MoA and Agriteam, desiring to collaborate in its implementation have reached the following understanding. ARTICLE 1 NATURE OF THE MEMORANDUM OF UNDERSTANDING (MOU) This MOU constitutes a subsidiary agreement made pursuant to: (i) the Public service Contract between EKN and Agriteam for the implementation of the SMIS signed on November 4, 2014; and (ii) the MOU between the State of the Netherlands and the Government of the Federal Democratic Republic of Ethiopia (ETHIOPIA) represented by the Ministry of Finance and Economic Development (MoFED) concerning SMIS, signed August 20, It is intended to set out the responsibilities of EKN, MoA and Agriteam in relation to the project described in Article 3. ARTICLE 2 RESPONSIBLE AUTHORITIES SECTION 2.01 The EKN assumes its responsibilities as Contracting Authority under this MOU. SECTION 2.02 The MoA, having been designated responsibility for this project by MoFED, further designates to the Natural Resources Management (NRM) Directorate its responsibilities under this MOU. SECTION 2.03 Agriteam, assumes its responsibilities under this MOU as signatory to the services contract signed with the Contracting Authority (contract Number: ADD ) dated November 4, ARTICLE 3 THE PROJECT SECTION 3.01 NETHERLANDS and ETHIOPIA will participate in a project to promote and support the development of SMIS and related water harvesting strategies through programs and courses to increase agricultural yields and enhance food security. SECTION 3.02 A description of the Project is attached to this MOU as Annex A. Project Inception Report (PIR) A-2 June 2015

169 APPENDIX A: LETTER OF UNDERSTANDING ARTICLE 4 PROJECT IMPLEMENTATION AND MONITORING SECTION 4.01 In the first six months after the signature of the contract with EKN for the implementation of the SMIS, Agriteam, in consultation with NRMD-MoA and regional counterparts, will develop an operational Project Implementation Plan (PIP) which will serve as a general roadmap for implementation of the project. This plan will be updated through annual operational plans, 6-month progress reports, and monthly progress reports. The PIP and the annual operational plans will be developed in collaboration with relevant regional government agencies and vetted through regional validation workshops. The PIP and the subsequent Annual Work Plans will be presented to the PSB for final review and approval. This implementation plan will contain, inter alia, the following: Project background and description Project organization and management structure, including roles and responsibilities Project management committees and processes for iterative planning and management, including effective interface among the regions Project methodology and overall workplan, incorporating strategies/methods for gender mainstreaming and environmental sustainability Updated and detailed WBS (associated outcomes and outputs), specifying the activities related to the Project outputs, the human resources necessary to achieve those outputs and level of effort, and the people responsible for those activities Project budget and disbursement schedule, including an analysis of any financial management issues Logistical arrangements and budgeting to facilitate timely operationalization of the project, including the identification of office space and costs related to the regional offices Validated Logic Model Risk Analysis and Mitigation Strategy Communication Strategy Project Outputs and Activities Matrix Project Reporting Formats and Schedule Project Implementation Schedule by Activity Outline of general policies and procedures for the employment and management of locallyengaged personnel CVs of the human resources assigned to the Project and their respective roles and responsibilities, including all regional facilitation team leaders and team members The Project Implementation Plan may be amended by mutual agreement of all parties. SECTION 4.02 In the three months following the approval of the Project Implementation Plan by the PSB, Agriteam, in consultation with NRMD-MoA and their regional counterparts, will develop a Project Performance Measurement Framework (PMF) for use in monitoring project implementation and measuring performance towards achieving SMIS s expected results. The PMF will include baseline data as well as agreed indicators and benchmarks for measuring performance. It will be developed in Project Inception Report (PIR) A-3 June 2015

170 APPENDIX A: LETTER OF UNDERSTANDING collaboration with relevant regional government agencies and vetted through regional validation workshops. The PMF will be presented to the PSB for final review and approval. SECTION 4.03 Agriteam is responsible for project logistics and procurement in accordance with the requirements in the RFP and the contract with the EKN. This includes the procurement of project vehicles, office furniture and equipment. Agriteam is also responsible for renting, equipping and operating office facilities for the NPMU in Addis Ababa and each of the four RPMUs in Hawassa (SNNPR), Bahir Dar (Amhara), Mekele (Tigray) and Addis Ababa (Oromia). The MoA will provide any necessary support letters or other documentation that may be required by Agriteam to obtain a VAT-exempt Tax Identification Number (TIN) and duty-free status in order to facilitate project procurement. SECTION 4.04 Agriteam is responsible for project management and will ensure that effective project management practices and procedures are used for implementing the SMIS project. The Project Director (PD) based in Agriteam s Office in Canada assumes overall responsibility for Project management and administration including responsibility for legal, financial, personnel, strategic and developmentresults of the Agriteam contract with EKN. The International Chief Technical Advisor (ICTA) has overall technical responsibility for the project as well as responsibility for managing the Project in Ethiopia. These technical and management responsibilities are delegated to the IRTL for the Project in their respective regions. The PD is responsible for mobilizing and managing long-term and short-term project personnel together with the ICTA including preparing the Terms of Reference or job descriptions, ensuring logistical support, supervision and technical support, monitoring performance and approving monthly timesheets. The MoA is responsible to ensure that relevant counterpart personnel from government departments and agencies are available and authorized to support the SMIS project and to engage in relevant project structures such as being members of project committees, serving as focal persons or participating in other project activities as may be required. Project activities will be planned and scheduled in collaboration with regional government partner institutions to the extent possible in order to enable SMIS activities to be integrated into regional plans. SECTION 4.05 Agriteam will develop and utilize effective administrative and financial accounting practices and procedures for the implementation of the SMIS project. A Finance and Administration Book (FAB) will be prepared specifically for the SMIS project that describes these procedures and that project staff can use as reference in guiding their work. Agriteam will also provide initial training on these administrative and financial procedures during staff orientation meetings at the start of the project. Subsequent on-job oversight and support will also be provided to project staff on an ongoing basis. The MoA will provide any necessary support letters or other documentation that may be required by Agriteam to open and operate SMIS project bank accounts for the NPMU and each of the four Project Inception Report (PIR) A-4 June 2015

171 APPENDIX A: LETTER OF UNDERSTANDING RPMUs as well as documents that may be required for project personnel administration pertaining to Ethiopia s labour regulations. SECTION 4.06 Agriteam will fully comply with the agreement between the NETHERLANDS and ETHIOPIA that the Project will be designed and implemented so as to maximize the equitable involvement of women along with other beneficiaries in its implementation. SECTION 4.07 Agriteam will ensure that appropriate actions are taken to mitigate potential adverse environmental impacts. A natural resource management specialist will be part of the team to support this initiative. SECTION 4.08 Agriteam will ensure that environmental policies and regulations of the GoE are considered in relevant activities during the implementation of the project. ARTICLE 5 CONTRIBUTION 0F THE NETHERLANDS SECTION 5.01 The contribution of the NETHERLANDS consists of financial resources and technical training, and management assistance, as well as monitoring and evaluating the project. The total value of the NETHERLANDS contribution will not exceed twenty million, seven hundred fifteen thousand Euros ( 20,715,000), i.e., 10 million from EKN and C$15 million from Canada. SECTION 5.02 The NETHERLANDS contribution cannot be used to pay any taxes, fees*, customs duties or any other levies or charges imposed directly or indirectly by ETHIOPIA on any goods, materials, equipment, vehicles and services purchased or acquired to meet project requirements or in relation to the implementation of the project. *Income tax applies to residents of ETHIOPIA with respect to the world wide income SECTION 5.03 At the end of the project, the equipment of the project will normally revert to ETHIOPIA represented by the agency implementing the project activities. However, conditional upon securing the approval of MoFED the NETHERLANDS can require any equipment paid for from EKN's contribution be transferred to similar activity sponsored by EKN. ARTICLE 6 CONTRIBUTION OF ETHIOPIA SECTION 6.01 The contribution of ETHIOPIA will consist of the provision of seconded staff and other support to facilitate the implementation of the project. Specific support will be determined and agreed during the project work plan development. Project Inception Report (PIR) A-5 June 2015

172 APPENDIX A: LETTER OF UNDERSTANDING ARTICLE 7 CONTRIBUTION OF AGRITEAM SECTION 7.01 Agriteam Consortium having been selected and contracted by EKN as the implementation agency for this project undertakes to conscientiously deliver the services specified under the heading Tasks of the Contractor in Annex A. SECTION 7.02 In order to deliver the required technical and CD services in Ethiopia the Agriteam Consortium will provide qualified and competent personnel The complement of personnel is based on the RFP issued by EKN, as identified in the contract and modified by mutual agreement in Project Operational Plans, and amended from time to time in approved work plans. SECTION 7.03 All contracts with Ethiopian nationals will be compliant with Ethiopian labour laws with respect to the benefits that will be applied. ARTICLE 8 INFORMATION SECTION 8.01 ETHIOPIA, the NETHERLANDS and Agriteam will ensure that this MOU is carried out with due diligence and efficiency and each will furnish to the other or such information relating to the project as will reasonably be requested. ARTICLE 9 COMMUNCATIONS SECTION 9.01 Any communications or documents given, made or sent by either ETHIOPIA, the NETHERLANDS or Agriteam pursuant to this MOU, will be in writing and will be deemed to have been duly given, made or sent to the party to which it is addressed at the time of its delivery by hand, mail, or facsimile at its respective address namely; For The NETHERLANDS: Embassy of the Kingdom of the Netherlands, Addis Ababa Attention Head of Development Cooperation PO Box 1241, Addis Ababa, Ethiopia Facsimile Project Inception Report (PIR) A-6 June 2015

173 APPENDIX A: LETTER OF UNDERSTANDING For ETHIOPIA: Ministry of Agriculture Attention: State Minister Natural Resource Development Conservation and Utilization Directorate P.O.Box 62347, Addis Ababa, Ethiopia Tel.: Fax: FOR AGRITEAM: Attention: Mr. Robert B. Francis Bannister Road SE, Suite 200 Calgary, Alberta, Canada T2X 1Z2 Tel: Fax: Tel, SECTION 9.02 Either party hereto may, by written notice to the other party hereto, change the address to which any notice or request for the party so giving such notice will be addressed. SEECTION 9.03 All communications and documents submitted to the NETHERLANDS and to ETHIOPIA will be in the English language. ARTICLE 10 CONSULTATION SECTION The NETHERLANDS, ETHIOPIA and Agriteam will consult each other in respect of any matter that may arise in connection with this MOU. ARTICLE 11 APPLICATION SECTION Differences which may arise in the application of the provisions of this MOU will be settled by means of negotiation between the NETHERLANDS and ETHIOPIA and Agriteam, or by any other manner mutually agreed upon by the parties. ARTlCLE 12 GENERAL PROVlSlONS SECTION This MOU together with Annex A which forms an integral part thereof, constitutes the entire understanding between the parties with respect to the project. SECTION The MOU may be amended from time to time as deemed necessary, by the NETHERLANDS, ETHIOPIA and Agriteam by mutual agreement by an exchange of letters. Project Inception Report (PIR) A-7 June 2015

174 APPENDIX A: LETTER OF UNDERSTANDING SECTION This MOU will come into force and effect on the date of approval by ETHIOPIA, the NETHERLANDS and Agriteam and will expire on the 30 th day of November, ON BEHALF OF THE GOVERNMENT OF ETHIOPIA Ato Sileshi Getahun, State Minister, Ministry of Agriculture Date ON BEHALF OF THE KINGDOM OF THE NETHERLANDS Martin Koper, Head of Development Cooperation, Embassy of the Kingdom of the Netherlands Date ON BEHALF OF AGRITEAM CANADA CONSULTING LTD. Sonja Vandermeer, Finance Manager Date Project Inception Report (PIR) A-8 June 2015

175 APPENDIX A: LETTER OF UNDERSTANDING ANNEX A DESCRIPTION OF THE PROJECT INTRODUCTION The "Small-Scale and Micro Irrigation Support Project" (SMIS) will be implemented in the following four [4] regional states of the Federal Democratic Republic of Ethiopia: Tigray, Amhara, Oromia and Southern Nations, Nationalities and Peoples Region (SNNPR) where the Agricultural Growth Programme (AGP) is operating. The contracting authority is the Embassy of the Kingdom of the Netherlands in Ethiopia (Addis Ababa), hereinafter called EKN. The Canadian Embassy s Department of Foreign Affairs, Trade and Development (DFATD) co-finances SMIS. Agriteam Canada Consulting Ltd. has been contracted by EKN to provide consulting services and to act as the Implementing Organization for this project. The Federal Democratic Republic of Ethiopia (ETHIOPIA) is represented by the MoFED and has designated responsibility for project implementation to the MoA. Responsibility within MoA has been assigned to the Natural Resources Management Directorate (NRMD). Considering the importance of the irrigation sector for the development of a sustainable and reliable agricultural sector and the overall economic development of the country, the Ethiopian government has embarked on a water-centred agricultural development strategy and it has given top priority to the irrigation sector in the overall development plans of the country with the ultimate objective of enhancing agricultural production and productivity in general and crop production in particular. This new strategy is reflected in the GTP , which gives strong emphasis to irrigation development and improving water use efficiency in order to improve the production and productivity level of irrigated agriculture on a sustainable basis. In the coming years, the Ethiopian government plans a huge scale-up of irrigable land from around 600,000 ha to 1.8 million ha in It is argued that in the short-term the development of small-scale irrigation (SSI) is best positioned for this objective given the limited technical and organizational capacity to implement large-scale irrigation works. Based on a comprehensive capacity gap analysis, the following major limitations that constrained the development of the SSI sub-sector were identified: i) limited access to improved irrigation technologies; ii) inadequately trained human resources; iii) inadequate extension services iv) absence of appropriate institutions at different levels responsible for the promotion, planning and development of irrigated agriculture; v) inadequate information system on agricultural water management and irrigation development; and vi) inadequate improved agricultural inputs. To tackle these and other limitations for the development of the SSI sub-sector in the country, the MoA developed the SSI Capacity Building Strategy, which was adopted in August The overall objective of the SSI Capacity Building Strategy is to undertake infrastructural, institutional and human resource capacity building, which will help the country to optimise the efficient use of water resources with improved land management of smallholder irrigated agriculture development, contribute to improved food security and to alleviate poverty. The SSI Capacity Building Strategy focuses on developing the capacity at different governance levels in irrigation infrastructure development, water and crop management, institutional capacity, research on irrigated agriculture, input supply and marketing, knowledge management and information systems. Project Inception Report (PIR) A-9 June 2015

176 APPENDIX A: LETTER OF UNDERSTANDING The specific objectives of the SSI Capacity Building Strategy are to: i) improve the technical and institutional capacity, expand infrastructure for SSI and create appropriate institutions at all levels to deliver more effective and efficient services; ii) increase production and productivity of irrigated agriculture to ensure food security, supply adequate raw materials to domestic factories and industries and increase export earnings; iii) improve institutional linkages and sustain effective coordination between key stakeholders; iv) strengthen the input supply schemes and market information systems in order to improve access for quality inputs and improve value chains to ensure profitability of the irrigation sub-sector; and v) encourage participation of the private sector in the development and management of SSI. GOAL AND OBJECTIVE SMIS aims to support the GoE through the MoA with the implementation of the adopted SSI Capacity Building Strategy, in particular strategic directions 1, 2, 3 and 5, by focusing on the implementation of the action steps formulated for these four strategic directions. SMIS will also support the transformation of concerned government agencies from an approach focused on implementation to one with more emphasis on planning, coordination and supervision of activities related to development of SSI, MI and irrigated agriculture. Under this approach, detailed studies, design, construction, and construction supervision will be increasingly outsourced to contractors. In line with the SSI Capacity Building Strategy of MoA, the development objective of the SMIS is "to ensure that the concerned public and private institutions within each of the four regional states have the institutional, human and technical capacity required for gender-responsive identification, planning, design, construction and management support of sustainable SSI systems and MI schemes in a coordinated manner and according to the adopted integrated watershed-based approach" PROJECT COMPONENTS Based on the analysis of a large number of issues, constraints and challenges identified for the SSI sub-sector, the following three components are targeted for investment: Component 1: SSI Capacity Building Component 2: A-TVET Colleges Component 3: Promotion of MI The objective of Component 1 is to address the institutional, human and technical capacity gaps of the public and private institutions involved in the development of SSI and irrigated agriculture as well as to institutionalize the capacity building interventions in the regional government structures. In support of the Ethiopian governments plan to expand the irrigable area in the country in the next 5 to 10 years, mainly through the development of SSI and MI, the objective of Component 2 is to provide capacity building support to A-TVET colleges and the establishment of a CoEIWM as a separate unit within an existing A-TVET college in order to address the medium- and long-term need for technicians as well as SMS working at the woreda-level and development agents (DA) at the kebele level. Component 3 aims to promote irrigated farming at household level by introducing suitable MI systems, including low-cost and effective (hand-driven) pumps and rainwater harvesting structures. Under this component, Agriteam will actively support the enforcement of the recently established Project Inception Report (PIR) A-10 June 2015

177 APPENDIX A: LETTER OF UNDERSTANDING pump standards at the national level and in all four project regions in close collaboration with the concerned government bodies at the national level, including MoA, Agricultural Transformation Agency (ATA), Ethiopian Conformity Assessment Enterprise (ECAE), and the regional level (BoA and BoWR). Support for the testing facility of ECAE will be part of this component as well. INSTITUTIONAL FRAMEWORK Guiding Principles: The SMIS will work through a number of guiding principles to ensure proper checks and balances of project activities. Specific emphasis is there on ensuring adequate ownership of the GoE and accountability to the Donors (EKN/DFATD). The guiding principles are as follows: MoA through the NRM Directorate will be overall responsible for project coordination Agriteam will provide the overall management of project operations and the provision of technical support and assistance to MoA and concerned regional line departments with the implementation of SMIS. EKN will maintain contractual arrangements with Agriteam (in consultation with the GoE). SMIS will be implemented in partnership with various public and private institutions that are directly and indirectly involved in the development of SSI, MI and irrigated agriculture. SMIS through its RPMU and PIT will plan and execute all envisaged capacity building activities together with partner institutions, which are the regional government institutions responsible for the development of SSI, MI and irrigated agriculture. SMIS will also establish functional linkages with 'support institutions', such as public and private institutions as well as ongoing projects and programmes, for sharing information on best practices and providing capacity building services. A-TVET Colleges selected as Centres of Excellence for Water Management will be the main partner institutions of SMIS for Component 2: Capacity Building of Centres of Excellence for Water Management. ATA will be a key partner institution of SMIS at the federal level for strategic and policy issues related to Component 3: Promotion of MI. In each region, 15 to 20 SSI schemes to be constructed or rehabilitated with funds from the regional government or other projects (i.e., AGP) will be selected in a limited number of watersheds as 'pilots' and examples of best practices. The regional BoA and other institutions that are responsible for implementing these schemes will be supported intensively by SMIS. Project Inception Report (PIR) A-11 June 2015

178 APPENDIX A: LETTER OF UNDERSTANDING MANAGEMENT AND IMPLEMENTATION STRUCTURE OF SMIS Department of Foreign Affairs, Trade and Development (DFATD) Embassy of the Kingdom of the Netherlands (EKN) Project Supervisory Board Federal Level Chair: NRM State Minister Participants: High level representatives from MoA, MoWE, MoFED, MoE, EKN, DFATD Secretary: CTA-I/N Ministry of Agriculture / NRM Directorate Contractor Headquarters Project Director Results Based Management expert Administrative / Log istics Offi cer Finance Officer National Project Management Unit (NPMU) International Chief National Chief Technical Advisor (I- Technical Advisor (N- CTA) / Irrigation CTA) / Irrigation Engineer Engineer Offi ce / Finance Drivers (2) Manager Technical Assistance Team (TAT) International SMS A-TVET International SMS Post-Harvest Management and Crop Marketing National IT Specialist International SMS Gender International National International National SMS Capacity SMS Procurement Irrigation Building Extension Specialist Agronomy Specialist International SMS International SMS International SMS (On Farm) Water PIDM/UWO NRM Management National M&E Specilaist International SMS M&E Regional Level Regional Supervisory Board Chair: Head of BoA Participants: High level representatives from regional bureaus and authorities, BoFED, TVET Bureau / Agency Secretary: Regional Team Leader Regional Project Management Unit (RPMU) Regional Team Leader / Irrigation Engineer - International Regional Team Leader / Irrigation Engineer - National Partner Institutions Regional bureaus involved in the development of SSI, micro-irrigation and irrigated agriculture. Will differ in each region Regional Technical Committee Senior technical staff from government agencies Offi ce / Finance Manager Drivers (4) Support Institutions Regional Gov. Institutions Regional Ag. Research Institutes & IWMI Universities and other training institutes NGOs Financial institutions Private sector Ongoing projects (PSNP, CASCAPE, SLMP, ATTSVE, NUFFIC-NICHE, etc.) Project Implementation Team (PIT) Irrigated PIDM / WUO M&E Other Subject Matter Gender Specialist - Agriculture Water and NRM Specialist - Specialist - Specialists - National National Extension - Specialist - National National National National Representatives of concerned regional bureaus involved in the development of SSI, micro irrigation and irrigated agriculture (listing by region in TORs, p. 31 of 57) Zone and Woreda Partner Institutions Zone and Woreda Level Development Agents (DAs) & Farmers Modalities for project implementation and management: In accordance with its contractual obligations, Agriteam will be responsible for SMIS management and implementation. The GoE counterpart agency for SMIS at the federal level will be the MoA through the NRMD. SMIS will also closely cooperate with ATA and its MI programme. The government implementing agencies at regional level will be the regional governments through their bureaus and agencies responsible for the development of SSI schemes, MI and irrigated agriculture. Agriteam will provide the technical assistance personnel, project management support and quality control. Financial Management: Agriteam will be responsible for the administration of the project budget on behalf of both donors and it is principally accountable to the EKN as lead donor with whom it has the contract. However, disbursements can only be done on the basis of the approved annual work plan and budget; this concerns both the expenditures at federal and regional levels. The NPMU will only disburse federal funds or transfer funds to the four RPMUs once the overall annual work plan and budget have been approved by the PSB chaired by the NRM State Minister. Instalments to the regions are made on the basis of liquidity needs related to the half-yearly financial reports and upcoming budget. Agriteam is responsible for providing half-yearly financial reports to the PSB and a yearly external audit is compulsory. Sustainability and Exit Strategy: SMIS would not be sustainable if it would limit its interventions to the capacity building of existing staff of the public and private institutions involved in the development of SSI, MI and irrigated agriculture. In order to increase its sustainability, the project Project Inception Report (PIR) A-12 June 2015

179 APPENDIX A: LETTER OF UNDERSTANDING will also undertake activities to institutionalize the capacity building interventions of the concerned regional government institutions, including the development of databases, establishment of libraries, reparation of sets of standard manuals and training materials, and improvement of the ToT methodology. Due to the capacity building of the A-TVET Colleges, SMIS will also address the medium- and longterm need for technicians as well as SMS and DA, who have the necessary knowledge and skills required for the sustainable development of the SSI, MI and irrigated agriculture during the next 10 to 15 years. At the end of the project implementation period, an extensive set of manuals, guidelines, training modules and materials will have been developed in various topics, including: design and construction of SSI schemes; WUO development; irrigated agriculture and irrigation agronomy; MI; production, installation and maintenance/repair of hand-driven and motorised pumps; watershed management; and (on-farm) water management, etc. It is envisaged that these manuals, guidelines and training materials will not only be used by the 'partner institutions' after the completion of the project but also by other public and private institutions, NGOs and/or project/programmes in Ethiopia that are involved in the development of SSI, MI and/or irrigated agriculture. The successful implementation of SMIS will also enhance the sustainability of other projects/programmes funded by the EKN and DFATD, in particular AGP, as they will benefit from improved institutional, human and technical capacity of public and private institutions involved in the development of SSI, MI and irrigated agriculture. By the end of the project, it is envisaged that concerned public and private institutions, including local manufacturers, in the four project regions have the necessary institutional, human and technical capacity for the sustainable development of SSI, MI and irrigated agriculture. Similarly, the A-TVET Colleges will have the institutional and technical capacity to provide short practical training courses for technicians and training courses for professional government staff in various aspects of SSI, MI and irrigated agriculture. MONITORING AND EVALUATION During the inception phase and the preparation of the annual work plan, the RPMU and NPMU have to review all outcome/result indicators and formulate a revision of one or more indicators as deemed necessary. As the outcome/result indicators are key monitoring tools, any amendment to one or more indicators must be approved by the PSB. Project progress monitoring will be carried out as follows: RPMUs and NPMU: preparation of the six-monthly and annual progress reports with summary tables comparing actual achievements with targets for all outcome/result targets; RSB and PSB: review of the six-monthly and annual progress reports as submitted by the RPMUs and NPMU during their six-monthly meetings; EKN and DFATD: review of six-monthly and annual progress reports submitted by NPMU; and Joint project progress monitoring visits are undertaken by NRM Directorate/MoA, EKN and DFATD Project Inception Report (PIR) A-13 June 2015

180 APPENDIX A: LETTER OF UNDERSTANDING TASKS OF THE CONTRACTOR The tasks of the Contractor with regard to the envisaged capacity building activities under the three project components are defined in the LM and WBS. In addition, the Contractor also has the following tasks and responsibilities: Establish NPMU at national level and RPMU in each of four project regions Procure vehicles, office and field equipment Recruit supporting staff for NPMU and RPMUs, including office manager and drivers Prepare the Inception Report, including a refinement of the logical framework and outcome/result indicators Develop an appropriate MIS and M&E system for NPMU and RPMUs during the inception phase Facilitate the establishment of PSB at national level and RSB at regional level Facilitate the establishment of the RTC at regional level Act as secretary of the PSB, RSB and RTC Prepare annual work plans and budgets for approval by RSB and PSB respectively in consultation with the 'partner institutions Prepare six-monthly and annual progress reports, including activity report and financial report, for review and approval by RSB and PSB Plan, coordinate and supervise the inputs of international and national short-term consultants in consultation with the 'partner institutions' Plan, coordinate and monitor the activities of PIT in each of the four project regions in consultation with the 'partner institutions' Conduct a meeting with the (deputy) heads of the 'partner institutions' at least once a month to discuss project implementation and any problems encountered during the execution of project activities Organise national, regional and international study tours in consultation with 'partner institutions' and facilitate the implementation of the study tours following approval of the PSB Identify, report and address constraints to the successful implementation of SMIS and bring these to the attention of RSB and PSB respectively in a timely manner Identify and establish functional linkages with (potential) external service providers, including public and private institutions, NGOs and/or projects/ programmes Identify additional needs for technical assistance and recruit technical experts as required following the approval of PSB Expenditure management, financial accounting and reporting Facilitate and support annual financial audits Evaluate the conducted project activities at least once a year in order to identify the constraints for successful implementation of project activities and mitigate these through the development of new and/or revised project activities and/or methodologies Develop appropriate methodology for scaling-up manuals, training modules and materials, and any other documents related to best practices developed throughout the implementation of SMIS Organise workshops and seminars to share project results, lessons learned and best practices with others Project Inception Report (PIR) A-14 June 2015

181 APPENDIX A: LETTER OF UNDERSTANDING Participate in workshops and seminars to learn from experiences of others and incorporate these in project activities and methodologies whenever opportune Actively pursue cooperation with other organizations to reinforce SMIS s activities and objectives Facilitate the M&E of the project by MoA, EKN, DFATD, PSB and external expert(s) recruited for this purpose Project Inception Report (PIR) A-15 June 2015

182 APPENDIX C: DATA COLLECTION QUESTIONNAIRES APPENDIX B: LOGIC MODEL ULTIMATE OUTCOME (Change of State) Development Objective To ensure that all concerned public and private institutions within each of the four regional states have the necessary capacity required for gender-responsive identification, planning, design, construction and management support of sustainable SSI systems and micro irrigation schemes in a coordinated manner and according to adopted integrated watershed-based approach INTERMEDIATE OUTCOMES (Change of Performance) 1000 Improved planning, design and construction of gender responsiveand sustainable small-scale and micro irrigation schemes by public and private institutions in a coordinated manner and according to an integrated watershed-based approach 2000 Improved management of gender responsive and sustainable small-scale and micro irrigation schemes by water users organizations (WUOs/IWUAs) and individual users respectively with support from key public institutions 3000 Improved water, soil and crop management practices for irrigated crops (and rain fed within the command area) adopted by (male and female) farmers FomponenP PiPles COMPONENT 1: SSI CAPACITY BUILDING COMPONENT 2: CAPACITY BUILDING OF SELECTED (A)TVETS COMPONENT 3: PROMOTION OF HOUSEHOLD MICRO IRRIGATION TOemMPic OeMdings MANAGEMENT AND COORDINATION TECHNICAL SKILLS AND TOOLS/ EQUIPMENT RELATED TO SSI WUOs/IWUAs IRRIGATED AGRICULTURE DEVELOPMENT FOR SSI PHYSICAL CAPACITY OF CENTRE OF EXCELLENCE and SELECTED ATVETs SSI and MI CURRICULUM INSTRUCTORS (Centre of Excellence and selected ATVET instructors) MI TECHNICAL COMPETENCIES MI RELATED TECHNOLOGIES IRRIGATED AGRCULTURE DEVELOPMENT FOR MI IMMEDIATE OUTCOMES (Change of Capacity) 1100 Improved capacity of public/private organizations to coordinate and manage the planning, design and construction of SSI schemes 1200 Improved capacity of responsible public and private institutions, to promote, develop supervise, monitor & and evaluate gender responsive SSI schemes Improved capacity of responsible public organizations to develop capacity of WUOs/IWUAs to manage gender responsive SSI schemes 1400 Improved capacity of responsible public institutions to provide appropriate extension and support services for irrigated agriculture in selected woredas 2100 Improved capacity of Centre of Excellence for Water Management and selected ATVETs to advocate and demonstrate gender responsive water management technologies and practices, including MUS, water saving and water harvesting technologies 2200 Improved capacity of selected public institutions and A-TVET staff/instructors to revise and deliver gender responsive SSI/ MI courses and training, including teaching, training and learning materials, in line with national occupational standards Improved capacity of A-TVET staff/instructors to deliver quality gender sensitive SSI/ MI courses and training based on adult learning principles and experiential learning practices Improved capacity of responsible public and private institutions to provide training and to demonstrate household micro-irrigation (HHMI), O&M, and OFWM practices Improved capacity of responsible public and private institutions to develop, install and support shallow well technologies and the operation and maintenance of certified motorized and manual irrigation pumps 3300 Improved capacity of responsible public institutions to provide appropriate gender responsiveagricultural extension and support services. OUTPUTS (max 5; per immediate outcome) ACTIVIITES ARE COMPLETED 1110 Staff of responsible public and private institutions trained In results based irrigation project management Essential institutional linkages for SSI & MI development explored, documented, promoted and strengthened Relevant, good quality, technical standards, guidelines and manuals adopted for identification, planning and design of SSI schemes 1220 Standard procedures for Tendering, contract administration, construction, supervision, and M&E of SSI schemes in place 1310 Standard guidelines and manuals available for organizational development and registration of WUOs/IWUAs and application of irrigation service fees 1320 Responsible public organizations trained and supported in formation, organization and registration of WUOs/IWUAs 1410 Responsible public organizations supported to strengthen existing research-extensionfarmer linkages to facilitate promotion, introduction and adoption of appropriate technologies and practices related to irrigated agriculture Adaptation/ development and provision of relevant manuals, guidelines and training materials on: irrigation agronomy, irrigation extension, OFWM, IPM and management of soil fertility Five A-TVETs, including the Centre of Excellence for Water Management selected based on agreedupon criteria and physical needs assessed Centre of Excellence supported to establish a demonstration site, a training hall and other facilities, based on physical needs assessment MoA, MoE, BOA and BoTVETs supported to ensure that national irrigation occupational standards meet the requirements of sustainable SSI & MI development MOA and MOE supported to develop/revise, and systematically pilot practical SSI and MI curricula and training programs, including instructor manuals and student texts, based on experiential learning practices Technical and instructional capacity needs of instructors responsible for SSI/MI courses are identified ATVET instructors trained and provided with support on technical competencies related to SSI and MI development, irrigated agriculture practices and participatory extension techniques 3110 Responsible public institutions supported To identify and promote areaspecific HHMI technologies, systems and practices and including O&M Knowledge products on MI developed/revised for woreda and kebele level staff ECAE supported in: planning, design and installation of a pump testing facility for motorized and manual irrigation pumps for use in HHMI; and pump certification by ECAE Manuals and reference materials developed and distributed on: appropriate manual drilling techniques; repair and maintenance of motorized pumps; and design, manufacturing and O&M of manual pumps 3310 Responsible public extension institutions supported to promote the results of demand-driven, applied-action research to farmers Staff of responsible public organizations trained on irrigation agronomy, irrigation extension, and OFWM technologies for HHMI. FHNAI VERSHON 13 April, 2015 Project Inception Report (PIR) B-1 June 2015

183 APPENDIX B: LOGIC MODEL 1130 Responsible public institutions implement irrigation KM guidelines Responsible public and private institution staff trained and supported on integrated watershed-based SSI development and management as per Responsible public institutions trained and supported to establish sustainable SSI operation and maintenance practices among WUOs/IWUAs 1430 Responsible public organizations trained and supported on irrigation agronomy, irrigation extension, OFWM, IPM and management of soil fertility Selected A-TVETs supported to establish up to 10 ha irrigation demonstration and practical training farms to demonstrate appropriate OFWM technologies and practices 2230 Adoption and use of SSI and MI curricula and training programs, including instructor manuals and learning materials A-TVET instructors trained and supported on using effective instructional practices, and student assessment strategies, based on national instructor standards Responsible public And private institutions trained and supported in application of selected HHMI technologies and practices Responsible public and private institutions trained to support community members (including unemployed youth and women) on hand drilling techniques, and on accessing micro finance for hand drilling equipment Staff of responsible public institutions trained and supported to facilitate functional linkages between farmers and service providers. OUTPUTS ACTIVIITES ARE COMPLETED 1140 Responsible public institutions implement agreed approaches to systematic capacity development, including TOT 1240 Public institutions responsible for SSI design have essential tools (such as field equipment, computers, software etc.) to support pilot SSI development schemes Responsible public organizations trained and supported in M&E of WUOs/IWUAs performance 1440 Responsible public institutions staff trained and supported to facilitate farmers access to agriculture support services and technologies Centre of Excellence and ATVET staff trained In the use of practical approaches to demonstrate water saving technologies and onfarm water management Support the procurement of essential instructional equipment (such as computers, software and reference materials) based on Identified priorities Support demonstrations on FTCs, and training of farmers on appropriate HHMI technologies 3240 Selected local manufactures and dealers trained to produce, install, and maintain/repair manual and motorized irrigation pumps for HHMI, and to provide spare parts 1150 Responsible public institutions have adopted and implemented rigorous contract administration procedures In pilot SSI schemes responsible public organizations supported in the training and support of WUOs/IWUAs In sustainable scheme management Responsible public institutions supported to monitor and evaluate Performance Of HHMI technologies. The cross cutting themes of environmental sustainability, gender responsiveness and improved nutrition are applied as appropriate to all activities Project Inception Report (PIR) B-2 June 2015

184 APPENDIX C: DATA COLLECTION QUESTIONNAIRES ORGANIZATIONAL CAPACITY TO MANAGE AND COORDINATE PROFILE FOR SSI/MI SECTOR Outcome 1100 Date: Zone: Region: Woreda: Name of team/process/department: Name of organization/agency: Related RFP Indicators: ToT capacity developed and institutionalised in concerned regional government institutions by end of PY5 Databases, knowledge management and M&E developed within regional government institutions by end of PY5 Linkages developed and operational with regional agricultural research institutions and /or ongoing programmes/projects to promote demand-driven research in OFWM and irrigated agriculture in all four regions by end of PY2 and six other indicators related to training Purpose of inventory: To get a profile of all institutions/organizations we will likely be targeting to achieve Immediate Outcome Objectives: This inventory will provide an impression of an organization s current: Adherence to its articulated mandate including commitment to social equity Staff composition (including vacancies and gender balance) Physical infrastructure status Capacity to manage projects (planning, budgeting, implementation, monitoring) Capacity to coordinate among key stakeholders Opportunities for training and other CD interventions Capacity to develop the capacity of others Capacity to manage and use knowledge Capacity to train others This inventory is designed to probe for information related to the SSI CB Strategy: Strategic Direction 6: Develop and strengthen knowledge and information management capacities to improve the adequacy, reliability and accessibility of existing databases at all levels. Establish database management system on agriculture water management. Establish standard gender sensitive M&E system to monitor and evaluate performance of irrigated agriculture. Establish inter-sectoral coordination, linkages and networking/experience sharing events. Project Inception Report (PIR) C-1 June 2015

185 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Definitions: Organization: for the purpose of this inventory, organization refers to a core process/process/ organization/authority that we will support in relation to Immediate Outcome Instructions: Meet with manager/process owner and/or deputy manager/deputy process owner of the organization/institution that we will be working with on Outcome 1100 activities. For example: meet with the OIDA general manager at regional level to get data about the regional OIDA organization as a whole, meet with the BoARD process owner responsible for Extension, the BoARD process owner responsible for PIDM; the BoWR process owner responsible for Feasability and the BoWR process owner responsible for Design and Construction. Each organization will have very different organizational capacity which is important for all of us to know. Before interview/focus group discussion (FGD), make sure you have a notebook, and USB key. Introduce why you are there. Take time for everyone to introduce themselves and their role in SSMI. Confirm that the right people are in the room. Explain that the group will likely divide up based on roles and responsibilities in SSI/MI to have a specific discussion. For each interview, you should have a main interviewer/facilitator and a note taker. The note taker should insert responses directly into the questionnaire. You can use a note book to write up any significant points shared. Make sure to have a USB key to copy any documents/files that respondents are willing to share with you SMIS Staff Names SMIS Position Responsibility (facilitator, note taker) Gender (M/F) Name of Participants Position Mobile phone number Gender (M/F) Project Inception Report (PIR) C-2 June 2015

186 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section A: Status of Human Capacity (including response to gender) 1 What is your organization s mandate related to gender responsive SSI and MI (roles and responsibilities), based on the organization s proclamation or other guiding document (policy, operational manual)? Note-taker: write short answer in space provided. 2 In your opinion, to what extent is your organization able to meet its mandate: to a moderate to the fullest Not at all to a limited extent to a great extent extent extent 3 Number of staff positions (relevant to SMIS) 4 Number of existing staff (to show staff Total # # of male # of female staff vacancy and gender balance) (M/F) 5 What are the main reasons for Low salary vacancies? Poor secondary employment conditions Remote location Harsh living and working conditions Lack of promotion/career opportunities No suitable candidate Lack of qualified female candidates Other, specify: 6 Is there a person or unit responsible for gender in your office? Yes No 7 Is this position staffed? Yes No Not applicable (NA) 8 Is your gender expert/focal point regularly involved and consulted in the development and management of SSMI schemes? to a moderate to the fullest Not at all to a limited extent to a great extent extent extent 9 Does your office have a policy/strategy and action plan that affirms a commitment to gender equality and defines the mainstreaming of gender into its internal operations, planning and execution of its activities? 10 Who developed this gender mainstreaming policy/strategy? Yes No Not applicable (NA) Regional bureau Other government institution, specify name: Project, specify name: Project Inception Report (PIR) C-3 June 2015

187 APPENDIX C: DATA COLLECTION QUESTIONNAIRES 11 Is the gender policy/action plan effectively implemented? 12 Do staff have the necessary knowledge, skills, and support (e.g., training, tools or a gender advisor) to carry out their work with gender awareness? 13 In your opinion, are recruitment and internal promotion practices and personnel policies gender equitable (non-discriminatory and fair)? 14 In your opinion, has the working environment improved for women over the past two years including more women in senior management positions? Section A: Status of Human Capacity (including response to gender) NGO, specify name: Other, specify: To the fullest extent To a great extent To a moderate extent To a small extent Never Not applicable (NA) To the fullest extent To a great extent To a moderate extent To a small extent Never Not applicable (NA) To the fullest extent To a great extent To a moderate extent To a small extent Never To the fullest extent To a great extent To a moderate extent To a small extent Never Section B: Status of Infrastructure 15 How would you classify the physical condition of your office building? Good Moderate Poor 16 Is the available office space large enough for all available staff? Yes No 17 Do all available staff have their own desk? Yes No 18 Does your office have a computer? Yes No 19 If Yes, number of computers Number of functional computers: Number of non-functional computers: Not applicable (NA) 20 If Yes, number of printers Number of functional printers: Number of non-functional printers: NA 21 Does your office have internet connection? Yes No 22 Does your office have a library? Yes No 23 Does your office have vehicles? Yes No 24 If Yes, number of motorcycles Number of functional motorcycles: Number of non-functional motorcycles: Project Inception Report (PIR) C-4 June 2015

188 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section B: Status of Infrastructure NA 25 If Yes, number of cars Number of functional cars: Number of non-functional cars: NA 26 If Yes, does your office have sufficient budget for operating and maintaining Yes No the vehicles? 27 Does your office/project have machinery? Yes No 28 If Yes, which types of machinery? Tractor Bulldozer Grader Truck Other, specify: 29 If Yes, does your office/project have sufficient budget for operating and maintaining the machinery? Yes No 30 Does your office use a gendersensitive M&E system to monitor all your work? Yes No Section C. 1 Program Cycle Management: Planning 31 Please describe your organization s planning process as it relates to small scale irrigation and microirrigation. Note-taker: please write down process here and using the questions below, probe further. 32 In your opinion, to what extent is the planning process participatory (inclusive of all stakeholders including women and other vulnerable groups)? Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 33 In your opinion, to what extent is the planning process systematic (step by step, sequential and logical). Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 34 What good practices are being used by your organization to make the planning process effective? Use standard planning templates Uses a standard and systematic planning process Provide training to staff and colleagues on the planning process Know how to include multiple stakeholders in the planning process Use strategies to identify priority needs Project Inception Report (PIR) C-5 June 2015

189 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section C. 1 Program Cycle Management: Planning Other: 35 What strategies would improve your organization s planning process? Check all that apply. Use standard planning templates Uses a standard and systematic planning process Provide training to staff and colleagues on the planning process Know how to include multiple stakeholders in the planning process Use strategies to identify priority needs Other strategies. Please elaborate: Section C.2 Program Cycle Management: Budget and approval 36 Describe your organization s budgeting and approval process. Note-taker: please write down process here and using the questions below, probe further. 37 To what extent are annual plan budgets gender-responsive (include specific budget items related to activities that promote genderequality or equity). Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 38 To what extent are annual plans budgeted in a transparent manner? (the budget and expenditure is made public by being shared with stakeholders) Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 39 What percentage of your organization s original or initial budget was approved? 100% 80% 60% 40% 20% Section C.3 Program Cycle Management: Implementation 40 Last year, to what extent was your organization able to implement activities as planned and scheduled? Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 41 In your opinion, to what extent are the different roles, needs and interests of different stakeholders (women, men, and vulnerable groups0 addressed in the implementation of your activities? Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA Project Inception Report (PIR) C-6 June 2015

190 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section C.3 Program Cycle Management: Implementation 42 Last year, approximately what percentage of your organization s planned annual budget was spent? 100% 80% 60% 40% 20% Section C.4 Program Cycle Management: Monitoring 43 What is your organization s primary modality for monitoring activities? Mobile phone or land line Scheduled meetings Visits to the field/work site Not applicable 44 Do you use a standard template to collect monitoring information? Yes No 45 In your opinion, to what extent is the data collected by your team/unit/process disaggregated by sex, analyzed and used to improve gender impact of activities? Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 46 What does your organization do when Short answer activities are not implemented as planned or scheduled? 48 In general, what good practices are Short answer being used by your organization to manage annual plans effectively? 49 What strategies would improve your organization s ability to manage annual plans? Short answer Section D: Institutional Linkages and Coordination 50 How are institutions responsible for SSI and MI linked together at this administrative level? Memorandum of understanding Technical committee Other formal mechanism Informal linkage. Explain: No linkage NA 51 In your opinion, to what extent is your institution linked with other stakeholders involved in the irrigation sector at this administrative level? Not at all To a limited extent To a moderate extent To a great extent To the fullest extent NA 52 Do you get support and or do joint activities with the Women s Affairs Yes No Project Inception Report (PIR) C-7 June 2015

191 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section D: Institutional Linkages and Coordination Directorate (WAD) and or MoWYCA at your level? Specify who: WAD R/Z/W and or MoWYCAs R/Z/W 53 In your opinion, what (additional) mechanisms should be in place to improve linkages among all stakeholders responsible for SSI and MI? Short answer 54 What practices are used to make sure annual plans are planned in a coordinated manner among organizations/processes doing similar work? 55 What are the challenges or bottlenecks to effective coordination at this administrative level? (check all that apply) What capacities need to be 56 strengthened within individuals and organizations for linkages and coordination mechanisms to be effective? Informal meetings organized by a senior manager Community mobilization meetings Formal technical committees Other formal mechanisms No practices Competing priorities Leadership turnover Lack of commitment Other None Short answer Section E.1: Opportunities to Participate in Capacity Development 57 Over the past two years, on average, in 5 events how many CD opportunities related to 3 events coordination, management, or SSI and 1 events MI technical knowledge did experts in Not at all your organization participate in? 58 How many opportunities did women 5 events experts have? 3 events 1 event Not at all NA 59 Over the past two years, on average, in 5 events how many CD opportunities related to 3 events coordination, management, or SSI and 1 event MI technical knowledge did managers Not at all in your organization participate in? 60 What percentage of your staff who 100% deliver training to colleagues, staff and 50% beneficiaries, have been formally 25% trained as trainers/facilitators? Less than 10% Formally trained includes trainings, 0 % workshops, or short courses where Project Inception Report (PIR) C-8 June 2015

192 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section E.1: Opportunities to Participate in Capacity Development individuals learn competencies related to training and/or facilitating a group of people. 61 What training materials (ppts slides, reference materials, etc) related to coordination, management and SSI/MI technical knowledge do you have in your possession? Note-taker: please take copy of material, or take a photo. Record title/type of material in this box. Section E.2 Capacity to Develop Capacity 62 Describe how your organization develops, designs, delivers and monitors a typical training program. Note-taker: write down response here and based on this information, use the following questions to further probe). 63 How often does your organization conduct gender-sensitive capacity (needs) assessments on staffing groups prior to designing a training program? Always Often Sometimes Rarely Never NA 64 How does your organization design a training program? (Choose the answer that BEST describes your situation). Staff work together to identify the training goal, learning outcomes and general activities One staff person designs a training program Hire an outside consultant Do not design training program NA 65 How does your organization develop a training program? (Chose the answer that BEST describes your situation) Two or three staff (who will likely be trainers) write the training program One person sits alone and develops the program Hire an outside consultant Do not develop a training program NA 66 Do training programs developed by your organization usually include detailed facilitator s guides to support trainers? Yes No 67 How does your organization get prepared to deliver training to other staff/colleagues/beneficiaries? (check all that apply) Participate in a ToT training where participants review and discuss the training materials Participate in a ToT training where staff participate as trainees in the training Do not provide a ToT Not applicable 68 What % of a typical training program includes learning by doing activities, 70% 50% Project Inception Report (PIR) C-9 June 2015

193 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section E.2 Capacity to Develop Capacity demonstrations, and/or practice exercises? 30% 20% None NA 69 How are women participants accommodated for in training programs? Check all situations that apply to your organization. Specifically targeted as participants in order to get female representation and participation in the training group No accommodations made Other strategies, not listed here. Please elaborate. 70 Do you have specific strategies in place to ensure women s equal and Yes No active participation in training? If yes, please specify one strategy 71 On average, what is the participant group size for most trainings conducted by your organization? 200 plus participants participants participants participants Less than 30 participants 72 On average, what % of the participants are women? 100% 50% 25% Less than 10% 0 % 73 To what extent would you say women participate in your training? Not at all To a small extent To a moderate extent To a great extent To a full extent 74 Usually, does your organization ask participants to complete a training evaluation? Yes No 75 Generally, what documents do participants take-away from a training? Check all those answers that apply. PPT slides (hard copy) Participant reference book (hard copy) Soft copies (on CD disk) only No hard or soft copies of documents 76 What JES strategies does your organization use to provide support to participants their workplace after they have been trained? Check all that apply. Coaching (asking questions) Mentoring (sharing experiences and knowledge) Troubleshooting Demonstrating how to do tasks better Facilitating learning-by-doing activities Others NA 77 What percentage of your organization s approved budget is dedicated to training and other CD? 40% 20% 10% Project Inception Report (PIR) C-10 June 2015

194 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Section E.2 Capacity to Develop Capacity 0% 78 Is this sufficient? Yes No Section F: Agriculture Water Management Knowledge Management System 79 An explicit, intentional knowledge management strategy exists for the irrigation sector in (region only). 80 Is there an operational performance Yes measurement framework for No irrigation in your region? (region only) 81 Is there a M&E database for irrigation in your organization? Yes No 82 How are documents (training Electronically, on a central server materials, ppt slides, SSI guides, SSI Hard copy, on a shelf or in a cabinet in the office reference materials, SSI procedure Remain with individual staff manuals, proclamations, etc.) usually Other: please elaborate stored? 83 Are there individuals in your organization who are assigned the responsibility of managing knowledge Yes products (training materials, ppt No slides, guides, reference materials, procedure manuals, proclamations) related to SSI/MI? 84 In general, how competent is your organization (individuals within your organization) at data analysis, whether qualitative and quantitative, and report writing skills? Masters, highly competent and can teach others Very competent Satisfactory competence Limited competence Not competent 85 How do you share data and knowledge products among your staff and across core process in SSI/MI? Do not do this Informally - On individual basis Section G: Organizational Management and Coordination Capacity Gap Priorities 86 Of all of the organization capacity areas discussed above, list in order of urgency (1 being the most important) your organization s capacity gaps? Physical assets Project management Linkages and coordination Capacity to develop capacity Knowledge management Project Inception Report (PIR) C-11 June 2015

195 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Interview Questionnaire with Government Representatives Responsible for Supporting Gender Mainstreaming in SSMI and Agricultural Sector Outcome 1150 Purpose: This tool assesses to what extent government gender experts and units are supporting gender mainstreaming of the SSMI sub-sector and what are the gaps and opportunities. It can be used to interview two sets of gender advisors/units: 1) WAD and or WYCAs staff to understand the institutional linkages between them and SSMI government organizations and processes at regional, zonal and woreda levels; 5 and or 2) Gender advisors working within SSMI processes and organizations to dig deeper into understanding their capacity and role. Who to interview: The names and titles of these different units change slightly by region. If tight for time, prioritize interviewing at the least, MoA WAD staff at regional and zonal levels. At woreda levels, prioritize interviewing Women s Affairs Office staff and if possible, a woreda level WAD staff member. Gender advisors working in SSMI processes should also be interviewed on their own using this tool. Name of Organization: Name of Process/Unit: Region: Zone: Woreda: Date: SMIS Staff Name Job title Gender (M/F) Name of Participant Designation Contact Information Gender (M/F) 5 WAD stands for Women s Affairs Directorate and WYCA stands for Women, Youth and Child Affairs. Project Inception Report (PIR) C-12 June 2015

196 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Question 1. What is your mandate (roles and responsibilities) in terms of supporting gender mainstreaming within the MoA? 2. What kinds of activities do you carry out to fulfill this role? Check all relevant boxes and circles 3. Are there any specific problems that limit your ability to carry out your work? Can you name some of them? 4. In the last two years, have you received any training to build your capacity to do your work? Response Gender training o Awareness-raising o Practical skills building on gender analysis and gender mainstreaming Backstopping and mentoring Development of tools Specific gender sensitive agricultural improvement initiatives (List them on right) Women s economic empowerment Social and behavior change activities (e.g., Community conversations) Advisory role Gender analysis of projects Ensuring gender integration in planning, implementation and M&E Other Lack of budget Poor logistics/no transportation Weak capacity Limited staffing Socio-cultural barriers lack of prioritizing gender among colleagues and other units Other Yes No If yes, please list the training. 5. Who provided this training? WAD/MoA Ministry of WYCA NGO Other 6. Do you think you need additional training? 7. If yes, what are the key topics you need additional training on? 8. Do you have specific methodologies or tools that you use in your work? What are they? 9. Do you have specific activities that you carry out to support gender mainstreaming in the core Yes No Gender mainstreaming Gender analysis Gender in SSMI Specific Other Yes No Note down titles (in right column) and request if possible to have copies Yes No Note down current practice/issues raised Project Inception Report (PIR) C-13 June 2015

197 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Question processes/departments involved in SSMI development? 10. What about in irrigation extension? 11. What about in the establishment and support to water user organizations? 12. What about to A-TVETs/programs to ensure gender in SSMI sector 13. Do you support any activities to ensure women and youth access appropriate farming technologies like pumps or labour-saving devices in farming? Skip this question if interviewing MoWYCA representative 14. To what extent do you work with the MoWYCAs in carrying out your activities? 15. More generally, what do you think are the major barriers to women and or youth equally participating and benefiting from small scale and micro/household irrigation activities in your region? Response Note down in right column box specific activities named Yes No 3. What do you think is working to address these barriers? Are there any existing opportunities that we can build upon? Thank you for participating in this interview! Note down in right column box specific activities named Yes No Note down in right column box specific activities named Yes No Note down in right column box specific activities named Yes No Note down in right column box specific activities named Not at all To a small extent To a moderate extent To a great extent To a full extent Barriers Note down current practice/issues raised Opportunities Project Inception Report (PIR) C-14 June 2015

198 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Institutional Assessment Questionnaire related to Gender Responsive SSI & MI Development Outcomes 1200 and 3100 Name of Organisation: Name of (Core) Process: Region: Zone: Woreda: Date: SMIS Staff Name SMIS Position Responsibility (facilitator, note taker) Gender (M/F) Name of Participant Designation Contact Information Gender (M/F) GENDER RESPONSIVE SSI DEVELOPMENT Important Instruction: If assessed office reports that it uses a manual and/or guidelines, collect the full name and, if possible, collect a hard and/or soft copy. Identification/Selection of SSI Schemes (prior to feasibility studies) Is your office involved in the identification and/or selection of new/existing SSI schemes for Yes No (go to next section) construction/rehabilitation? If Yes, are identification/selection criteria used? Yes No If Yes, which criteria? Water availability Availability of suitable farm land Soil condition Condition of existing infrastructure Road accessibility Poverty Food insecurity Gender/social exclusion issues 6 6 If necessary, explain that gender refers to the social and cultural roles, behaviors, activities, and attributes that society considers appropriate for women/girls and men/boys. Gender is a central organisational factor that creates unequal roles and opportunities in women s/girls and men s/boys lives that impact their access to, control over and benefit from resources, opportunities and services. In the agricultural sector and SSMI sub-sector, women and girls are often most disadvantaged in accessing and controlling water resources and yet, they are primary users and managers. Paying attention to gender ensures that men, boys and women girls different experiences, and specific needs, vulnerabilities and interests are recognized and addressed. Due attention should be paid to women s low social and economic status, heavy workload, lack of time and information, low self-confidence and ability to speak out, low literacy, and vulnerability to health-related risks. Project Inception Report (PIR) C-15 June 2015

199 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Identification/Selection of SSI Schemes (prior to feasibility studies) Other, specify: If Yes, does your office use a manual and/or guidelines for the identification/ selection of SSI Yes No schemes? If Yes, who prepared the manual and/or guidelines? MoA Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender issues addressed in the manual and/or guidelines? Yes No If Yes, did your office encounter any problems during identification/selection of SSI schemes? Yes No If Yes, which problems? No/insufficient data and information Insufficient staff Domination of one interest group No/insufficient transport No/limited cooperation from farmers Accessibility If Yes, are farmers/villagers actively involved? Yes No If Yes, did your office receive training related to identification/selection of SSI schemes during the last Yes No 5 years? If Yes, who provided the training? MoA Other, specify: Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, were gender issues addressed during the training to ensure that women and other vulnerable Yes No groups are equally involved? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Data collection Analysis of collected data Determination of SSI potential Other, specify: Project Inception Report (PIR) C-16 June 2015

200 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Feasibility Studies for Selected SSI Schemes Is your office involved in conducting feasibility studies Yes No (go to next section) for selected SSI schemes? If Yes, which studies are carried out by your office? Water balance/hydrological studies If Yes, what are the modalities for conducting the feasibility studies? Geotechnical studies Engineering studies Soil survey Agro-economic studies Socio-economic studies Gender studies Environmental studies Other, specify: In-house: using own staff Outsourced to third party Both options If Outsourced, to which third party? Design and Supervision Works Enterprise Private engineering/consultancy company NGO Individual consultants/experts Other, specify: If Yes, does your office use a manual and/or Yes No guidelines for conducting the feasibility studies? If Yes, who prepared the manual and/or guidelines? MoA If Yes, are gender issues addressed in the manual and/or guidelines to ensure that women are equally consulted? If Yes, does your office use participatory methods and techniques to ensure community participation? - If Yes, which participatory methods and techniques? Regional bureau Project, specify name: NGO, specify name: Other, specify: Yes Yes Project Inception Report (PIR) C-17 June 2015 No No Focus group meetings Joint walkovers/transect walks Mapping Other, specify: If Yes, did your office encounter any problems during Yes No execution of feasibility studies? If Yes, which problems? No/insufficient data and information Insufficient staff No/insufficient transport No/insufficient field equipment No/limited cooperation from farmers Insufficient time Insufficient budget Accessibility Low female/youth participation Other, specify:

201 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Feasibility Studies for Selected SSI Schemes If Yes, did your office receive training related to conducting feasibility studies during last 5 years? Yes No If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, does your office need further CD/training? Yes No - If Yes, in which priority topics? Conducting specific technical studies, Specify: Participatory data collection methods Gender (mainstreaming) Analysis of collected data Specify: Preparation/writing of feasibility report Other, specify: Design of SSI Schemes Is your office involved in design of SSI schemes? Yes No (go to next section) If Yes, what are the modalities for conducting the In-house: using own staff design of SSI schemes? Outsourced to third party Both options If Outsourced, to which third party? Design and Supervision Works Enterprise Private engineering/consultancy company NGO Individual consultants/experts Other, specify: If Yes, does your office use a manual and/or guidelines for design of SSI schemes? Yes No If Yes, who prepared the manual and/or guidelines? MoA If Yes, are gender issues addressed in the manual and/or guidelines to ensure that women are equally consulted? If Yes, are social structures (i.e., animal drinking troughs, washing structures) included in the design of SSI schemes? Are the possible positive and negative impacts of SSI scheme design on men, women and vulnerable groups considered and addressed to ensure equity? Are any special measures put in place to ensure women and vulnerable groups needs/interests are equally addressed in the design of SSI schemes? If Yes, did your office encounter any problems during design of SSI schemes? Regional bureau Project, specify name: NGO, specify name: Other, specify: Yes Yes Yes Yes Yes No No No No No Project Inception Report (PIR) C-18 June 2015

202 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Design of SSI Schemes If Yes, which problems? No/insufficient data and information Insufficient staff No/insufficient transport No/insufficient field equipment No/limited cooperation from farmers Insufficient time Insufficient budget Accessibility Availability of software (GIS, Auto-CAD) Other, specify: If Yes, are the concerned farmers/villagers actively consulted during the design of SSI schemes? Yes No If Yes, does your office use participatory methods and techniques to ensure equal participation and Yes No influence in decision making of men, women, landless, youth and vulnerable groups? - If Yes, which participatory methods and Design review meetings techniques? Joint walkovers Other, specify: If Yes, did your office receive training related to the design of SSI schemes during last 5 years? Yes No If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, were gender issues addressed during the training to ensure that women and men s concerns Yes No and interests are equally considered with women equally consulted? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Topographic survey Preparation of topographic map(s) Design of field layout of canal system Design of drainage system Participatory design methods Calculation of crop water requirement Calculation of designed discharge of canal(s) Design of specific hydraulic structures, Specify: Use of software (Auto-CAD, crop water requirement) Data analyses Preparation of Bill of Quantities Preparation of cost estimates Gender (mainstreaming) Other, specify: Project Inception Report (PIR) C-19 June 2015

203 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Is your office involved in tendering of the construction of SSI schemes? If Yes, what are the modalities for tendering of the construction of SI schemes? Tendering of Construction of SSI Schemes Yes No (go to next section) In-house: using own staff Outsourced to third party Both options If outsourced, to which third party? Design and Supervision Works Enterprise Private engineering/consultancy company Individual consultants/experts Other, specify: If Yes, does your office use a manual and/or guidelines for tendering of the construction of SSI Yes No schemes? If Yes, who prepared the manual and/or guidelines? MoA Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, did your office encounter any problems during tendering of the construction of SSI schemes? Yes No If Yes, which problems? No/insufficient data and information Insufficient staff Insufficient time Other, specify: If Yes, are the concerned farmers/villagers informed about the status of the tendering of the construction Yes No of SSI schemes? If Yes, did your office receive training related to tendering of the construction of SSI schemes during Yes No last 5 years? If Yes, who provided the training? MoA Regional bureau Zonal office If Yes, does your office need further CD/training? Yes No Project, specify name: NGO, specify name: Other, specify: If Yes, in which priority topics? Preparation of tender/bid documents Publication of tender Evaluation of submitted technical bids Evaluation of submitted financial bids Preparation of contracts Other, specify: Project Inception Report (PIR) C-20 June 2015

204 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Is your office involved in construction management of SSI schemes? If Yes, what are the modalities for construction management of SSI schemes? Construction Management of SSI Schemes Yes No (go to next section) In-house: using own staff Outsourced to third party Both options If outsourced, to which third party? Design and Supervision Works Enterprise Private engineering/consultancy company NGO Individual consultants/experts Other, specify: If Yes, does your office use a manual and/or guidelines for construction management of SSI Yes No schemes? If Yes, who prepared the manual and/or guidelines? MoA Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender issues addressed in the manual and/or guidelines to ensure equal involvement of Yes No women? If Yes, did your office encounter any problems during construction management of SSI schemes? Yes No If Yes, which problems? No/insufficient data and information If Yes, are the concerned farmers/villagers involved in construction management of SSI schemes? If Yes, how does your office facilitate the effective involvement of farmers/villagers in construction management of SSI schemes? Insufficient staff No/insufficient transport No/insufficient field equipment No/limited cooperation from farmers Insufficient time Insufficient budget Accessibility Other, specify: Yes No Regular joint review meetings Regular joint site visits Informal/non-planned meetings Other, specify: If Yes, did your office receive training related to construction management of SSI schemes during last Yes No 5 years? If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: Project Inception Report (PIR) C-21 June 2015

205 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Construction Management of SSI Schemes If Yes, were gender issues addressed during the training to help participants understand how to Yes No ensure equal involvement of women and other socially vulnerable groups? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Construction planning and scheduling Preparation of construction designs Placing of benchmarks Progress monitoring of ongoing civil works Quality control of completed civil works Farmer participation in construction Supervision and quality control Dispute/conflict resolution Progress payments to contractor Final inspection, testing and hand over Gender (mainstreaming) Other, specify: Transfer of O&M Responsibility for SSI Schemes Is your office involved in the transfer of the O&M responsibility for SSI schemes to the farmers organised Yes No (go to next section) in WUO? If Yes, does your office use a manual and/or guidelines for the transfer of O&M responsibility for Yes No SSI schemes to WUO? If Yes, who prepared the manual and/or guidelines? MoA Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender issues addressed in the manual and/or guidelines to ensure equal involvement of Yes No women? If Yes, did your office encounter any problems during transfer of O&M responsibility for SSI schemes to WUO? Yes No If Yes, which problems? Reluctance among government Reluctance among farmers External interference Other, specify: If Yes, are the concerned farmers/villagers through their WUO involved in preparing the transfer of O&M responsibility of SSI schemes? Yes No If Yes, how does your office facilitate the effective Regular joint meetings involvement of farmers/villagers in preparing the transfer of O&M responsibility for SSI schemes? Other, specify: If Yes, did your office receive training related to transfer of O&M responsibility for SSI schemes to Yes No WUO during last 5 years? If Yes, who provided the training? MoA Project Inception Report (PIR) C-22 June 2015

206 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Transfer of O&M Responsibility for SSI Schemes Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Preparation of agreement for IMT) Conducting meeting(s) with farmers to present and explain IMT agreement Gender (mainstreaming) Preparation of O&M Manual Other, specify: Level of Gender Mainstreaming in SSI Development In each step of the SSI scheme development, from identification/selection criteria, feasibility studies to To the fullest extent design, tendering and supervision of construction of To a great extent SSI Schemes to transfer of O&M responsibility for SSI To a moderate extent schemes, are women's and men's different needs, To a small extent roles, and interests equally considered? Never Are procedures/participatory approaches used by your office to ensure that women, including femaleheaded households are equally represented and involved in each step? Are procedures and participatory approaches used by your office to ensure that youth and other socially vulnerable groups are represented and equally involved in each step? To the fullest extent To a great extent To a moderate extent To a small extent Never To the fullest extent To a great extent To a moderate extent To a small extent Never Does your office have relevant and useful gendermainstreaming guidelines/manual that help you address gender issues across all these stages? Yes No In the training your office has followed for each stage, were gender issues discussed and addressed? What gender specific issues, problems and challenges have arisen in the various stages of SSI scheme development? To the fullest extent To a great extent To a moderate extent To a small extent Never Women s low participation/leadership Women s lack of decision making power Social/cultural barriers that hamper women s active participation Access and control issues in SSI resources Youth/other vulnerable groups low participation and leadership Project Inception Report (PIR) C-23 June 2015

207 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Does your office collaborate or seek out other government or non-government organisations to improve your mutual practice and gender impact? If Yes, which government and/or non-governmental organisation(s)? Does your office regularly collect sex-disaggregated data and monitor and adjust for gender issues to ensure equitable benefit? Do your activities/services in targeted communities contribute to the empowerment of women and girls and the changing of unequal gender relations? 7 Level of Gender Mainstreaming in SSI Development Existing gender disparities that hamper women s full participation Male farmer interests prioritized Women/girls increased workload Other Yes No Bureau of Women Affairs Other regional bureau, name: NGO, name: Project, name: Other(s), specify: Yes No To the fullest extent To a great extent To a moderate extent To a small extent Never GENDER RESPONSIVE DEVELOPMENT OF MICRO/HOUSEHOLD IRRIGATION Important Instruction: If assessed office reports that it uses a manual and/or guidelines, collect the full name and, if possible, collect a hard and/or soft copy. Gender Responsive Development of Micro/Household Irrigation Is your office involved in the development of Yes No (go to next section) micro/household irrigation? If Yes, what is/are the main water source(s) for River/stream micro/household irrigation? Lake/natural pond Rainwater Groundwater Other, specify: If Yes, which types of lift devices are installed? Hand-driven pumps Motorised (diesel) pumps Solar pumps Wind-driven pumps Other, specify: If Yes, who are the main beneficiaries of installed micro/household irrigation systems? Male-headed households Female-headed households Youth Married women 7 Changes may include: Women and vulnerable groups are equally represented and participating in decision-making structures at government levels and at community levels (e.g., in water user organizations); women/fhhs/youth have increased access to appropriate water saving technologies and report satisfaction with services; gender equitable multi-user system schemes are being developed; increased participation and leadership of women/youth in WUO; women/men/youth equally reported satisfaction with SSMI services provided; women and men reported increased sharing of household domestic/farming chores; women report reduced time in domestic labour, such as fetching water; women, men and vulnerable groups report increased production and control of income from their or jointly owned crops. Project Inception Report (PIR) C-24 June 2015

208 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Gender Responsive Development of Micro/Household Irrigation Vulnerable households/individuals Other(s), specify: If Yes, are married women and or female-headed households a specific target group for the Yes No development of micro/household irrigation? If Yes, are youth a specific target group for the development of micro/household irrigation? Yes No If Yes, are vulnerable households/individuals a specific target group for the development of Yes No micro/household irrigation? If Yes, does your office use a manual and/or guidelines for the development of micro/household Yes No irrigation? If Yes, who prepared the manual and/or guidelines? MoA Agriculture Transformation Agency (ATA) Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender issues addressed in the manual and/or guidelines to ensure equal access of women Yes No to micro/household irrigation? If Yes, do the targeted households/ individuals contribute to the costs related to the development of their micro/household irrigation systems? Yes No If Yes, how do the targeted households/ individuals contribute? Provision of free labour Provision of materials Cash contribution Other, specify: If Yes, did your office receive training related to the development of micro/ household irrigation? Yes No If Yes, who provided the training? MoA ATA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, were gender issues addressed during the training to ensure equal access of women to Yes No micro/household irrigation? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Selection of appropriate site Selection of appropriate MI technologies Assessment of water quality Installation of MI technologies O&M of MI technologies Other, specify: OTHER COMMENTS: Project Inception Report (PIR) C-25 June 2015

209 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Institutional Assessment Questionnaire related to Gender Responsive WUO Development Outcome 1300 Name of Organisation: Name of (Core) Process: Region: Zone: Woreda: Date: SMIS Staff Name SMIS Position Responsibility (facilitator, note taker) Gender (M/F) Name of Participant Designation Contact Information Gender (M/F) Important Instruction: If assessed office reports that it uses a manual, guidelines and/or training materials, collect the full name and, if possible, collect a hard and/or soft copy. Formation of WUO Is your office involved in the formation of WUO? Yes No (go to next section) If Yes, does your office assign staff for ensuring gender considerations? Yes No If Yes, does your office use a manual and/or guidelines for the formation of WUO? Yes No If Yes, who prepared the manual and/or MoA guidelines? Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender issues addressed in the manual and/or guidelines to ensure equitable and inclusive Yes No membership, participation and leadership? If Yes, are there specific guidelines and criteria for ensuring equitable representation and Yes No participation of female farmers in the WUO? If Yes, are there specific guidelines and criteria for ensuring equitable representation and participation of youth and vulnerable groups in the Yes No WUO? If Yes, did your office encounter any problems during the formation of WUO? Yes No Project Inception Report (PIR) C-26 June 2015

210 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Formation of WUO If Yes, which problems? Lack of participation of farmers If Yes, are the concerned farmers/villagers actively involved in the formation of their WUO? If Yes, how does your office facilitate the effective involvement of farmers in the formation of their WUO? Lack of participation of women Socio-cultural barriers preventing women's participation Non-election of women in WUO management committee Conflicts between farmers External interference Other, specify: Yes No Awareness campaign Information meetings Regular joint preparatory meetings Other, specify: If Yes, are procedures in place to ensure that women, including female-headed households, are Yes No equally involved? If Yes, are procedures in place to ensure that youth and vulnerable groups are equally involved? Yes No If Yes, did your office receive training related to formation of WUO during last 5 years? Yes No If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: - If Yes, were gender issues addressed during the training to ensure equitable and inclusive Yes No membership, participation and leadership? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Legislation (IWUA proclamation) WUO formation procedure Organisational structure of WUO Mandate, functions and tasks of WUO WUO membership Rights and obligation of WUO members Participatory methods Gender (mainstreaming) Other, specify: Project Inception Report (PIR) C-27 June 2015

211 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Registration of WUO Is your office involved in the registration of WUO? Yes No (go to next section) If Yes, under which legislation (i.e., act, proclamation, law) are the WUO registered? If Yes, what is the formal name of the registered Irrigation Cooperative WUO? Water Users' Association If Yes, are there minimum requirements with regard to representation of women in the WUO and its management committee? If Yes, are there minimum requirements with regard to representation of youth and vulnerable groups in the WUO and its management committee? If Yes, does your office use a manual and/or guidelines for the registration of WUO? If Yes, who prepared the manual and/or guidelines? Irrigation Water Users' Association Other, specify: Yes Yes Yes Project Inception Report (PIR) C-28 June 2015 No No No MoA Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender issues addressed in the manual and/or guidelines to ensure equitable and inclusive Yes No membership, participation and leadership? If Yes, did your office encounter any problems during the registration of WUO? Yes No If Yes, which problems? No clear procedures for WUO registration No or late submission of registration application documents by WUO Conflicts among WUO members External interference Serious delays in registration process Other, specify: If Yes, did your office receive training related to registration of WUO during last 5 years? Yes No If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, were gender issues addressed during the training to ensure equitable and inclusive Yes No membership, participation and leadership? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? WUO registration procedure WUO registration forms to be submitted Registration of WUO Issue of WUO registration certificate

212 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Registration of WUO Other, specify: WUO Capacity Building in Administrative and Financial Management Is your office involved in capacity building of WUO related to administrative and financial management (i.e., maintenance of non-financial and financial records, conducting meetings, democratic, participatory and non-discriminatory ways of working, preparation of budget and financial statements etc.)? If Yes, does your office use a manual, guidelines and/or training materials for the capacity building of WUO in administrative and financial management? If Yes, who prepared the manual, guidelines and/or training materials? Yes Yes No (go to next section) No MoA Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender equity issues addressed in the manual and/or guidelines to ensure equitable and inclusive membership, participation and Yes No leadership? If Yes, how many training courses in administrative and financial management were conducted during Number of training courses: last 12 months? If Yes, did your office encounter any problems during the capacity building of WUO in administrative and financial management? Yes No If Yes, which problems? Lack of interest among WUO members No/low participation of women No/insufficient training materials No access to suitable training venue No/limited access to training equipment No/insufficient training budget No/insufficient transport Other, specify: If Yes, did your office receive training related to capacity building of WUO in administrative and Yes No financial management during last 5 years? If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: - If Yes, were gender issues addressed during the training to ensure equitable and inclusive Yes No membership, participation and leadership? If Yes, does your office need further CD/training? Yes No Project Inception Report (PIR) C-29 June 2015

213 APPENDIX C: DATA COLLECTION QUESTIONNAIRES WUO Capacity Building in Administrative and Financial Management - If Yes, in which priority topics? Training needs assessment Adult training methods/techniques Technical topic(s), specify: Evaluation of conducted training course Gender (mainstreaming) Preparation of training materials Other, specify: Is your office in involved in capacity building of WUO related to O&M of SSI scheme? If Yes, does your office use a manual, guidelines and/or training materials for the capacity building of WUO in Scheme O&M? If Yes, who prepared the manual, guidelines and/or training materials? WUO Capacity Building in O&M of SSI Schemes Yes Yes MoA No (go to next section) Project Inception Report (PIR) C-30 June 2015 No Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender equity issues addressed in the manual and/or guidelines to ensure equal access to and control over irrigation water for women and men as well as equal participation in decision making? Yes No If Yes, how many training courses in O&M of SSI scheme were conducted during last 12 months? Number of training courses: If Yes, did your office encounter any problems during the capacity building of WUO in Scheme O&M? Yes No If Yes, which problems? Lack of interest among WUO members No/low participation of women No/insufficient training materials No access to suitable training venue No/limited access to training equipment No/insufficient training budget No/insufficient transport Other, specify: If Yes, did your office receive training related to capacity building of WUO in Scheme O&M during Yes No last 5 years? If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, were gender issues addressed during the training to ensure equal access to and control over irrigation water for women and men as well as equal participation in decision making? Yes No

214 APPENDIX C: DATA COLLECTION QUESTIONNAIRES WUO Capacity Building in O&M of SSI Schemes If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Training needs assessment Adult training methods/techniques Technical topic(s), specify: Evaluation of conducted training course Gender (mainstreaming) Preparation of training materials Other, specify: Is your office in involved in capacity building of WUO in water management? If Yes, does your office use a manual, guidelines and/or training materials for capacity building of WUO in water management? If Yes, who prepared the manual, guidelines and/or training materials? WUO Capacity Building in Water Management Yes Yes MoA No (go to next section) No Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender equity issues addressed in the manual and/or guidelines related to equal access to and control over irrigation water for women and Yes No men as well as equal participation in decision making? If Yes, how many training courses in water management were conducted during last 12 Number of training courses: months? If Yes, did your office encounter any problems during the capacity building of WUO in water management? Yes No If Yes, which problems? Lack of interest among WUO members No/low participation of women No/insufficient training materials No access to suitable training venue No/limited access to training equipment No/insufficient training budget No/insufficient transport Other, specify: If Yes, did your office receive training related to capacity building of WUO in water management Yes No during last 5 years? If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, were gender issues addressed during the Yes No Project Inception Report (PIR) C-31 June 2015

215 APPENDIX C: DATA COLLECTION QUESTIONNAIRES WUO Capacity Building in Water Management training to ensure equal access to and control over irrigation water for women and men as well as equal participation in decision making? If Yes, does your office need further CD/training? Yes No If Yes, in which priority topics? Training needs assessment Adult training methods/techniques Technical topic(s), specify: Evaluation of conducted training course Gender (mainstreaming) Preparation of training materials Other, specify: Is your office involved in monitoring and evaluating the performance of WUO? If Yes, does your office have staff (exclusively) designated for M&E? If Yes, does your office collect gender disaggregated M&E data? If Yes, does your office use a manual and/or guidelines for the M&E of WUO performance? If Yes, who prepared the manual and/or guidelines? Monitoring and Evaluation of WUO Performance Yes Yes Yes Yes MoA No (go to next section) No No No Regional bureau Project, specify name: NGO, specify name: Other, specify: If Yes, are gender equity issues addressed in the manual and/or guidelines, including the collection of gender disaggregated data and use of gender Yes No sensitive indicators? If Yes, did your office encounter any problems during the M&E of WUO performance? Yes No If Yes, which problems? No/insufficient data and information Insufficient staff No/insufficient transport No/insufficient field equipment No/limited cooperation from WUO Insufficient budget Insufficient time Other, specify: If Yes, are the WUO actively involved in the M&E of their own performance? Yes No If Yes, are individual farmers involved in the M&E of their WUO? Yes No If Yes, are procedures in place to ensure that women, including female-headed households, are Yes No equally consulted? If Yes, are procedures in place to ensure that landless, youth and vulnerable groups are equally consulted? Yes No Project Inception Report (PIR) C-32 June 2015

216 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Monitoring and Evaluation of WUO Performance If Yes, did your office receive training related to M&E of WUO performance during last 5 years? Yes No If Yes, who provided the training? MoA Regional bureau Zonal office Project, specify name: NGO, specify name: Other, specify: If Yes, did thetraining provided address gender sensitive and participatory M&E of WUO Yes No performance? If Yes, does your office need further CD/training? Yes No If Yes, in which topics? Collection of (gender disaggregated) monitoring If Yes, do the activities/services of your office in targeted communities contribute to the empowerment of women and girls and the changing of unequal gender relations? OTHER COMMENTS: data Processing of collected monitoring data Analyses of processed monitoring data Preparation of progress report Evaluation of WUO performance Other, specify: To the fullest extent To a great extent To a moderate extent To a small extent Never Do not know Project Inception Report (PIR) C-33 June 2015

217 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Irrigated Agriculture - Field Questionnaire Outcome 1400 and 3100 Capacity Needs Assessment related to Gender-Responsive Regional Irrigation Extension System for promoting SSI & MI Development Name of Organization: Region: Zone: Woreda: Date: SMIS Staff Name Job title Gender (M/F) Name of Participant Designation Contact Information Gender (M/F) Respondent: DA/ Irrigation Extension Experts Who: Agriculture Extension Process at regional, zonal and woreda level. Approach: Focus group and key informants Useful background information and terminology: Extension Impact Points: Impact points are carefully selected extension messages for increasing on-farm yields, water users incomes and overall crop production. The messages are specific, simple in the beginning and cover different stages of irrigated agriculture with a view to making the best use of easily available resources of water users. In the irrigation extension system, the frontline extension experts (in Ethiopia case is Woreda) prepare the lesson sheet for impacts, and these are imparted to extension agents at scheme levels (here DA) during monthly training at Woreda offices in the form, suitable for Extension agents/da to use in irrigation extension services with the water users. The typical process by which impact points are developed comprises the following stages: Identification for the main cropping sequences for irrigated conditions Emphasis on introducing high-value vegetable, wheat and maize crops. The sequence defines the period occupied by each crop and the timeframe within which important cultural practices are carried out. Selection of impact points (usually limited to 3 or 4) for each irrigated crop in the selected sequences pertinent to irrigation block scheme (division of irrigation scheme). Preparation of a training program for water users and identification of training materials to conduct practical trainings at scheme sites or FTC settings or on-the-job training. Project Inception Report (PIR) C-34 June 2015

218 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Salient (essential) Features: The basic irrigation extension technique depends on the effectiveness of an irrigation extension system on how the water users are deriving extension information for adoption of improved irrigation technologies. The extension agents beliefs in extension philosophical ideas and considers the salient features while undertaking extension approaches The following are the essential features of irrigation extension system for promoting improved irrigation technologies by the extension experts/agents or irrigation development agencies: Devoting time to irrigation extension and allied duties. Ensuring equitable water distribution. Ensuring canal cleaning and rehabilitation. Assisting in the formation and management of water users associations (WUA). Regular visit by IDAs at traditional and modern scheme sites. Mobilizing irrigation community for catchment protection. Group Building for the irrigation blocks WUG. Resolving water disputes. Facilitating water users in accessing to irrigation inputs. Linking water users to market opportunities. Participation of water users in irrigation planning process. Training and extension messages. Major linkage with research institutions. Demonstrating new irrigation technologies. Identification of major problems in irrigation schemes. OFWM demonstrations: The On-Farm Water Management (OFWM) demonstrations focuses on improvement of farmers' skills in irrigation and make available new irrigation technologies and techniques that enhances irrigation efficiency. In the extension terms we say, 'learning by doing' and 'seeing is believing'. The main objectives of using appropriate technologies include in the OFWM demonstrations to demonstrate: Even water flow distribution Efficient water delivery Water saving Yield productivity Increase of waterman/farmer labor productivity Weed elimination at the field level Improved irrigation scheduling Project Inception Report (PIR) C-35 June 2015

219 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Thematic areas Planning of gender sensitive irrigation extension program Key Points Probing Questions Responses Routine work schedules of extension experts and DA in the schemes for promoting irrigation extension services 1. Do you have a described routine work schedule to meet SSI/MI scheme farmers (job description or TOR)? 2. How frequently do you visit the SSI/MI schemes: is it on a daily basis, once in a week or once in 2 weeks, or once in 3 weeks or month or do not go unless there is a problem 3. What do you advice the farmers? 4. On a routine basis, do you get extension impact points on SSI/MI schemes from the Woreda office? 5. What is your level of capacity while undertaking planning of gender responsive irrigation extension activities? 6. What is your level of knowledge and capacity to undertake gender sensitive planning of irrigation extension schemes?8 Yes No If yes, please show your TOR Do not visit daily visit once in a week Once in two-weeks Once in three-weeks once in a month Reasons for not visiting: unless there is a problem No transport No training on what to advice No travel cost Do not know Water scheduling O&M Crop selection Seed rate Fertilizer application Inter-cultural operation Weed control Pest management line sowing/ transplanting Post-harvest Farm budgeting Marketing Others, specify Yes No If yes, what are those? No capacity 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% No capacity 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% 8 If necessary, explain that gender refers to the social and cultural roles, behaviors, activities, and attributes that society considers appropriate for women/girls and men/boys. Gender is a central organizational factor that creates unequal roles and opportunities in women s/girls and men s/boys lives that impact their access to, control over and benefit from resources, opportunities and services. In the agricultural sector and SSMI sub-sector, women and girls are often most disadvantaged in accessing and controlling water resources and yet, they are primary users and managers. Paying attention to gender ensures that men, boys and women girls different experiences, and specific needs, vulnerabilities and interests are recognized and addressed. Due attention should be paid to women s low social and economic status, heavy workload, lack of time and information, low self-confidence and ability to speak out, low literacy, and vulnerability to health-related risks. Project Inception Report (PIR) C-36 June 2015

220 APPENDIX C: Thematic areas DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses Extension experts skills in planning irrigation extension programs 7. What are salient points that you consider while planning? 8. Do you involve the SSI/MI farmers in the extension planning process? 9. To what extent do you involve women SSI/MI farmers? 10. How do you identify the SSI/MI farmers problems which method(s) do you follow? 11. As DA/extension expert what role do you play while coordinating with the stakeholders? 12. How is the responsiveness of coordination, if any? Strong 60-80% Do not know salient points If yes, please mention some Yes No If yes, how farmers contribute in the planning? 1. Not at all To a small extent To a moderate extent To a great extent To a full extent Do not know how to identify problems One-to-one discussion Problem Analysis Verification thru spot checks DA's extension dairy Farmers complaints Facilitate group discussions Others, specify Do not know how to play role Facilitator Trainer Team leader Others, specify Extension experts roles in coordination No coordination Extremely Low Poor Fair Good Strong Others, specify efforts and 13. What are the key 1. dialogues with discussion points you 2. initiate with the key stakeholders stakeholders, give some 3. such as research examples agency, 14. Do you have any Please list them, if any, or show to us cooperatives, extension planning 1. guidelines or formats on inputs suppliers, SSI/MI schemes produced 2. markets, farmer by the Woreda or 3. associations, Region? women s groups, youth groups Regional 15. Do you use gender sensitive participatory extension planning methods with planning the farmers? Yes No guidelines and formats Gender 16. What are the steps in Do not know If yes, list them Project Inception Report (PIR) C-37 June 2015

221 APPENDIX C: Thematic areas DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses mainstreaming participatory extension planning methods undertaken by irrigation extension experts extension planning for SSI/MI schemes? 17. Are gender issues considered in these steps? 18. Have you been trained in participatory planning? Yes Yes No No Preparation of annual programme and budget of irrigation extension activities at SSI/MI scheme level DA/ITs ability and know-how to manage the O&M of SSI/MI schemes Work load and 19. Have you been trained in gender sensitive participatory planning such as how to do a gender analysis or to ensure women and or youth are equally targeted and participating? 20. Please rate your training skills in conducting training for SSI/MI farmers. 21. Please rate your training skills in ensuring SSI/MI female farmers participation and needs and interests are equally addressed in training content and facilitation. 22. Are you involved in budgeting of irrigation extension programs? 23. What is the level of skill in budgeting of irrigation extension activities? 24. What is the level of your knowledge & practical skills on operation & Maintenance? 25. Do you conduct irrigation extension activities on a daily basis? 26. How do you distribute your task on a daily basis? Yes No No skills 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% No skills 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Yes No No skills 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% No knowledge 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Yes No If yes, what are those? Please list them: Project Inception Report (PIR) C-38 June 2015

222 APPENDIX C: Thematic areas DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses type of activities undertaken by extension experts on daily basis, and how they unfold their time in their day-today activities 27. How much of your time is spent on advising SSI/MI farmers at their plots on a daily basis? 28. In this time, do you visit female SSI/MI farmers? How much time? 29. How do you provide service for the farmers in getting inputs and credit facilities? 30. Do you equally provide advice to female farmers? hours 3-4 hours 5-6 hours Do not advice farmers on a daily basis Yes No 1-2 hours 3-4 hours 5-6 hours Linking farmers with the suppliers/ MFI Call suppliers/ MFI agents at farmers' field Give information about MFIs and suppliers Do not know on how to provide service Others, specify Yes No Inputs supply chain and credit facilities Monitoring and evaluation of irrigation extension activities 31. Name the inputs/credit facilitators in your area 32. How do you determine the requirement of inputs and credits for an individual farmer? 33. Are the different needs, roles and interests of female and male farmers considered? 34. Do you have skills on monitoring and evaluation of extension activities for SSI/MI? 35. Do you know how to monitor and evaluate extension services for SSI/MI using gender analysis? 36. Is there any M&E system developed by the region/woreda? 37. How do you monitor the extension activities? By asking farmers By land size By SSI/MI scheme size Others, specify Yes No No skills 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% No skills 0% Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Yes No Do not know Give some indicators, if you know them any: Do you disaggregate data Yes No Project Inception Report (PIR) C-39 June 2015

223 APPENDIX C: Thematic areas Irrigation extension, demonstration and communication methods DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses Leadership and competency of extension staff Problem identification of extension approaches Responsibilities and limitations (diagnostics) in collected by sex, by age? 39. Do you have training on leadership development in promoting SSI/MI schemes? 40. What is your level of competency on farmers motivation? 41. What are the basic problems in the irrigation extension approach that you are working with? 42. What is your level of knowledge and skills on irrigation extension approaches? 43. Do you have training on irrigation extension approaches and communication methods in regard to SSI/MI schemes? 44. How irrigation extension approaches are prioritized 45. What type of extension communication methods have you adopted in line with the regional irrigation extension strategy? 46. Which factors are limiting your work in the existing irrigation schemes? 47. Do you know your roles and responsibilities as DA/IT in regard to promoting SSI/MI? Yes No No competency Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Lack of Planning Lack of training lack of mentoring Lack of technical guidance Lack of manual and guidelines Others, please specify No competency Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Yes No If yes, when was last you received formal training from Woreda or Zone 1. Do not know If yes, please list Do not know what communication methods are embedded in the extension system FFDs Demonstration Awareness campaign Community media Others, please specify Do not have clear job description Lack of training and guidance by the supervisors No appreciation Lack of housing and transport facilities Do not have an irrigation extension operational guidelines Others, please specify Yes No If yes, list them some 1. Project Inception Report (PIR) C-40 June 2015

224 APPENDIX C: Thematic areas DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses the existing 2. SSI/MI farming system Identifying demonstration subjects based on available irrigation technologies 48. Are you aware of OFWM demonstrations? 49. Do you have knowledge and skills on establishing crop demonstrations with the farmers? 50. If you have skills on demonstration then how do you identify the subjects based on available SSI/MI irrigation technologies? 51. Do you consider the different needs, roles and interests of female versus male farmers? Yes No No skills Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Discussion with my supervisors from research organization From farmers From books Past experience Others, please specify Yes No Planning, establishing, and managing onfarm demonstrations and farmers field schools (FFS) Problems in delivering practical training to water users on irrigated farming. Scaling-up the results of demonstrations for wider 52. Do you have skills on planning and establishing crop demonstrations? 53. Do you have skills for undertaking FFS for SSI schemes 54. What problems do you face while delivering a practical training to farmers? 55. Are farmers interested in getting on-the-job training? 56. What measures/techniques do you take in scaling up the results of demonstrations? 57. What is the adoption rate of irrigation technologies in your kebele SSI/Mi schemes? No skills Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% No skills Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% No training guidelines Lack of training center Low interest of farmers No support from supervisor No cost for training event Low participation of women Others, please specify Yes No No skills on scaling up Advise other farmers for replication Others, please specify Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Project Inception Report (PIR) C-41 June 2015

225 APPENDIX C: Thematic areas Do utraining/ Capacity of Irrigation Extension Experts and DA DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses dissemination Training guidelines for organizing farmers training by extension staff Selection of lesson plans, which means relevancy and responsiveness of irrigation extension strategies to local concerns 58. Is it the adoption rate the same for female as to male farmers in adopting irrigation technologies? 59. Do you have any extension training guidelines? 60. Do you have any gender mainstreaming guidelines or tools specific to extension training? 61. Did you receive any training materials from regional and Woreda office 62. What is your level of expertise to train farmers 63. How do you organize farmers training 64. Where does the training take place with farmers 65. What is your level of skills in conducting training needs assessment for farmers 66. When organizing and planning training, do you consult with female and male farmers beforehand? 67. Can you select the training lesson plan on a particular subject matter 68. What is your level of skills in the preparation of training lesson plans? 69. Is the training course material aligned with the Woreda/regional annual irrigation-training plan? Yes No Yes No Yes No Yes No No skills Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Follow instructional guidelines of supervisors Discussion with target group farmers Discussion with stakeholders Others, please specify FTC FFS Farmers' house In church Other, specify No skills Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Yes No Yes No No skills Extremely Low 10% Poor 20% Fairly 30% Good 40% Moderately strong 40-60% Strong 60-80% Yes No Project Inception Report (PIR) C-42 June 2015

226 APPENDIX C: Thematic areas Create demand-led irrigation extension Linkages and coordination, and partnerships development strategy DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses Training course material, methodology = how appropriate for DA and Woreda staff Farmers problems, needs and demands using participatory techniques Farmer s responsiveness to irrigation extension approaches and communication methods Extension experts conducts free flow of information between extension and research to deliver an effective service to farmers 70. What type of training techniques do you follow for DA 71. Do you provide training handouts or information to DA or Woreda staff 72. Is training participatory with practical work in irrigation schemes? 73. Do you ensure women s equal participation? 74. Do you conduct posttraining evaluation 75. What techniques are followed in raising awareness of SSI/MI irrigation technologies 76. What is farmers response to extension approaches and communication methods? 77. Have you ever participated in work by or with research organizations, if so, in which way 78. What role do irrigation / or multipurpose cooperatives play in coordination with SSI/MI farmers? 79. What major information flow do you receive thru research farmers' linkages? 80. What is the operational status of researchextension linkages? 81. How do you create/establish market linkages? No such training techniques Participatory Handouts Group exercises Various visual aids on-the-job Others, please specify Yes No Yes No Yes No No techniques Meeting and discussion with farmers local media Others, please specify Do not know Discussion Annual planning meeting Result demonstrations FFDs FFS Others, please specify Never FREG on-farm trials PTD Demonstrations Farmers Field days Others, specify Do not know Inputs delivery Provide micro-loans Help setting up WUA Others, specify Do not receive well Inputs delivery Agronomical Cultivar selection Others, specify Do not know FRG FREG RFREG Others, specify Do not know on how to create linkages Contacting traders Provide market information to farmers Project Inception Report (PIR) C-43 June 2015

227 APPENDIX C: Thematic areas DATA COLLECTION QUESTIONNAIRES Key Points Probing Questions Responses Partnerships include relationship between markets, establishments and the private sector Bringing traders in the meeting with farmers Provide crop production information to traders/markets Others, specify Document /Desk Review: Regional Irrigation Extension policy, Irrigation extension implementation guidelines of BoA, Irrigation training reports prepared by DA those offered to water users. DA/ITs extension diaries enlisted with detailed irrigation extension activities. Annual Woreda irrigation extension plan, Human resources development strategy document (especially for DA, irrigation technicians and farmers), Regional CD plan of BoA/OIDA, if any Irrigation extension communication and training methods at Woreda levels, Job descriptions of DA and irrigation technicians, Irrigation extension approaches and methodologies, Guidelines on Farmers-Research-Extension linkage system, Gender mainstreaming guidelines or tools relevant to irrigation extension Other relevant documents Project Inception Report (PIR) C-44 June 2015

228 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Instructions: CROSS CUTTING ISSUES: NATURAL RESOURCE MANAGEMENT Questionnaire Meet with regional, zonal and woreda NRM process owners, managers and /or experts. Before interview/focus group discussion (FGD), make sure you have a notebook and USB key. Introduce why you are there. Take time for everyone to introduce themselves and their role in SSMI. Confirm that the right people are in the room. Explain that the group will likely divide up based on roles and responsibilities in SSI/MI to have a specific discussion. For each interview, you should have a main interviewer/facilitator and a note taker. The note taker should insert responses directly into the questionnaire. You can use a note book to write up any significant points shared. Make sure to have a USB key to copy any documents/files that respondents are willing to share with you SMIS Staff Names SMIS Position Responsibility (facilitator, note taker) Gender (M/F) Name of Participants Position Mobile phone number Gender (M/F) Project Inception Report (PIR) C-45 June 2015

229 APPENDIX C: DATA COLLECTION QUESTIONNAIRES A. Integrated Watershed Management Have IWM practices been applied in the decisions relating to the selection of SSI schemes? Do the Woredas have maps distinguishing catchment or sub-catchment boundaries? Where watershed boundaries fall in more than one woreda is there a mechanism for ensuring that the schemes are considered in relation to the entire watershed? Is there a mechanism in place for ensuring that the water needs of other users (i.e., domestic water supplies, or livestock) are taken into account? Have upstream/downstream conflicts been identified? If so what measures have been identified to resolve these? Is any information available on Soil conservation measures that have been implemented and the effectiveness of these? Have the communities been consulted with respect to the initiatives that may already have been carried out in the watersheds in which they exist? Are groundwater conditions known and are they being monitored? Have adequate drainage designs been incorporated inti the design of the irrigation systems? B. Hydrological Data Collection 1. What hydrological procedures are being used to estimate water flows in catchments? 2. Are rain gauges and flow meters installed in the catchments? 3. Who is responsible for recording and analyzing the data? C. Land Use 1. Have land use maps of the catchments been prepared and who is responsible for preparing them? 2. Is there a sound understanding of the geomorphology of the watersheds? 3. Are soils maps available for the catchments? 4. Is. adequate information available on the physical and chemical composition of the soils being proposed for irrigation? 5. Have water quality analyses been undertaken (surface & ground water) and have any problems that have been identified? 6. Have field measurements been carried out (e.g., infiltration tests)? 7. Are there land capability maps available on which irrigable areas have been selected? 8. Have any existing irrigation practitioners been interviewed concerning their experiences with the use of the specific soil & water resources? D. Sanitation and Health Issues 1. What are the sanitation practices that are followed in the local communities and are these likely to impact on the health of people working on irrigation? 2. Are there any water borne diseases that are known to be prevalent in the watershed? E. NRM in A-TVETS 1. In selected A-TVETs what training or capacitation is being given in relation to the factors identified above. Project Inception Report (PIR) C-46 June 2015

230 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Institutional Assessment Questionnaire related to NRM in SSI and MI Development Name of Organisation: Region: Zone: Woreda: Date: SMIS Staff Name SMIS Position Responsibility (facilitator, note taker) Gender (M/F) Name of Participant Designation Contact Information Gender (M/F) NRM Activities in the Regions F. Integrated Watershed Management 1. Do you apply IWM approach principles in decision making in relation to the selection of SSI schemes? If yes, what is the process you follow? 2. How you make sure the NRM activities are incorporated within the watershed? 3. If NRM activities are implemented, how do you make sure sustainability of those efforts? 4. Who is responsible for implementation of NRM activities? 5. How do you ensure watershed management activities upstream of proposed SSI schemes are implemented? Is there a good linkage between different institutions involved in SSI and NRM activities? 6. When watershed boundaries fall in more than one district, is there a mechanism for ensuring that the schemes are considered in relation to the entire watershed? 7. Is there a mechanism in place for ensuring that the water needs of other users such as domestic water supplies, livestock, washing, etc are taken into account? 8. Have upstream/downstream conflicts been identified within project areas and if so, what measures have been identified to resolve them? 9. Is any information available on Soil conservation measures that have been implemented and their effectiveness? Project Inception Report (PIR) C-47 June 2015

231 APPENDIX C: DATA COLLECTION QUESTIONNAIRES 10. Do the institutions responsible for NRM activities upstream of the SSI schemes consult with local communities with respect to the initiatives that are planned or may already have been carried out in the watersheds? 11. Do you use shallow groundwater for SSI and MI development? 12. If yes, how do you monitor/control water quality and quantity and water abstraction rates? 13. If you are assigned to design a SSI scheme, do you consider drainage requirement? If yes, what is the procedure you follow? 14. In your design, do you consider cut off/cross drainage above the main canal? If yes, what procedure is followed? G. Hydrological Data Collection 1. Do you collect hydrological data and water balance data for planning SSI schemes? If yes, what hydrological procedures are being used to estimate water flows in the catchments? 2. Does your institution collect information on water balance within the catchment of SSI schemes? If yes, how do you collect the information and who is responsible for recording and data analysis? H. Land use 1. Have land use maps of the catchments been prepared and who is responsible for preparing them? 2. Is information available on the geomorphological characteristics of the watersheds? If yes, where such information is available and who collects them? 3. Are soils maps available for the catchment area? If yes, at what scale, do you use them in your wastewater management activities and where can it be located? 4. Is adequate information available on the physical and chemical composition of the soils within proposed command area? If yes, who collects the information and where can the soil maps be found? 5. Do you or any other institution collects water quality data in the watershed and/or command area (surface & ground water). If yes, has any significant problems been identified? 6. Does your or any other institution measures soils physical properties such as infiltration rate, hydraulic conductivity, permeability, etc? 7. Are there any land capability/land evaluation maps available for the selected command area? If yes, who is responsible for their preparation and where can they be obtained? I. Sanitation and Health Issues 1. What are the sanitation practices that are followed in the local communities and are these likely to impact on the health of people working on irrigation? 2. Are there any water borne diseases that are known to be prevalent in the watershed? Project Inception Report (PIR) C-48 June 2015

232 APPENDIX C: DATA COLLECTION QUESTIONNAIRES SMIS Institutional Capacity Development Assessment INFORMATION SHEET FOR DATA COLLECTORS Overview of Questionnaires List of Questionnaires Method Who? 1100 Org Capacity Key informant interview; distribute in advance so respondents have some time to complete. Interview and probe on questions respondents Only the organizations we plan to provide direct support to under 1100 at regional, zonal and woreda level. Note: this questionnaire takes about 1.5 to 2 hours to complete so please only give it to key partners at regional, zonal and woreda level (i.e., BoA and BoWater in Tigray, OIDA in Oromia. could not answer WAD and WYCAs Key informant interview Women s Affairs Directorate Unit, MoA and/or Women s Affairs Bureau/office of the MoWYCA at regional, zonal and woreda level SSI and MI Focus group (2-3 people) Organizations responsible for design, construction, and management of SSI schemes at regional, zonal and woreda level WUO Focus group (2-3 people) Organizations responsible for developing capacity of WUO/As at regional, zonal and woreda level Ag Extension Focus group (2-3 people) Irrigated agriculture extension at regional, zonal and woreda levels. NRM Questionnaire Interviews or focus group Individuals/organizations responsible for integrated watershed management. Note: Tigabu will guide regional SMIS staff on how to get information for this questionnaire as it cannot be filled by NRM experts only. Guiding Notes on Facilitating and Documenting and Writing up Notes Make sure to familiarize yourself with the questionnaires If there is a question or issue that is not clear to you, please the person who developed the questionnaire to ask them what it means. o Sacha Innes/Hune Negu Outcome 1100 questionnaire o Kate Waller WAD/WYCA questionnaire and gender-related questions in all questionnaires) o Olaf Outcome questionnaire o Sajjad Outcome questionnaire o Tigabu NRM questionnaire If you can, it is better to have someone interviewing and the other person taking notes. The facilitator should focus on engaging with the interviewees and trying as much as possible, to make the interview enjoyable and more like a conversation. If you are alone, then you will have to try to do both at once. For the note taker, most of the questions are close-ended and multiple choice. This makes it easy. However, your interviewees will also mention some very important points related to capacity, practice or on their needs/farmers needs/interests. Please note this down as well under the multiple choice answer. Project Inception Report (PIR) C-49 June 2015

233 APPENDIX C: DATA COLLECTION QUESTIONNAIRES Please keep in mind: We need to collect any relevant documentation wherever possible during each interview. If they mention a policy, guidelines or data collected on the SSI/MI schemes or SSI/MI farmers, please ask for electronic or photocopies. This data will be very valuable for understanding more concretely the issues. Such data is relevant for SSI/MI planning and development, irrigation extension, CD needs/strategies and plans and in gender and social development mainstreaming in the sector. If you have any questions, do not hesitate to contact Sacha, Olaf, Kate, or Sajjad. Writing up notes You can just use the electronic version of the questionnaire and keep only what response the focus group discussants or interviewee gave. If they said yes you keep yes and cut out no. If they selected 1-3 options given in a question, you only keep those three responses. If something else is mentioned, you put it in the other category. If the question is open-ended, then just write the text into the space of the specific electronic copy. Saving Electronic Files of each completed questionnaire Important: when saving the file, please give the file the following name: Immediate outcome number, organization, region, zone and woreda. For example: for the organization management and coordination inventory (1100), label the file name as: 1100 Region: Zone: Woreda 1200 / 3300 Region: Zone: Woreda: 1100 Tigray BoA 1100 Tigray BoWater 1100 Tigray South Corridor Zone ZoA 1100 TIGRAY South Corridor Zone Alamata Woreda OoA Tigray Region Tigray South Corridor Zone Tigray South Corridor Zone Alamata Woreda IMPORTANT Once you are finished completing a questionnaire, please send your electronic version of the completed questionnaire to the following people: Regional team leader of the region where assessment is taking place Sacha and Hune International SMS (Olaf, Sajjad, Kate, Sacha, Alex) responsible for developing the questionnaire If you have any questions, you can contact Sacha or Hune. They can also direct you to the right people to ask any questions for clarification. Project Inception Report (PIR) C-50 June 2015

234 APPENDIX D: SUMMARY OF EOS UNIT COMPETENCE CHARTS (Ethiopia MoE EOS for Small Scale Irrigation Development - NTQF Level II and Level III) UNIT OF COMPETENCE CHART Occupational Standard: Small Scale Irrigation Development Occupational Code: NRCSSD NTQF Level II NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD Maintain pressurized irrigation system Participate in workplace communications Maintain gravity fed irrigation system Assist with the operation of pressurized irrigation Develop business practice Identify irrigation water source Select irrigation methods NRC SSD Record and organize data NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD NRC SSD Maintain pump (water lifting device) Demonstrate work values Install micro-irrigation systems Implement quality systems and procedures Maintain drainage system Observe environmental work practices Work within a team environment Assist with the operation of gravity fed irrigation Lay irrigation and/or drainage pipes Operate pump (water lifting device) Project Inception Report (PIR) D-1 June 2015

235 APPENDIX D: SUMMARY OF EOS UNIT COMPETENCE CHARTS UNIT OF COMPETENCE CHART Occupational Standard: Small Scale Irrigation Development Occupational Code: AGR SSD NTQF Level III AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD AGR SSD Measure Drainage System Performance Apply Quality Control Install Irrigation System Measure and apply Irrigation Water CS Lead Small Team Operate pressurized Irrigation System Maintain and monitor environmental work practices Troubleshoot irrigation systems Operate Gravity Fed Irrigation System Measure Irrigation Delivery System Performance Troubleshoot drainage systems Implement maintenance program for an irrigation Coordinate Worksite Activities Operate Fertigation equipment) Lead Workplace Communications Carry out leveling Supervise on-site irrigation installation and construction work Carry out workplace OHS procedures Respond to emergencies Improve Business practice Implement, monitor and adjust irrigation schedules system Develop potential Irrigation water sources Install Drainage System Project Inception Report (PIR) D-2 June 2015

236 APPENDIX E: DETAILS OF KEY PROGRAMMES AND PROJECTS RELEVANT TO SMIS A large number of multi- and bilateral programs/projects and development partners/ngos are active in the agriculture and irrigation sector in Ethiopia. A full scoping of complimentary projects and programs has been undertaken during the SMIS inception period with a view to identify complementarity with SMIS components, and to identify potential linkages and synergy with ongoing projects with a view to avoid duplication of efforts. A summary of key programs/project directly relevant to SMIS and with which SMIS will aim to develop close linkages and harmonize its activities are given below. AGP AGP is a World Bank Trust Fund-supported program under the MoA supporting agricultural productivity and commercialization focusing on high agricultural potential areas to address some of the key constraints to agricultural growth and thereby contribute to overall economic growth and transformation. AGP2 is a continuation of AGP1 with an expanded mandate. The program will operate in 7 regional states including SMIS target regions and 1 city administration covering 157 woredas. The program has four components, of which Component 3 deals with smallholder irrigation development and is related to the SMIS project interventions. All AGP component activities are relevant to SMIS and can be linked to SMIS project outputs of 1100, 1200, 1300, 1400, 3100, 3200 and 3300 in CD through provision of standard manuals, trainings resource materials and CD at the regional, zonal and woreda levels. The third component, Smallholder Irrigation Development aims at increasing area and productivity of irrigated agriculture by improving availability of and access to irrigation water as well as improving irrigation water management and agronomic practices. It has two sub- components; the first subcomponent is SSi infrastructure development and improvement, and the second is integrated crop and water management for irrigated agriculture. The irrigation development component will focus on the following: Rehabilitation, expansion/extension, upgrading and/or improvement of existing SSI systems Establishment of new SSI systems (conducting of surface water availability assessment and establishment of pump irrigations and small dams etc.) Establishment of new MI and household irrigation systems Physical and human resources CD The second sub-component targets the introduction of improved irrigated agriculture management and human resources CD (conducting training need assessment and training of farmers, IWUA committees, DA, and SMS at the woreda, zonal, regional, and federal levels in improved irrigation water management and agronomic practices SMIS will work closely with AGPI and AGPII coordination units at the federal and regional levels, leveraging AGP investment to support SMIS activities. SSI pilot schemes will be selected in close consultation with AGP coordination units and regional institutions based on a predetermined selection criteria. Project Inception Report (PIR) E-1 June 2015

237 APPENDIX E: DETAILS OF KEY PROGRAMS AND PROJECTS RELEVANT TO SMIS HHMI Program of ATA ATA provides strategic and policy directions to MoA in transformation of smallholder agriculture into a productive irrigated agriculture cash economy. The HHMI Directorate of ATA supports promotion of HHMI and assists MoA and BoA in coordinating and scaling-up and adoption of household-level irrigation technologies including manual and mechanized pump technologies, water-saving technologies and support to improved support services in AGP woredas. Its five-year strategy is focused on realizing the potential of household irrigation in Ethiopia. Establish national irrigation pump standards and implement enforcement ESA and ECAE Undertake local capacity gap assessments to manufacture engine/motor pumps (through Component 3 of SMIS) Map shallow groundwater resources nationwide and disseminate results (through Component 3 of SMIS) Establish national-level irrigation information management system Build the capacity of local manufacturers to meet demand through Component 3 of SMIS) Work with regulatory, trade, and enforcement authorities to produce and enforce national irrigation pump standards through Component 3 of SMIS) Improve irrigation training curriculum and facilities for DA (through Component 2 of SMIS) Capacitate FTCs and demonstration sites to be learning centers for HHI best practices (through Component 2 of SMIS) Build capacity in manual well drilling (through trainings and micro-enterprise(through Component 3 of SMIS) Consultation with HHMI Directorate has identified the following specific areas SMIS will collaborate with ATA in the promotion of HHMI in selected woredas: 1. Support development of manual pumps standards and quality control at the local level 2. Support quality of manual pumps through CD of local manufactures through quality assurance 3. Support improved practices and build capacity in manual well drilling through training of micro-entrepreneurs 4. Irrigation knowledge management and information system 5. Support development of improved training curriculum on MI for DA SMIS aims to develop collaboration modalities with ATA and define support mechanism through a letter of understanding to support identified areas. Other specific areas may be identified during the implementation of SMIS for the promotion of HHMI. SLM Program 2 (SLMP-2) This program is led and implemented by the MoA and financially supported by the World Bank, Global Environment Facility (GEF) and the Government of Norway. The program implementation takes place in nine regions including the four SMIS intervention regions and will have a duration of five years ( ). Two of the four components of the program are relevant to the SMIS project. Project Inception Report (PIR) E-2 June 2015

238 APPENDIX E: DETAILS OF KEY PROGRAMS AND PROJECTS RELEVANT TO SMIS The interventions of Component 1, Integrated Watershed and Landscape Management (regarded as a cross cutting issue of SMIS) include: Soil and water conservation Treatment of degraded areas and gullies in communal lands Construction of water harvesting structures Promotion and adoption of Climate Smart Agriculture and Conservation Agriculture Irrigation Development (Supports/ finances the construction of new SSI and establishment of WUA Component 2, Institutional Strengthening, CD and Knowledge Generation and Management emphasizes to develop capacity (knowledge, experience, skill and institutional set up) of the facilitators and implementers from the federal to local levels, agricultural research organizations and academia and other stakeholders including service providers such as extension services in the sustainable management of natural resources for successful adaptation and adoption of sustainable and climate-smart land and water management activities. GIZ supports SLMP in CD at the woreda-level in SSI development. SMIS will collaborate with SLMP in the development of standard manuals and training resource material for watershed-based SSI development, MI promotion and catchment protection. SMIS will also support the establishment/strengthening of formal community institutions such as SUA and linkages with other community organizations such as watershed management committees. PASIDP PASIDP is supported by IFAD and coordinated by MoA at federal level and regional levels up to woreda and kebele levels. The primary goal of the program is to improve the food security, nutrition and incomes of poor rural households by developing irrigation schemes for small-scale farmers in four SMIS target regions. PASIDP targets poor rural households (specifically women-headed, unemployed youth and landless people) in high-density, drought-prone and food-insecure districts of the highlands. Its primary objective is to develop a sustainable, farmer-owned and managed system of small-scale irrigated agriculture. The program has three components which all have relevant interventions that SMIS project can be linked. Component 1, Institutional Development involves the strengthening of institutional capacity at grassroots, woreda and regional levels in order to ensure effective coordination and management of planned activities through conducting training based on skill-gaps and training needs assessment. It also includes capacity building of WUA through training of community staff. This component can be linked to SMIS project outputs 1100/1200/1300/1400. Component 2, SSI Development involves the development of irrigation schemes and catchment area planning to ensure equitable water availability to all actual and potential water users within the respective catchment. This mainly relates to SMIS output Likewise, the program supports the establishment and strengthening of WUA in order to manage the irrigation systems through full participation of farmers and ensure sustainability. It also trains participants to take charge of the development process and encourages women to join the decision-making bodies of WUA. This intervention of the program can be linked to SMIS s project output 1100/1300. Project Inception Report (PIR) E-3 June 2015

239 APPENDIX E: DETAILS OF KEY PROGRAMS AND PROJECTS RELEVANT TO SMIS Component 3, Agricultural Development involves in agricultural production improvement activities comprising of agricultural support services, land and crop management, improved seed systems and home garden development. This intervention can be related to output 1400 of the SMIS project. CASCAPE CASCAPE is an ongoing project designed to add and further strengthen the activities and capacity of AGP stakeholders in identifying, validating, documenting and disseminating best practices in agricultural production. The purpose of CASCAPE is to identify drivers for uptake of innovations, test and disseminate these innovations and evaluate their short- and long-term effects and with this knowledge stimulate scaling-up of innovations. CASCAPE is supported by the Government of the Netherlands and closely working in collaboration with, MoA, universities, EIAR and RARIs to provide support through training and provision of evidence-based validation for the implementation. Best practice identification conducted by the project shall consider all available technologies from national sources including universities, civil society organizations, private sectors, farmers, etc. The assessment particularly looks into activities implemented in AGPI and other similar programs that have shown successful results. Therefore, these interventions can be linked to SMIS project outputs 1100/1200/1300/1400/3100/3200 particularly in supporting through training and documentation activities. NUFFIC (NICHE) NUFFIC, under its implementing organization, the Netherlands Initiative for CD in Higher Education (NICHE) is currently working in Ethiopia in three focus sectors: education, agriculture and environment. In all these sectors NICHE aims at strengthening the capacity of education and training institutes (higher education and TVET) in the field of business, agriculture and NRM to deliver quality and gender-sensitive education and training, and to do identify best practices and conduct relevant applied research. Among the many projects NICHE supports in Ethiopia that are related to SMIS project activities include: Strengthening the Ethiopian National Qualifications Framework (ENQF) unit at Higher Education Strategy Center (which is related to curriculum and TTLM development and review and linked to Component 2 of the SMIS project) CD of Agarfa A-TVET College on SSI and MI (which could be related to Components 2 and 3 of the SMIS project) The project particularly assists Agarfa A-TVET to strengthen its training program in the field of SSI. The project will also enhance the A-TVET/TVET instructor capacities in financial, administrative, leadership and management and areas of teaching skill so that they will be able to apply innovative teaching and learning materials and approaches, curriculum and TTLM review, and applied research in SSI. NICHE experience and strategies directly relevant to SMIS outputs in Components 2 and 3. NICHE best practices tried at Agarfa A-TVET will also contribute to the development of center of excellence Project Inception Report (PIR) E-4 June 2015

240 APPENDIX E: DETAILS OF KEY PROGRAMS AND PROJECTS RELEVANT TO SMIS in water management at Alage. SMIS work closely with NICHE and collaborate in experience sharing in curriculum development at A-TVETs and CoEIWM. International Water Management Institute (IWMI) IWMI is actively involved in the irrigation sector in Ethiopia through a large number of bilateral and multi-lateral projects. Key among them relevant to SMIS are: Livestock and Irrigation Value Chain for Ethiopian Smallholders (LIVES) Project Innovation Lab in SSI Development: with support from the United States Agency for International Development (USAID), under the Feed the Future initiative, the project is involved in innovative practices for the SSI development Africa Rising: is a sector partnership for improvement and development of higher education in irrigation Sustainable Agricultural Water Management: mainly focusing on SSI Water, Land and Ecosystems Project: mainly deals with spate irrigation for promotion of SSMI development Documentation of Best Practices: IWMI has developed various standard manuals and guidelines on small scale and MI development on different aspects of irrigation development Consultations with IWMI have been positive. IWMI is open to share experience in water management, documents, training resource material and engage in supporting CD in gender responsive SSI development and value chain interventions such as manual and power pump supply chain intervention, micro finance approaches and irrigated agricultural extension approaches. SMIS aims to collaborate with IWMI and will define collaboration modalities through a letter of understanding during the implementation phase. Japan International Cooperation Agency (JICA) JICA has been active in the SSI sector through its Capacity Building in Irrigation Development (CBID) project. The aim of the project is the capacity building of experts in irrigation development in OIDA. The project has developed 14 manuals and guidelines on various aspects of SSI development over the past 5 years. The CBID project was phased out in 2014, however, the manuals and guidelines have been widely adopted in OIDA and will be an important resource for review and adoption in other SMIS regions. SMIS has collected all manuals and guidelines and conduct a review along with other manuals available in the regions with a view to promote standard practices for SSI development. JICA s other projects, particularly the Quality Seed Promotion Project for Smallholder Farmers (QSPP) implemented in Oromia, Amhara and SNNPR and Sustainable NRM through FFS in the Rift Valley of Oromia will also be an important source of materials and best practices that can be adapted in the SMIS project. IDE IDE is an international NGO active in market-oriented affordable irrigation technologies in Ethiopia. IDE s focus areas are: improving water access and control; increasing agricultural productivity; improving market access and increasing income of smallholder farmers. Some of the water saving Project Inception Report (PIR) E-5 June 2015

241 APPENDIX E: DETAILS OF KEY PROGRAMS AND PROJECTS RELEVANT TO SMIS technologies piloted by IDE are: improved suction treadle pumps; pressure treadle pumps; rope and washer pumps; low-cost small plot drip kits; manual well drilling technology, etc. IDE provides training to local entrepreneurs in the manufacturing of low-cost water saving technologies as well as support quality assurance to ensure that smallholder farmers gets quality technologies. IDE has also conducted shallow groundwater assessment in 60 woredas in the SMIS target regions. The approach to promotion of HHMI is fully demand-based on operated on a cost-recovery basis. IDE is extensively involved in CD of farm families, local entrepreneurs, unemployed youths and Das in the IDE target woredas on a cost recovery basis with support from ATA and other projects and programs. IDE maintains a fully-equipped mechanical workshop for continuous development and improvement of its water saving technologies. The IDE CD strategy, however, does not involve woreda/district experts and DA as a normal practice. IDE has expressed interest in collaborating with SMIS in the promotion and scaling-up of its technologies in HHMI component. IDE would be an important contributor to the achievement of outputs in Component 3. SMIS will explore possibility of developing a formal collaboration mechanism with IDE and engage IDE experts in the SMIS CD program. Other Projects In addition to the above key programs and projects, several other relevant programs having an SSI development component that can contribute to one of the SMIS components are currently being implemented or planned in Ethiopia. These are: Agriculture and Nutrition Linkage project linked to UNiCEF and CASCAPE Integrated Home Fortification Project - implemented by GAIN PSNP ISSD - implemented by Wageningen University and Research Centre with Hawassa Universtiy G4AW GIACIS ABSF Smallholder horticultural development project implemented by MASHAV with support from the Government of Israel Initial consultations have revealed that the above projects have developed guidelines, manuals and training resource material on various aspects relevant to SMIS. SMIS will explore potential collaboration with these projects and will adopt the available materials developed by these projects to the extent possible. Project Inception Report (PIR) E-6 June 2015

242 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS Step 1: Registration of Application for SSI Scheme Development The preferred option that the concerned farming community submits an application for the construction of a new SSI scheme, modernization of their existing traditional SSI scheme or rehabilitation of their existing modern SSI scheme to the responsible public institution at district level. The submitted application must be formally registered within one week and a written confirmation letter provided to the applicants. The responsible public institution must check if a previous application or proposal for the development of the SSI scheme was rejected in the past. The responsible public institution must inform the applicants in writing within two weeks following the registration of the application about its decision to accept or reject the application. In case of a rejection, the reason(s) must be described in the letter. Step 2: Pre-Feasibility Studies Within one or two months after the selection of the SSI scheme, the responsible public institutions must commence the pre-feasibility studies by collecting all relevant secondary data and information available about the existing SSI scheme and/or the concerned kebele(s), including population, cropped and irrigated area, cropping patterns, soil conditions and water availability. If available, map(s) should also be collected. Once all available data and information have been collected and analysed, a multi-disciplinary team comprising an irrigation engineer, agronomist and sociologist must conduct a reconnaissance visit to collect additional data and information through focus group meetings, individual interviews, walkovers and site inspections. During the reconnaissance visit, the multi-disciplinary team must ensure that both male and female farmers from different parts of the envisaged/existing command area are consulted. Based on a detailed analyses of the collected primary and secondary data and information, the multi-disciplinary team has to prepare a short prefeasibility report presenting the main findings and conclusions. The concerned farming must be formally informed about the outcome of the pre-feasibility studies. In case of rejection, the reason(s) must be explained to the concerned farming community. Step 3: Community Awareness Campaign The main purpose of the community awareness campaign is to inform all concerned farmers about the following issues: a) participatory approach for planning, design, construction and management of the SSI system; b) establishment, registration and CD of the IC/IWUA and WUG; c) expected role and responsibilities of the farmers during the different stages of the formation of the WUG and IC/IWUA, design and construction of the SSI scheme, and the management of the SSI system, including the payment of an annual ISF to finance the O&M of the irrigation and drainage infrastructure; and d) expected benefits for the farmers in terms of increased agricultural production and farm incomes due to (improved) supply of irrigation water. The community awareness campaign is also an opportunity to introduce the concerned (government) staff, who will work very closely with the farmers during the different steps of the approach. During the execution of the community awareness campaign, the responsible public institution(s) must monitor if all male female farmers are invited for the village meetings and that they participate in discussions. If necessary, separate meetings for female farmers should be conducted to ensure that they are properly informed and consulted. It is recommended to distribute a leaflet in which the main topics are briefly described in the local language. Project Inception Report (PIR) F-1 June 2015

243 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS Step 4: Feasibility Studies The overall objective of the feasibility studies is to determine the technical, social, environmental and financial feasibility of the proposed SSI scheme development. At least the following studies have to be carried out during the feasibility studies: water balance/hydrology, geotechnical, soil, agronomy, agro-economic, socio-economic, gender and environmental/watershed. In order to collect the required socio-economic, agro-economic and gender data and information, a number of different participatory data collection techniques must be used, including: a) household interviews using questionnaire; b) focus group interviews using questionnaires; c) transect walks; d) village/resource mapping; and e) historical trend/time line. The implementation of the feasibility studies is also a very good opportunity to get a good understanding of the agro-economic, environmental, gender and socio-economic aspects of the farming community. It is also an opportunity to establish a relationship with the irrigation community on the basis of mutual confidence, which will be important during the planning and execution of activities during subsequent steps of the approach. The responsible public and private institutions involved in the feasibility studies must ensure that both male and female farmers from different parts of the envisaged/existing command area are properly consulted. Step 5: Preparation and Approval of Feasibility Report As soon as all feasibility studies are completed, the responsible public and private institutions have to prepare the draft feasibility report in accordance with a standard format, including the execution of a financial analyses. The main findings and conclusions of draft feasibility report must be validated with the concerned male and female farmers in a participatory, accountable and transparent manner to ensure relevance, ownership and consensus. Furthermore, the draft feasibility report must be submitted to senior government staff of the responsible public institutions for review and comments. Subsequently, the final feasibility report must be prepared by incorporating relevant feedback from male and female farmers and senior government staff. The assessment phase of the PIDM approach finishes with the submission and approval of final feasibility report by the responsible public institutions. Step 6: Participatory Scheme Design To facilitate the effective participation of male and female farmers in the scheme design process, the formation and training of a farmers' design committee (FDC) should be considered, which should consist of male and female farmers from head, middle and tail reaches of envisaged/existing command area. The design of the irrigation scheme has to incorporate the preferences of male and female farmers as much as possible as long as they are technically and financially viable. Therefore, one or more predesign meetings at village and/or irrigation block level must be conducted together with the FDC in order to identify the preferences of male and female farmers concerning the design of their irrigation scheme. An important issue that must be discussed with male and female farmers during the pre-design meeting(s) is the necessity to provide social structures, such as washing places and animal drinking troughs, to ensure the sustainability of the constructed irrigation facilities. Following the pre-design meeting(s), the draft scheme design must be prepared, in which the recorded preferences of male and female farmers are included as much as possible, including the Project Inception Report (PIR) F-2 June 2015

244 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS provision of requested social structures. As soon as the draft scheme design is completed, it must be presented to and reviewed by the FDC during the first design meeting. Subsequently, a joint walkover must be arranged along the (proposed) alignment of the canal system in order to have the opportunity to identify the sites for ancillary structures, such as road culverts and cross-drainage structures, and social structures, such as washing places and animal drinking troughs. The draft scheme design must also be submitted to senior staff within the responsible public and/or private institutions for review and comments Following the review of the draft scheme design and the joint walkover, the final scheme design and cost estimates must be prepared, in which the comments and conclusions of the first design meeting and the joint walkover have to be incorporated as much as possible. As soon as the final scheme design has been prepared, another design meeting with the FDC must be arranged in order to review and approve it. During the second design meeting, all alterations compared with the draft scheme design as well as the location of the ancillary and social structures must be clearly explained to the farmers representatives, including the reasons for the non-inclusion of any proposed structure. Once approved by the FDC, the final scheme design and cost estimates must be submitted to the senior management staff of the responsible public institutions for their review and approval. Step 7: Establishment of WUG and IC/IWUA Based on the draft scheme design, a preliminary landholders' list must be prepared in order to know which male and female landholders are eligible to become members of the IC/IWUA and should be invited for the meetings. The process of establishing WUG and IC/IWUA must start with the implementation of one or more WUO introduction meetings at village and/or irrigation block level in order to introduce and explain the following topics to as many male and female farmers as possible: a) purpose and functions of WUG; b) purpose and functions of the IC/IWUA; c) organisational structure of IC/IWUA; and d) expected benefits of having WUG and IC/IWUA. Following the WUO introduction meeting(s), the concerned farmers have to submit a formal request for the establishment of their IC/IWUA. If WUG do not exist at irrigation block level, farmers must be encouraged to form a WUG for each irrigation block within the (envisaged) command area of the irrigation scheme. The responsible public institution has to organise a meeting at the level of each irrigation block in order to: a) present and explain the functions and duties of the WUG; b) present and explain the role and duties of the WUG Leader; and c) election of the WUG Leader by the concerned male and female farmers. To facilitate the establishment of the IC/IWUA, it is recommended to form a Preparatory Committee, which will be responsible for: a) preparation of the IC/IWUA Bylaws by reviewing and discussing all articles; b) determination of the registration fee and composition and size of the Management Committee, including the number of reserved seats for women; and c) registration of male and female farmers as IC/IWUA members. As soon as the preparation of the IC/IWUA Bylaws and the registration of the WUA members are completed, the Preparatory Committee must proceed with the planning and preparation of the Project Inception Report (PIR) F-3 June 2015

245 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS Constitutive General Body Meeting. The first step to the establishment of the IC/IWUA is the adoption of the Bylaws by the IC/IWUA members during the Constitutive General Body Meeting followed by the election of the members of the Management Committee and Audit Committee. During the first meeting of the newly formed Management Committee, the elected members have to elect the Chairperson, Deputy Chairperson, Secretary and Treasurer from among themselves. During the establishment of the IC/IWUA and election of the Management Committee members, the responsible public institution must ensure that female landholders are registered as IC/IWUA members, invited for the Constitutive General Body Meeting, participate in the elections and be elected as Management Committee members. One of the first tasks of the newly formed Management Committee is to prepare and submit the application for the registration of the newly constituted IC/IWUA. If necessary, the Management Committee should also open a bank account in the name of the IC/IWUA. Step 8: Participatory Planning of Soil and Water Management Interventions Within the concept of a watershed-based approach, it is essential that the male and female farmers benefitting from the development of their SSI scheme will also contribute to improved watershed management practices in and around the command area of the SSI scheme through the execution of appropriate soil and water conservation measures, such as the construction of contour bunds, reforestation and treatment of gullies. construction of contour bunds, reforestation and treatment of gullies. The participation of male and female farmers in the planning of improved soil and water management interventions must be organised through their IC/IWUA. The first task would be a participatory inventory, analyses and ranking of all soil and water management problems in and around the envisaged/existing command area of the (proposed) SSI scheme. Subsequently, a soil and water management intervention plan must be prepared by the IC/IWUA with the support of the responsible public institutions, in which the modalities for the execution of the ranked soil and water management interventions are clearly described. Where possible, the IC/IWUA must seek cooperation with other relevant community-based organisations (CBOs), such as watershed management committees. Step 9: Preparation and Signing of Scheme Development Agreement At the end of the preparatory phase of the PIDM approach, the IC/IWUA and the responsible public institutions have to prepare and sign a Scheme Development Agreement to ensure: a) construction of the irrigation, drainage and associated infrastructure in accordance with the approved scheme design and minimum quality standards; b) development of fully functional IC/IWUA through the provision of training and support; c) successful development of sustainable and profitable irrigated agriculture within the command area of the SSI scheme through the provision of irrigation extension and support services; and d) sustainable use of natural resources in and around the command area of the SSI scheme through the execution of appropriate soil and water management interventions. The Scheme Development Agreement must specify the following: a) modalities and responsibility with regard to tender process, execution of civil works, construction supervision, final inspection and commissioning of completed civil works; b) modalities and responsibility related to capacity develop Project Inception Report (PIR) F-4 June 2015

246 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS of IC/IWUA and WUG; c) modalities and responsibilities concerning planning and execution of irrigated agriculture development programme (IADP); and d) modalities and responsibilities regarding the execution of the soil and water management intervention plan. Before the Scheme Development Agreement can be signed, it must be approved by the IC/IWUA General Body and all responsible public institutions. With the signing of the Scheme Development Agreement, the preparatory phase of the PIDM process is completed. Step 10: IC/IWUA CD in Governance, Administrative and Financial Management Following the establishment of the IC/IWUA office, the following training courses have to be provided to strengthen the governance, administrative and financial management of the newly constituted IC/IWUA: a) Orientation Training; b) Governance and Administrative Management; c) Financial Management; d) Administrative and Financial Audit; and e) Assessment, Billing and Collection of ISF. In addition to the adoption of the standard IC/IWUA Bylaws, it is also important that each IC/IWUA formulates and adopts its own set of internal rules and regulations to ensure that: a) IC/IWUA itself is managed in a democratic, transparent and accountable manner; and b) SSI scheme is operated and maintained in an effective and efficient manner. With regard to the O&M of the irrigation system, it is essential that the IC/IWUA adopts a set of operational rules as well as a set of effective sanctions and penalties to be imposed against any offenders of the adopted rules related to the O&M of the SSI scheme. Step 11: Land Acquisition and Distribution Usually land must acquired for the construction of irrigation, drainage and/or associated structures. The acquisition of land required for the development of the SSI scheme and the compensation of the land use right holders must be carried out in accordance with Proclamation No. 455/ Expropriation of Landholdings for Public Purposes and Payment of Compensation issued by the Federal Government as well as rural land administration and use laws enacted by the regional states. In accordance with Proclamation No. 456/2005 Rural Land Administration and Land Use and legislation enacted by the regional states, irrigable plots of land have to be allocated to male and female farmers preferably through the issue land use right certificates with the husband and wife names. During the land distribution process, the IC/IWUA and responsible public institutions may consider to allocate up to 10% of the irrigable land within the command area of the SSI to landless female-headed households and/or youth. Before the acquisition of land and/or (re)distribution of irrigable land, it is important to raise the awareness among male and female farmers with regard to their land and water rights. During the land acquisition and/or (re)distribution process, it is essential that all (affected) male and female landholders are fully informed and consulted. Step 12: Provision of Participatory Irrigation Extension and Support Services To support the sustainable development of irrigated agriculture by the farmers in the newly constructed, rehabilitated or modernised SSI scheme, it is crucial that all necessary participatory irrigation extension and support services (PIESS) will be provided to all male and female farmers within the command area of the SSI scheme. The provision of the necessary PIESS to the male and Project Inception Report (PIR) F-5 June 2015

247 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS female farmers must be organised by the responsible public institutions at regional, zonal and district level. For the provision of essential support services, including the supply of farm inputs (i.e., seeds, fertilisers, agro-chemicals), farm tools and equipment, credit, storage and marketing, the involvement of government-managed and private service providers is required. Therefore, the establishment of institutional support linkages between the farmers through their IC/IWUA and external service providers is deemed important to bring all those actors working together to address the needs of the male and female farmers involved in irrigated agriculture. An appropriate method for the provision of PIESS could be based on the concept of Farmers Field School (FFS), which has demonstrated its effectiveness in various countries in Africa and Asia. WUG formed at irrigation block level within the command area of the SSI scheme are seen as the most appropriate channels for the planning and execution of participatory irrigation extension and support interventions based on the FFS concept as they represent all male and female farmers cultivating land within the irrigation block. To develop productive and sustainable irrigated agriculture within the command area of the SSI scheme, it is envisaged that the irrigation extension and support interventions at irrigation block level will be mainly focused on the following issues: Diversification of irrigated crop production, in particular the cultivation of high-value commercial crops and good quality fodder crops; Timely supply of farm inputs, such as seeds, fertiliser and agro-chemicals; Improved crop husbandry practices, including a) promotion of the use of improved certified seeds; b) promotion of integrated nutrient management (INM); c) promotion of improved cropping systems, including intercropping, alley cropping and relay cropping; d) promotion of integrated pest management (IPM); e) promotion of the use of bio-fertilisers, including composting, and bio-pesticides; and f) promotion of organic farming; Promotion of conservation agriculture, including zero/minimum tillage and mulching; Mechanisation of farm activities to increase the productivity per unit of labour; Development and field testing of appropriate irrigation technologies by linking local research centres with the IC/IWUA, WUG and farmers (as co-researchers); Improved (on-farm) water management and conservation, including the promotion of land levelling, water harvesting methods and soil moisture conservation practices; Improved on-farm drainage to prevent waterlogging and salinity problems; Conjunctive use of canal water and groundwater, in particular in the lower reach of the command area where supply of canal water may be less reliable; Improved post-harvest management, including appropriate crop storage facilities at household level; Improved marketing opportunities for agricultural produce, including the development of marketing information system; and Improved access to credit. In addition to regular meetings of the FFS, the responsible public institutions could also plan and implement the following activities to enhance the knowledge and improve the skills of individual male and female farmers required for the successful and sustainable development of their irrigated agriculture within the command area of the SSI scheme: a) training courses and workshops; b) demonstrations and trials; c) farmers field days; and d) exposure visits. Project Inception Report (PIR) F-6 June 2015

248 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS Step 13: Execution of Soil and Water Management Interventions In accordance with the approved soil and water management intervention plan, the IC/IWUA has to prepare and execute the planned soil and water management interventions in and around the command area of the SSI scheme with the active participation of all concerned male and female farmers and the support of the responsible public institutions. Both the IC/IWUA and the responsible public institutions have to monitor the execution of these interventions very closely to ensure that they are undertaken correctly and will not cause any damage to adjacent land and/or negative impact on downstream water users. Comment: In addition to the execution of soil and water management interventions in and around the command area of the SSI scheme by the male and female farmers benefitting from the development of their SSI scheme and other community members, it is also very important that the responsible public institutions undertake watershed management interventions in the catchment/watershed upstream of the SSI scheme to reduce soil erosion and improve water management in collaboration with the concerned communities. Step 14: Tendering and Execution of Construction Works The construction of all civil work will be carried by a contractor, who will be selected through a tender process. To facilitate effective construction monitoring and quality control during the execution of the civil works, it is recommended that the IC/IWUA form a works sub-committee and its members will be trained by the responsible public institution. At least once every two weeks/month, the works sub-committee together with the responsible public institution and contractor have to undertake a joint site visit to monitor the physical progress and control the quality of completed works. As soon as the contractor has issued a notice that all construction works have been completed, a joint inspection of these works must be planned within two weeks following the issue of the notice. If the final inspection has revealed that all construction works have been completed properly, the entire irrigation system is tested during the entire first irrigation season in order to assess if all structures are functioning properly and the available amount of irrigation water can be distributed throughout the entire canal system. Step 15: CD of WUG and IC/IWUA in O&M and Water Management To facilitate the effective O&M of the irrigation system, the WUA may have to procure tools and small equipment, including bucket, spade, sickle, axe and wheel barrow. To ensure that the WUG and WUA have the necessary technical knowledge and skills for planning and executing the O&M of the SSI scheme in an adequate, efficient and timely manner, a comprehensive training and support programme will be implemented to ensure that the WUG and WUA will have the necessary technical knowledge and skills for the effective O&M of the irrigation, drainage and associated facilities located within the command area of the SSI scheme. The responsible public institutions also have to assist the IC/IWUA with the preparation of an O&M Manual. Step 16: Preparation and Signing of IMT Agreement Before the IC/IWUA can formally take over the responsibility for the O&M of the SSI scheme, an IMT Agreement must be prepared by the responsible public institution. As soon as the IC/IWUA General Body has formally approved the IMT Agreement, it can be signed by the IC/IWUA and responsible public institutions during a special ceremony. To facilitate the effective O&M of the irrigation and drainage infrastructure within the command area of the SSI scheme, the responsible public Project Inception Report (PIR) F-7 June 2015

249 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS institutions must hand over all technical documents and drawings to IC/IWUA during the IMT Agreement signing ceremony. With the signing of the IMT Agreement, the preparatory phase of the PIDM approach is completed. Step 17: IC/IWUA-Managed Scheme O&M The IC/IWUA has to prepare the annual maintenance plan and budget using the findings of the annual maintenance inspection of all irrigation, drainage and associated infrastructure. Subsequently, the IC/IWUA and WUG have to execute all necessary maintenance and minor repair works in accordance with the (approved) annual maintenance plan. Prior to the start of the irrigation season, the responsible public institution has to assess the amount of water that would be available for irrigation throughout the irrigation season based on an analysis of rainfall data and measurement of water flow in the river. Subsequently, the IC/IWUA with the support of the WUG Leaders has to plan an appropriate cropping pattern for the coming irrigation season taking into account the estimated water availability for irrigation. Based on the agreed cropping plan and estimated water availability, the IC/IWUA and WUG have to prepare an operation/water distribution plan for the main and secondary canals respectively. During the irrigation season, the IC/IWUA and WUG have to distribute the available amount of irrigation water in accordance with the (approved) operation/water distribution plans and ensuring that the supplied irrigation water is distributed equitably among all farmers. Throughout the entire irrigation season, the IC/IWUA and WUG have to undertake the daily measurement and recording of the water flows/levels at the head of the main and secondary canals respectively. In accordance with its ISF policy, the IC/IWUA has to collect the ISF among all male and female farmers within the command area of the SSI scheme, so that it has sufficient funds to finance the execution of the maintenance works and the operation of the irrigation system. Step 18: M&E of IC/IWUA Performance The governance, administrative and financial management of the IC/IWUA must be closely monitored by the responsible public institution to ensure that it is carried out in accordance with the provisions of the IC/IWUA Bylaws and internal rules and regulations. To ensure that available canal water is distributed in an efficient and equitable manner and any surplus water is disposed of in a safe manner, the irrigation and drainage system within the command area of the SSI scheme must be properly maintained. During inspections, the responsible public institutions must assess if the (routine) maintenance and repair works have been carried out in a correct, efficient and timely manner. During the entire irrigation season, the responsible public institutions must regularly monitor the operation of the entire irrigation system. During (monthly) visits, they have to undertake the following activities: a) inspection of the canal system together with the members of the O&M Sub- Committee and any O&M staff employed by the IC/IWUA; and b) review the flow measurement records, which are maintained by the IC/IWUA. During the inspection visits along the canals, the responsible public institutions will have the opportunity to: a) observe if canal water is flowing freely in all canals without overtopping due to obstacles placed in the canal system and/or blocked Project Inception Report (PIR) F-8 June 2015

250 APPENDIX F: SHORT DESCRIPTION OF PIDM STEPS control/division structures; and b) discuss any problems during the operation of the canal system with the participating members of the O&M Sub-Committee and any employed O&M staff. At the end of each financial year, the responsible public institutions have to evaluate the performance of the IC/IWUA with regard to its governance, administrative and financial management as well as the O&M of the irrigation and drainage infrastructure and water management within the command area of the SSI scheme. Step 19: Environmental, Socio- and Agro-Economic Impact Assessment The main objectives of the environmental, socio- and agro-economic impact assessment of the IC/IWUA-managed irrigation systems are to assess: a) improvement of (irrigated) agricultural productivity; b) improvement of male and female farmers incomes from the cultivation of irrigated (and rainfed) crops; c) improved participation of female farmers in management of IC/IWUA and decision making related to O&M of SSI scheme; and d) environmental sustainability and impact of irrigation and cultivation of (irrigated) crops. Based on the findings of the conducted assessments, the responsible public institutions have to prepare an impact assessment report that includes recommendations to prevent/mitigate any negative impacts and address challenges for improved performance. Project Inception Report (PIR) F-9 June 2015

251 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-1 June 2015

252 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-2 June 2015

253 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-3 June 2015

254 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-4 June 2015

255 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-5 June 2015

256 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-6 June 2015

257 APPENDIX G: GANTT CHART Project Inception Report (PIR) G-7 June 2015