NORMATIVE FRAMEWORK

TRUST FUND PROJECT FORMAT

"Formulation of National Irrigation Policy and Strategy"


(PART II: PROJECT DESIGN)


A. GENERAL BACKGROUND

1. Description of the irrigation sub-sector

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 subsector (role of public and private sector; main features of: (i) irrigation schemes; (ii) state of irrigation infrastructure; (iii) production systems; and (iv) 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 subsector 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 foreign assistance (donors, major activities, and impact).

4. Institutional framework for irrigation sub-sector

Government and parastatal institutions responsible for national water resources and their use (central and provincial level, strengths and weaknesses). 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.
  • Water resources and irrigation potential.
  • Water legislation.
  • Ongoing programmes and relevant policy measures.
  • List of relevant completed and/or ongoing projects.
  • Relevant subsector 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 Government wishes to be addressed. Absence of a coherent policy for the subsector. 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.

4. Project strategy

Explain how the project would assist Government in drafting an irrigation policy and strategy and provide the reasons for the individual policy and strategy elements chosen. Previous efforts undertaken by the Government to promote irrigated agriculture 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 subsector.
  • Major characteristics of irrigated farming systems; major groups of stakeholders.
  • List of major constraints facing the subsector.
  • Main institutions involved in the subsector.
  • Organigram, 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 Government long-term objectives for sustainable agricultural development in general and the irrigation subsector in particular.

Data Needs:

  • Development targets set for the agricultural sector with specific reference to the role of the irrigation subsector.
  • 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

1. Immediate objective 1: To formulate a national irrigation policy and strategy with active participation of the stakeholders.

Outputs
1.1 Output 1: The document of a national irrigation policy with the measures to operationalize the policy through a strategy.

Activities
1.1.1 Activity 1: Review of current state of irrigation subsector.
1.1.2 Activity 2: Analysis of past and present Government strategies and policy objectives for the irrigation subsector.
1.1.3 Activity 3: Review prior and/or ongoing foreign assistance in support of irrigation development.
1.1.4 Activity 4: Identify emerging policy issues which may include legal aspects.
1.1.5 Activity 5: Provide support to policy and strategy formulation.

2. Immediate objective 2: Capacity building.

Outputs
2.1. Output 1: Enhanced capacity of national staff.

Activities
2.1.1 Activity 1: Make proposals for institutional strengthening, human resource development and draw attention to any eventual environmental issues
2.1.2 Activity 2: Holding of workshops with stakeholders to solicit their views and to discuss the draft document:

Data Needs:

  • Major Government objectives for agriculture and rural development.
  • Key data on the irrigation subsector, including water resources and types of irrigation practiced.
  • Main features of the existing irrigation policy.
  • 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 work plan annexed, 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 assessed from 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 affected 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 the 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