NORMATIVE FRAMEWORK

TRUST FUND PROJECT FORMAT

"Irrigation Improvement: Environmental Component"

(PART II: PROJECT DESIGN)

A. GENERAL BACKGROUND

1. Description of the irrigation sub-sector; environmental approach

Information on the role of the agricultural sector in the economy of the country concerned (contribution to GDP, foreign trade, employment and income) and the role and structure of the irrigation sub-sector (role of public and private sector; main features of: (i) irrigation schemes; (ii) state of irrigation infrastructure; (iii) approach adopted for environment protection; (iv) production systems; and (v) major development constraints); and main features of known water resources and scope for expanding irrigation for agriculture.

2. Host country strategy

Concise descriptions of what strategies and policy objectives have been articulated by the Government for the agricultural sector in general and/or for the irrigation sub-sector in particular. The major relevant components of the policies/strategies can be highlighted by bullet points.

3. Prior or on-going assistance in support of irrigation

Overview of ongoing and/or recently completed programmes/projects supported by external assistance (donors, major activities, and impact) on irrigation or environment protection.

4. Institutional framework for irrigation sub-sector

Government and parastatal institutions responsible for: (i) national water resources and their use (central and provincial level, strengths and weaknesses), and (ii) environmental aspects of irrigation. Areas of responsibility of government, parastatal or private institutions as they relate to specific types of irrigation. Indication of primary responsibility for policy formulation and thus where to locate the project.

Data Needs:

Share of agriculture in the GDP, foreign trade, agricultural employment. Average per caput income.
Government objectives for the agricultural sector.
Share of irrigated area in total area cropped.
Main features of irrigation infrastructure (size, location and ownership of works).
Irrigated area by size class, public/private ownership, type of irrigation, cropping patterns.
Major crops grown under irrigation.
Major consequences of irrigation on environment.
Water resources and irrigation potential.
Water and environment protection legislation.
Ongoing programmes and relevant policy measures.
List of relevant completed and/or ongoing projects.
Relevant sub-sector institutions (functions, resources, organizational structure).

Data Sources:

Ministry of Agriculture/Department of Irrigation
Ministry of Planning/Economic Cooperation
Relevant parastatal/private sector institutions
FAO Technical Division concerned
Office of FAO Representative

B. PROJECT RATIONALE-JUSTIFICATION

1. Problem to be addressed; the present situation

Presentation of major constraints that hamper irrigation development and that the Government wishes to be addressed; particular focus on environmental constraints. Absence of a coherent policy for the sub-sector. Concise description of important issues that will set the stage for project design.

2. Expected end-of-project situation and sustainability of project results

A simple one or two sentence statement of the project goal is required here. Additional bullet points may highlight major objectives of the project and the key actions the Government has to take to achieve the project goal.

3. Target beneficiaries

Brief description of the irrigation systems practiced and of the corresponding groups of stakeholders expected to benefit from the project; stakeholders' role in environment protection.

4. Project strategy

Explain how the project would assist the Government in drafting an irrigation/environment policies and strategies and provide the reasons for the individual policy and strategy elements chosen. Previous efforts undertaken by the Government to promote irrigated agriculture and protect environment should be cited.

5. Institutional framework and counterpart support capacity

Describe the institutional arrangements and responsibilities for project implementation, provide a description of the Government implementation agency (location, functions, organizational structure, financial and staff resources) and how the project would fit into the structure. Describe the project's organizational structure and the respective managerial responsibilities for national and international staff.

6. Reasons for assistance from FAO/Government Cooperative Programme

Text needs to document FAO's comparative advantage in being a partner with the Government in formulating an irrigation policy and strategy.

7. Special considerations

This section can highlight special conditions of interest to the Government, the donor, FAO and the international community as a whole. These might include the need for national capacity building, sustainability of project achievements, impact on poverty alleviation, empowering women and their role in the development of the country.

8. Coordination arrangements

Indicate coordination with other parts of the Government and/or parastatal or private sector, which would have an indirect role in project implementation. There may be need for a steering committee to inform and coordinate among any overlapping responsibilities.

Data Needs:

Key data on the irrigation sub-sector.
Major characteristics of irrigated farming systems; major groups of stakeholders.
List of major constraints facing the irrigation sub-sector, in particular the environment.
Main institutions involved in the sub-sector.
Organization chart, budget and staff resources of the Government implementation agency.
Key indicators of FAO's comparative advantage.
Basic data concerning relevant ministries, parastatals, private sector institutions.

Data Sources:

Ministry of Agriculture/Department of Irrigation (central and provincial levels)
Ministry of Planning/Finance
Office of FAO Representative

C. DEVELOPMENT OBJECTIVE

Explain how the project would contribute to accomplishing the Government long-term objectives for sustainable agricultural development in general, the irrigation sub-sector in particular, and more precisely the environment protection.

Data Needs:

Development targets set for the agricultural sector with specific reference to the role of the irrigation sub-sector.
Indication of magnitude of untapped irrigation potential.

Data Sources:

Ministry of Agriculture/Department of Irrigation
Ministry of Planning/Finance

D. IMMEDIATE OBJECTIVE(S), OUTPUTS AND ACTIVITIES

Immediate objective 1: Environmental Aspects of the Irrigation and Drainage Projects

Sub-objective 1: Review the EMP activities on the surface and groundwater quality monitoring programme and agricultural management programme.

For each objective, describe Expected Outputs and Related Activities.

Sub-objective 2: Development of guidelines on environmentally safe irrigation and drainage water management and sound agricultural practices as fertilizer and agro-chemical applications.

Immediate objective 2: Programme of Environmental Studies Sub-objective 1: To establish what environmental information is already available for management planning in each sub-project area.

Sub-objective 2: To design and implement the studies that are needed in both areas to provide any information required from management planning that is not currently available.
Sub-objective 3: To assess the need for updating and enhancing information on migratory birds and fish populations in both sub-project areas.

Immediate objective 3: RS-GIS Component Sub-objective 1: Design and establishment of Meta database containing relevant information on the catchment areas of the affected wetlands and river systems at an appropriate scale, in the form of reports, measurements taken, maps, statistical, socio-economic and other auxiliary data. The Meta database (catalogue) will form part of the core database, which also contains GIS layers and remote sensing imagery. The development of the Meta database will be carried out centrally at the MOA. The field offices will be provided with digital information as produced centrally, either off-line (CD-ROM) or online (modem, Intranet).

Sub-objective 2: Design and establishment of an Environment and Land Resources Information System (ELRIS). The development of ELRIS will integrate the RS, GIS, database and modelling components of the project. ELRIS will be implemented at the MOA, where the facilities and systems will be also located. The field offices will provide data and will also be provided with digital information as produced centrally, either off-line (CD-ROM) or online (modem, Intranet). The field offices should then be equipped with adequate computers and software. The field offices should also be equipped with Global Positioning Systems (GPS), at least one for each sub-project and 2-3 for the DOE offices in the project area.

Sub-objective 3: Preparation of thematic maps and digital data bases using RS and GIS technology.
Sub-objective 4: Assessment of changes of land cover and environment over the last 20 years.
Sub-objective 5: Development of Models and user interface.

Data Needs:

Major Government objectives for agriculture and rural development.
Key data on the irrigation sub-sector, incl. water resources and types of irrigation practiced.
Main features of the existing irrigation and environment policies.
Institutions involved in irrigation development (major functions, strengths and weaknesses).
Characteristics of major groups of stakeholders (public sector irrigation, farmer-owned and operated irrigation).

Data Sources:

Ministry of Agriculture/Department of Irrigation
Ministry of Planning
Private sector stakeholders

E. INPUTS

The inputs to be provided to carry out planned activities (goods, services, personnel, vehicles, equipment) must be sufficient to produce the project outputs and to achieve the stated objectives. The description should specify: (i) international and national consultants (specialization and duration), equipment (quantity and specification), fellowships and study tours (field and duration of study) etc. and (ii) purpose for which provided. The timing and sequencing of inputs should be shown in the annexed work plan, together with a detailed description of inputs that are to be used.

Data Needs:

Details on goods (type and quantity), services (nature and length of period), personnel (specialization and duration), vehicles (type and quantity), equipment (quantity and specification) - See also Section I. "Budget".

Data Sources:

Ministry of Agriculture/Department of Irrigation

F. RISKS
Mention needs to be made of the probability of events occurring which may cause major delays in project execution or prevent the achievement of the project's objectives, and how the project has been designed to mitigate such risks. Risks are generally interpreted in terms of the negative effects of unexpected events.

Data Needs:

Examples of events that negatively-effected projects in the past and information on corrective measures taken at the time.

Data Sources:

Ministry of Agriculture/Department of Irrigation
Office of FAO Representative
FAO Technical Division concerned

G. PRIOR OBLIGATIONS AND PRE-REQUISITES

Describe actions to be taken by the Government for commencing the project (prior obligation) and to facilitate implementation. Discuss actions which do not effect commencement but which can cause serious disruption during implementation (pre-requisites).

Data Needs:

List of relevant policy documents and laws, inventory describing the current state of irrigation infrastructure.

Data Sources:

Ministry of Agriculture/Department of Irrigation
Legal Department

H. PROJECT REPORTING, REVIEWS AND EVALUATION

Project monitoring and evaluation requirements are subject of discussion with the concerned donor and may vary according to budget size and donor requirements. The arrangements should conform, to the extent possible, to the general Monitoring and Evaluation Systems appropriate for FAO Trust Fund projects, as outlined in the "Guidelines for Project Formulation for Trust Fund Projects".

Data Needs:

Actual implementation of activities as compared to work plan.
Identification of specific problems and constraints.
Project expenditures.
Recommendations for corrective measures that may be required.

Data Sources:

Project records/Project staff.
Records from the Ministry of Agriculture/Department of Irrigation and regional/provincial/local government
On-going participatory monitoring
Ministry of Agriculture/Department of Irrigation

I. BUDGET (PLAN OF EXPENDITURE)

Line items and formats vary with the Trust Fund Donor. Typically, a distinction is made between:

(i) Government Contribution in Kind (estimated in local currency)

Personnel
Travel
Miscellaneous/General Operating Expenses
Equipment
Premises
Training, and

(ii) Donor Contribution (estimated in US$)

Personnel
Office Travel
Contractual Services
Supplies and Materials
Furniture and Equipment
Acquisition and Improvement of Premises
Training, Fellowships, Grants and Contributions.

Data Needs:

Personnel (number of person-months and unit costs for national professional and support staff, and for international and national consultant).
Travel (number, itinerary and traveller specifications.
Cost of domestic and international travel, including DSA.
Miscellaneous/general operating expenses (a fixed rate).
Contractual services (details, duration).
Equipment (quantity and unit cost; see also list of equipment in Annex III).
Supplies and Materials (quantities and per unit cost of stationery and supplies).
Premises (description of location and current state).
Training (training needs by categories, numbers, levels, discipline, location and cost per unit).
FAO support cost (fixed rate, which varies by type of project).

Data Sources:

Team Leader
Ministry of Agriculture/Department of Irrigation
Office of FAO Representative
UNDP
Suppliers of equipment
Travel agents

J. ANNEXES

I. Work Plan
II. Training Programme (if required)
III. Equipment/Supplies (if required)
IV. Job Descriptions (if required)
V. Logical Framework Matrix (if required)

Annex I. Work Plan
The detailed work plan, prepared by the project formulators for the entire project duration, is to show how, with the budgeted resources, project activities are to be implemented and outputs produced. For each significant activity the work plan should show the timeframe, the unit responsible and the major inputs required. The work plan is updated every year. A bar chart can be used for presentation.

Data Needs:

Details listing of activities.
Project reporting, reviews and evaluation requirements.
Phasing/timeframe of project activities.

Data Sources:

Main body of project document
Team Leader
Ministry of Agriculture/Department of Irrigation

Annex II. Training Programme

This Annex is required when substantial or complex training programmes are involved. There is no fixed format for this Annex which may be drawn to whatever level of detail is needed for the project; nature and timing/duration of the intended training (workshops, seminars, fellowships, study tours).

Data Needs:

Detailed quantitative estimates of training needs, numbers, level, subject location, duration, cost estimates.

Data Sources:

Team Leader
Ministry of Agriculture/Department of Irrigation
FAO Technical Division concerned

Annex III. Equipment/Supplies
This Annex is required only in projects where the cost of equipment and supplies represent more than 10 percent of the total project cost.

Data Needs:

Nature and specification, quantity and unit cost of individual items.

Data Sources:

Assessment of availability and needs
Donors requirements
Ministry of Agriculture/Department of Irrigation
Team Leader
Local suppliers
On-going development projects
Office of FAO Representative

Annex IV. Job Descriptions
This Annex should provide detailed Terms of Reference/job descriptions for international and/or national experts that would be involved in the project.

Data Needs:

Detailed listing of project personnel, indicating expertise required, location and duration of assignment.

Data Sources:

Ministry of Agriculture/Department of Irrigation
Team Leader
FAO Technical Division concerned

Annex V. Logical Framework Matrix
A useful planning, verification and document writing tool. The matrix should be prepared early in the formulation process and modified as and when need arises. Completing the matrix forces the writer to write concisely and logically when formulating objectives, critically defining indicators of achievement and the means of verification, and discussing assumptions about carrying out the activities.

Data Needs:

See Section C. "Immediate Objective(s), Outputs and Activities"; plus indicators of achievement, means of verification and assumptions for each these levels of the project hierarchy.

Data Sources:

Project request, project concept and project rationale-justification
Ministry of Agriculture/Department of Irrigation