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Technical Paper 11
1996 FAO Investment Centre
Food and Agriculture Organization of the United Nations
Table of Contents
Why New Guidelines? Objective and Organisation of the Guidelines Complementarity with Previous Investment Centre Guidelines and Papers
2 3 4
Part 1: Recent lessons and implications for planning
Irrigation in the Context of Water Resources Management Irrigation Types and the Issue of Scale Irrigation Typologies The Issue of Scale Irrigation, Food Supply and Drought Options and Alternatives for Food Supply Rainfed Production of Food as an Alternative to Irrigation New Irrigation Development Intensification of Existing Irrigation Development Low Cost Irrigation Irrigation and Protection from Drought
5 6 6 9 11 11 11 12 13 14 15
Table of Contents
Effective Implementation Implementation Capacity and External Technical Assistance Participation, Ownership and Commitment A Possible Role for Non-Governmental Organizations (NGOs) in Participatory Development Fiscal Sustainability The Need for Cost Recovery Cost Recovery, O&M and Water Charges Users’ Contributions to Capital Costs Water Users’ Associations Water Users’ Associations and Transfer of O&M Responsibility Conditions for Sustainability of Water Users’ Associations Social and Environmental Aspects Choice of Technology The Drainage Dilemma Implications for the Planning Process To summarise, there is growing recognition that:
15 16 17 19 20 20 21 22 24 24 25 28 29 30 31 31
Part 2: The planning process
General The Conventional Planning Process Recent Trends: The Changing Investment Environment The Changing Role of the Investment Centre
34 34 34 35
Table of Contents
Subsector Review and Strategy Formulation Objectives, Approach and Staffing Required Main Topics for a Subsector Review Existing Irrigation Development, Structure and Performance Land and Water Resources and Scope for Further Irrigation or Drainage Development Financial and Economic Viability of Irrigation Government Policies, Priorities and Plans Subsectoral Issues and Constraints Strategy Formulation Defining Strategic Options and Measures Identifying Priority Actions and Projects Building Commitment to the Strategy The Irrigation Subsector Review and Strategy Paper Conceptualising and Comparing the Investment Options Objectives General Approach to the Work and Staffing Required Activities Review of Available Database Reconnaissance Field Visits Topography, Soils and Land Capability Assessments Preliminary Estimates of Irrigation Water Requirements for Possible Crops Preliminary Assessment of Available Water Resources Preliminary Assessment of Drainage Requirements Preliminary Assessment of “Without-Project” Socio-Economic Situation
36 36 37 38 38 39 41 41 45 45 48 49 49 49 49 50 51 51 53 53 54 55 56 56
Table of Contents
Initial Environmental Evaluation Preliminary Evaluation of Institutional Capacity Comparisons of the Likely Costs and Benefits
Estimates of Project Benefits Preliminary Cost Estimates Preliminary Cost-Benefit Analysis
56 57 58
59 59 60
Initial Project Brief Achieving Consensus on Investment Concepts and Options Planning the Preferred Option Objective and Approach Activities for Planning the Preferred Option Engineering Studies Soils and Land Capability Studies Agricultural and Marketing Studies and the SEPSS Environmental Impact Assessment and Action Plans Land Tenure and Water Rights Investigations Institutional Capacity Assessment Estimation of Project Costs and Benefits
Estimates of Project Benefits Estimates of Project Costs
60 61 62 62 67 67 70 70 72 72 73 78
Economic Rate of Return Risk and Sensitivity Analysis Effect on Balance of Payments Income Distribution, Social Impact and Poverty Alleviation Fiscal Implications and Cost Recovery
79 81 82 82 82
Planning for Implementation The Project Dossier Achieving Consensus on the Project Proposal
83 84 86
Table of Contents
Annex 1: Checklist for contents of an irrigation subsector review and strategy paper
Introduction (1 to 2 pages) National Background (2 to 3 pages) The Resource Base (2 to 5 pages) The Irrigation Subsector: Present Situation (10 to 15 pages) Financial and Economic Viability of Irrigation (5 to 10 pages) Opportunities and Constraints to Irrigation Development (1 to 2 pages) Government Priorities and Plans (1 to 3 pages) Strategy for Irrigation Development (5 to 10 pages) Development Proposals (1 to 4 pages) Immediate Actions and Follow-up (1 to 3 pages) Issuaes and Risks (1 to 2 pages) Flow Charts and Logic Diagrams Maps Annexes
101 101 102 102 104 104 105 106 109 110 111 111 111 111
Annex 2: Outline of a typical project document or dossier
Summary and Conclusions (2-4 pages) Introduction (1 page) Background (3-6 pages) A. The Economy B. The Agricultural Sector
113 113 113 114 114
Present Irrigated Agricultural Production F. Rural Institutions. Environmental Impact of the Existing Scheme 114 115 115 115 116 116 117 119 120 121 121 121 121 122 122 122 123 123 . Location and Natural Resources B.Table of Contents vi C. The Financing Institution’s Previous Operations and Experience The Project Area (3 to 6 pages) A. The Economy and People C. Present Condition of Irrigation Facilities G. Infrastructure and Farmers’ Organisations E. The Economy and People D. Description of Existing Facilities C. Location and Natural Resources B. Rural Services. The Irrigation Subsector D. Existing Agriculture. Land Use and Land Tenure D. Income Distribution and Poverty E. Government Subsectoral Policies and Plans F. Support Services and Infrastructure The (Name) Irrigation Scheme: Present Status (3-6 pages) A. Present Arrangements for O&M and Cost Recovery H.
Risk and Sensitivity Analysis 123 124 125 125 127 128 128 131 132 133 134 138 139 139 139 141 143 143 144 145 146 . Economic Costs and Benefits B.Table of Contents vii Existing Institutions and Project Implementation Capacity (3-6 pages) Project Rationale and Planning Considerations (3-6 pages) A. Project Organisation. General Description B. Management and Coordination D. Planning Considerations The Project (Or Programme) (5-10 pages) A. Cost Recovery and O&M E. Impact on Individual Producers D. Market Prospects and Prices C. Institutional Capacity Building F. Detailed Features C. Agricultural Production B. Financing Agricultural Production and Results (4-6 pages) A. Project Rationale B. Impact at Project Level Social and Environmental Implications (2-4 pages) Economic Justification (3-6 pages) A. Project Costs G.
Tables and Annexes 146 146 147 147 147 148 149 149 150 150 151 152 152 Annex 3: Other documentation The Preliminary Planning Brief The Aide Mémoire Back-to-Office Reports Terms-of-Reference for Feasibility and Other Studies Interim or Initial Project Briefs 160 160 161 162 163 164 . Issues B. Activities to Achieve Loan Effectiveness C. Procurement E. Figures. Impact on Income Distribution and Poverty Alleviation E. Fiscal Implications and Cost Recovery Issues and Suggested Conditionalities (1-2 pages) A. Accounting. Activities for Completion in Project Year One D. Audit and Reporting Maps. Effect on Balance of Payments D. Overall Implementation Schedule B.Table of Contents viii C. Commitments and Suggested Conditionalities Implementation (3-6 pages) A.
Table of Contents ix References and Bibliography FAO Technical Papers FAO Investment Centre Papers 166 175 175 .
Robert Rangeley and Tony Zagni (consultants). Janet Francis and Marilou Mechitarian formatted the final text. the responsibility of the Investment Centre. Alice Carloni. Timothy Stephens. The paper benefited from consultations with Volker Branscheid. however. Brian Albinson and Donald Campbell (consultants) on behalf of the International Irrigation Management Institute. Senior and Principal Advisers respectively in the FAO Investment Centre Division. Lucas Horst and Frans Huibers of Wageningen Agricultural University. coordinated by Hervé Plusquellec. coordinated by Robert May. with technical and editorial guidance from Simon Hocombe and Andrew MacMillan. Any errors and omissions remain. Jan Doorenbos. Senior Irrigation Engineer. Paolo Lucani. The Investment Centre would like to gratefully acknowledge the valuable contributions of the external reviewers. Peter Smith. Romano Pantanali. Kingsley De Alwis. Orla WhiteNatalizia. African Development Bank. Jacques Chabloz. .Guidelines for Planning Irrigation and Drainage Investment Projects 1 Preface This Investment Centre Technical Paper was prepared by Tony Peacock (consultant). Linden Vincent. Random DuBois. University of London. as well as Hans Wolter of the Land and Water Development Division of FAO. Constructive comments were made on the draft by external reviewers including: staff of the Asian Development Bank. Laurence Smith of Wye College. and James Dempster. staff of the Agriculture and Natural Resources Department of the World Bank. Michael Fitzpatrick. Michael Wales and several other staff of the Investment Centre. Peris Sinnett-Jones.
Washington DC. A Review of World Bank Experience in Irrigation. Twenty of the projects were later subjected to impact evaluation by the Bank's Operations Evaluation Department (OED). In 1992. 1: For brevity. only two thirds had satisfactory outcomes. of 208 Bank-funded irrigation projects evaluated. 14. the World Bank’s Portfolio Management Task Force reported2 that major problems that constrain the performance of World Bank financed investment projects in various sectors.8% at project completion audit. and • a lack of commitment to the success of the project by governments and users. are: • inadequate consideration of institutional constraints and poor planning for implementation. and only 9. World Bank. and for these the average outcomes were 17.7% at appraisal. Operations Evaluation Department. governments and financing institutions alike (see Box 1). Washington DC (1992).The Performance of World Bank-Financed Irrigation Investment Projects A recent World Bank review of its experience with irrigation investment projectsa found that. World Bank. Nevertheless it is widely accepted that the overall performance of irrigation and drainage1 investments has too often fallen short of the expectations of planners. . However it should be taken to include drainage as appropriate throughout. (1994). Report of the World Bank's Portfolio Management Task Force (often referred to as the Wapenhans Report). the single word "irrigation" is most often used for the rest of the text. a: Report No 13676.3% at OED impact evaluation. it may also imply reclamation or water control generally. 2: Effective Implementation: Key to Development Impact. The Bank concluded that the initial assessment that two thirds of its projects had satisfactory outcomes may be too sanguine. and that there is ample room for improvement. Even those projects rated as satisfactory indicated a substantially lower economic rate of return at evaluation (average 15%) than expected at appraisal (average 22%). Box 1 .Guidelines for Planning Irrigation and Drainage Investment Projects 2 Introduction WHY NEW GUIDELINES? Irrigated agriculture has made a major contribution to food production and food security throughout the world: without irrigation much of the impressive growth in agricultural productivity over the last 50 years could not have been achieved.
The intended users are FAO Investment Centre staff. and detailed planning of the preferred option(s). The World Bank Task Force stressed that the ultimate success of a project is to a significant degree determined by what happens in the “upstream” planning process. These findings are now considered generally valid by other international financing institutions and donors. the first part (blue paper) briefly discusses the main lessons learned in recent years and their implications for the project planning process. and poor operation and maintenance resulting from inadequate budget allocations or from rent seeking1 by the users. Following this introduction (white paper). social and economic problems. lenders and planning teams in it. Some of the material may also be useful to consulting firms and financing institutions involved in planning or appraising such projects. Economic rent can be earned even in the case of an activity that is socially unprofitable. therefore make new guidelines essential and timely. • lower than expected output values. The Guidelines are divided into two main parts. land tenure. from formulation of subsectoral strategies. and the 1: Economic rent is the income earned from the use of an input (in this case water) in excess of its cost. or over-irrigation. or are accompanied by. such as: • implementation delays and cost overruns. • social problems. and that many implementation problems can clearly be traced to deficiencies here. trainees and consultants. • unreliable water supplies. • premature degeneration of civil works and equipment. as well as local planning groups (LPGs) set up by governments to prepare investment proposals. due to poor technical performance or reflecting inaccurate price projections by planners. to conceptualisation of project options.Guidelines for Planning Irrigation and Drainage Investment Projects 3 In the case of irrigation investments these problems are manifested in poor project management. a host of other technical. equity. and the new approaches that have been developed to tackle them. OBJECTIVE AND ORGANISATION OF THE GUIDELINES The objective of these Guidelines is to summarise present thinking and practice. and to assist practitioners to plan irrigation investment projects and programmes that will realise and sustain their full potential. Guidance covers the whole investment planning process. ie uneconomic. the roles of the borrowers. . both at implementation and thereafter. including problems of organisation. The second part (yellow paper) describes the process itself. The lessons learned regarding these problems. if government subsidies relieve the farmer from the requirement to pay for part or all of the input. waterlogging and salinity. These core problems usually give rise to.
. The following Investment Centre Technical Papers complement and should be read in conjunction with these Guidelines: • Technical Paper 7: Guidelines for the Design of Agricultural Investment Projects (1993. Relevant technical papers produced by other FAO Divisions are referred to where appropriate in the text. With regard to Investment Centre standards for report format. • Technical Paper 9: Guidelines on Sociological Analysis in Agricultural Project Design (1992). revised 1995). at the end of the document. which are covered in numerous FAO. Thus Annex 1 gives a checklist for a typical report on an irrigation and drainage subsector review/strategy formulation. although if it is intended to use any part of a report in an appraisal report of a financing institution. the format may instead need to conform to that of the institution concerned. COMPLEMENTARITY WITH PREVIOUS INVESTMENT CENTRE GUIDELINES AND PAPERS These Guidelines update the 1984 paper Identification and Preparation of Irrigation Projects produced by the FAO/World Bank Cooperative Programme. including both new and perennial issues in irrigation planning. rather than the now wellestablished stock-in-trade technical aspects of irrigation planning. Brief descriptions of other documentation that might be required during the planning process are given in Annex 3. The remainder of the document (white paper) presents checklists which seek. World Bank Technical Paper 256. • Technical Paper 8: Financial Analysis in Agricultural Project Preparation (1991). Design and Operation of Smallholder Irrigation in South Asia. In addition. Annex 2 provides an outline for a typical project dossier. however. World Bank. for use by a financing institution for project appraisal. to be fully comprehensive. Washington DC (1995) which addresses most of the technical and operational issues and problems arising in irrigation/drainage system design. World Bank and other papers1. most of the purely technical content of that document remains valid and is repeated where appropriate in Annex 2 of these Guidelines. a draft of which was circulated for comment in March 1995. the reader’s attention is drawn to a forthcoming Investment Centre publication Building Local Commitment During the Design of Agricultural Investment Projects: The Experience of FAO’s Investment Centre. It deliberately focuses on new thinking and new approaches to the planning process. 1: For example Donald Campbell. Numerous other sources are listed in References and Bibliography. reference should be made to the in-house Guidelines for Report Format.Guidelines for Planning Irrigation and Drainage Investment Projects 4 activities and outputs expected.
water issues have been the focus of increasing international concern and debate1. as will conflicts between water users. in the World Bank Policy Paper Water Resources Management. world food supply will depend even more on irrigation in the next century than in the present. than irrigation. it is pertinent to examine recent lessons learned from experience and their implications for future planning. Rome (1995).more than 80 percent. on making better use of existing irrigation facilities and on increasing output value per unit of water used. as populations expand and economies grow this competition will intensify. UNDP and FAO). Even so. a unit of water than agriculture. for example. have recently made new irrigation development increasingly difficult to justify. IRRIGATION IN THE CONTEXT OF WATER RESOURCES MANAGEMENT In recent years. social and environmental implications of investment in irrigation. together with typically high development costs. both for new development and rehabilitation. also that low world prices for basic food and fibre crops. FAO. Planners should seek to establish the conditions that will promote this focus. it is likely that in future the water sector will be less 1: The background to this is described. The main lessons are that water is an increasingly scarce resource for which there are many competing demands that are more profitable. More than two thirds of the water withdrawn from the earth’s rivers is used for irrigated agriculture. Hence governments and financing institutions are being forced to reconsider the economic. Washington DC (1993) and in Land and Water Bulletin 3 Water Sector Policy Review and Strategy Formulation: A General Framework (prepared jointly by the World Bank. But agriculture is a relatively low-value and often highly subsidised water user. Competition for water with other sectors is already constraining economic development in many countries. or between countries where such competition transcends international borders.Guidelines for Planning Irrigation and Drainage Investment Projects 5 PART 1: Recent lessons and implications for planning Since the ultimate success of an investment is largely determined by the quality of the upstream process of planning. and earn a higher economic rate of return from. Cities and industries can afford to pay more for. World Bank. in developing countries the proportion is even higher . socially and economically. As a result. . Future irrigation investment must therefore focus on lower cost solutions.
the nature of the water source. 1: See for example: Land and Water Bulletin 3. Furthermore. Rome (1995). Numerous typologies are commonly used. The need for project planning to be in strict conformity with such strategies nevertheless cannot be overemphasised. Rome (1995). Processes and Practices. The Guidelines therefore do not cover the principles and processes involved in water resources management strategy formulation. and that investment finance could be made available for its development. such as size. some categorisation of irrigation may be thought desirable. as a precondition to lending for irrigation. The 1993 World Bank policy paper Water Resources Management crystallises much of the present thinking of governments and financing institutions with regard to the overall management of water resources. These Guidelines however start from the assumption that water policy reviews have indicated that irrigation is a justifiable option within the context of a country’s overall water resources management strategy. It calls for new approaches. including demand management. FAO. FAO. which are well covered elsewhere1. In countries with significant water management problems. legal. for example. and whether schemes are operated publicly or privately. many of the problems confronting publicly financed irrigation transcend scale. Definition by size presents difficulties on a global level. . FAO. and some attempts at categorisation have confused “small-scale” with “traditional” or “informal” irrigation.Guidelines for Planning Irrigation and Drainage Investment Projects 6 dominated by irrigation. Rome (1995). January 1995). UNDP and FAO). IRRIGATION TYPES AND THE ISSUE OF SCALE Irrigation Typologies With about 250 million hectares irrigated throughout the world in vastly different climatic and socio-political environments. The implication is that loans for irrigation development will not be made where this will prejudice other more profitable or socially desirable uses of water. Water Report 6 Methodology for Water Policy Review and Reform (Proceedings of the Expert Consultation on Water Policy and Reform . the international financing institutions increasingly require the preparation of water resources management strategies to guide the lending programme in the water sector. .Rome. institutional and other policy interventions to influence the demand for water in order to improve the efficiency of its use. since. Irrigation and Drainage Paper 52 Reforming Water Resources Policy: A Guide to Methods. Water Sector Policy Review and Strategy Formulation: A General Framework (prepared jointly by the World Bank. and in some countries water formerly used for agriculture is already being reallocated for higher-value uses.that is to say the use of economic. what might be considered large-scale in some countries in Sub-Saharan Africa would be considered as only small or medium-scale in South Asia.
The design and operation of a rice-growing irrigation system is significantly different from that for other crops: rice fields are waterlogged to reduce the weeding requirements.g. because of their fundamentally different characteristics. This definition includes for example stateowned large-scale estates (e. Even this is difficult to define precisely. and large-scale through to small-scale smallholder irrigation schemes set up under government authority. and operated and maintained in the same way. for sugar cane production). rather than the usual categorisation by scale.Guidelines for Planning Irrigation and Drainage Investment Projects 7 Definition by the type or nature of the water source does not recognise the very different characteristics of major public surface water schemes based on dams in the USA. a further distinction can be made between rice schemes. Once the crop is established rice schemes usually receive a small but continuous flow to maintain flooded conditions. 1: Rice schemes nevertheless require adequate surface drainage. field-to-field irrigation is acceptable because a down-catchment farmer will often use what an up-catchment farmer wastes. private irrigation can be defined as any irrigation in which farmers (or a private sector group) have the dominant financial interest or management responsibility/control. it is dominant where water is cheap and plentiful. public irrigation is defined here as any irrigation in which government has the dominant financial interest or management responsibility/control. Since the rice plant tolerates waterlogging and needs much more water to thrive than almost all other of the major irrigated crops. Irrigation systems designed for other crops do not usually suit rice very well. . since the share of public versus private resources can vary widely between schemes. which comprise more than half of the world’s irrigation. irrigation could perhaps be categorised globally as either public or private. Conversely. Public irrigation may range in size from schemes of hundreds of thousands of hectares. maize and especially cotton will die under these conditions1. and small community-managed tank irrigation schemes in Sri Lanka. From the technical viewpoint. but in each case these are initiated and developed under public authority and control. For the purpose of these Guidelines. Non-rice projects are generally found in the drier or cooler parts of the developing world. Nevertheless. and vice-versa. whereas crops such as wheat. down to very small schemes of 10 ha or less. and non-rice schemes. ie by the degree of endusers’ commitment of resources to. notably in the humid eastern side of South Asia eastward through to Japan and Indonesia. the system. and control over the operation of. for example. joint ventures between government and quasi-government financial institutions. as total inundation of the crop leads to significant yield losses.
and privately owned sugar estates. the planning and investment trend in publicly financed irrigation is to emulate those characteristics of private irrigation that make it generally self-sustaining. pay. to spate irrigation systems in Southern Arabia. from small plots of paddy in South-East Asia. vegetables or fruit. drip or micro-jet. . implement. contribute at least a part of the capital costs. even though government may sometimes facilitate development or provide incentives. communities. farmers take their own investment decisions. As will be seen. the swamp and flood recession areas with partial water control in Sub-Saharan Africa. Some of these systems are hundreds of years old. financed. with units ranging in size from a few hectares to several thousand hectares. for the production of flowers. These characteristics impinge on many of the basic decisions for development planning and imply fundamental influences on the investment approach. in which case they are often referred to as traditional irrigation.Guidelines for Planning Irrigation and Drainage Investment Projects 8 It includes: • Farmer-managed irrigation schemes (FMIS) of a few hundred square metres to a several thousand hectares. developed. shallow tubewells in the Indo-Gangetic Plain. at times. operate and maintain. operated and managed by individuals or privately owned companies. 1: e. • Commercial irrigation. and accept full responsibility for operation and maintenance (O&M).g. and in most cases farmers effectively receive a subsidised service. Thus farmers must be involved in the planning decisions. the survival strategy of the poor. tank irrigation systems elsewhere in South Asia. Public irrigation therefore tends to be supply-driven and may incorporate political or social objectives. and generally for the production of basic food or fibre crops and vegetables for local markets. to larger overhead or surface irrigated schemes for the production high value field crops such as tobacco. Examples may be found throughout the world. and carry the risks. The most important differences between public and private irrigation as defined above are that: • in public irrigation it is the government that plans. or local rulers and landowners. This category would include for example localised1 irrigation systems of 1-2 ha in extent. qanat systems in Iran. independently of government. • in private irrigation. operated and maintained by individuals. while private irrigation is demand-driven and reflects financial objectives or. finances and implements. The features that make successful private irrigation self-sustaining should if possible be emulated in planning public irrigation investments. families. Afghanistan and Pakistan.
and should therefore enjoy better prospects for sustainability. and international project planning teams such as those provided by the Investment Centre. implement. Washington DC (1994). Ministers). public interest groups. it can be argued that where irrigation institutions . There are numerous other arguments for and against large or small irrigation schemes: for example. government implementing and operating agencies (senior and middle level management of line ministries) who may be subsequently responsible for project implementation. Smaller schemes are more conducive to farmer management and control. where there is a lack of capacity to plan. there are many examples of the development of small public irrigation systems. efficient operation and adequate and timely maintenance.public or private . attract better management. (NGOs) and private sector companies.are still relatively weak. larger developments should encourage more Government support. for certain irrigation types. but not in others. On the other hand. 2: The term stakeholders includes all individuals who may be positively or adversely affected by the project: government planning agencies (planning units. there is no evidence to suggest that small-scale irrigation is more or less likely than large-scale to achieve success. As will be seen. quality construction. Operations and Evaluation Department. that have overstretched the logistical and staffing capabilities of irrigation agencies and have eventually failed. there are more important issues than scale: the overwhelming experience is that what is important in predisposing irrigation to success is the extent to which it enjoys the commitment of stakeholders2 to good engineering design. judged in terms of sustained economic internal rate of return (ERR). Thus. and market limitations for the crops produced often make such schemes the only viable choice. generalisation should be avoided and the issue of scale should be approached considering the individual circumstances of the project and institutional capacities in the country concerned. scattered over a wide area. Many of the arguments are valid in some countries. including water users' associations (WUAs) or other farmers' organisations. attention should focus on smaller developments. operation and management. 1: Report No 13676: A Review of World Bank Experience in Irrigation. financing institutions. the obvious economies of scale and multiplier effects of large schemes (see Box I-1). World Bank. operate and manage large schemes. be easier to organise. senior decision-makers. non-governmental organisations.Guidelines for Planning Irrigation and Drainage Investment Projects 9 The Issue of Scale According to a recent World Bank review of its experience in irrigation1. Nevertheless. community-based organisations. . In theory. individual farmers.
Longer period required to bring complete project into production. Economies of scale result in costeffective provision of extension services and social/economic infrastructure. implementing. implementing. financing. hence lower unit costs. Greater opportunity for farmers to participate in planning. Relatively complex organisation and management requirements. operating and maintaining. Often quick yielding. scope for farmer management limited to tertiary system.Large versus Small Irrigation Schemes Large Scale For: Engineering economies of scale usually possible. operating and maintaining. Relatively simple organisation and management. Small Scale For: Usually less exacting technical demands for high level professional skills for planning. Against: Demand for high level professional skills and institutional capacity in planning. Greater potential for irreversible adverse environmental and social impacts. such as displacement of settlements or disruption of wildlife habitats. Fragmented distribution results in more difficult logistics for implementation. operating and maintaining. Smaller risk of irreversible adverse environmental and social impacts Against: Diseconomies of scale sometimes result in relatively longer period required to plan and implement (per ha developed). Borrowers more disposed to take the actions necessary to ensure that project succeeds.Guidelines for Planning Irrigation and Drainage Investment Projects 10 Box I-1 . Better adapted to supplying local markets with (high value) horticultural products without depressing prices. hence greater recurrent cost burden to government or other central authority. extension coverage and provision of social and economic infrastructure. Easier physical planning of contiguous blocks than scattered areas. implementing. . Greater regional impact of secondary benefits.
Rome (1987). the potential for stabilisation or intensification of existing rainfed production by increased use of agrochemical inputs is also technically limited: either the possible gains have already been achieved. World Bank. Investment Centre Technical Paper 10: Agricultural Investment to Promote Improved Capture and Use of Rainfall in Dryland Farming. 1: See Soils Bulletin 57: Soil and Water Conservation in Semi Arid Areas.Guidelines for Planning Irrigation and Drainage Investment Projects 11 IRRIGATION. FAO. even though irrigation development cannot. Hence. FOOD SUPPLY AND DROUGHT Options and Alternatives for Food Supply As populations in some developing countries continue to grow faster than increases in food production. or they are unlikely to be achieved because of aversion by farmers to the known risks of investing in improved inputs in marginal rainfall areas. These are discussed below. However where land resources are scarce. before contemplating further irrigation development the potential for increased food output from rainfed areas should be considered. In the less well-endowed areas particularly. FAO. supply can be expected to depend to an even larger extent on irrigation in the next century than it has in this. There may be prospects for obtaining sustainable production increases under rainfed conditions through relatively simple low cost technologies: for example improved in situ water conservation techniques1. with a risk of increased deforestation. further area expansion of rainfed food production could increasingly involve more marginal areas. Rome (1995). the options for meeting the consequent incremental demand for food need to be considered. soil erosion and general land degradation. Washington DC (1993). and the adoption of integrated pest management (IPM) and integrated plant nutrient management (IPNM) strategies. Rainfed Production of Food as an Alternative to Irrigation Although between 30 and 40 percent of the world’s food at present comes from the irrigated 20 percent of total cultivated land. and perhaps should not. be relied upon to meet the entire future increase in demand for food. Land and Water Division. . also Technical Paper 221: Conserving Soil Moisture and Fertility in the Warm Seasonally Dry Tropics.
Indeed. the expansion of irrigation over the last 50 years has been a major factor in the decline in prices. as much as the availability of suitable sites. will determine the pace of investment in new irrigation. world market prices for basic food crops have recently shown signs of recovery. However. the demand for food begins to outstrip supply. 2: Investment Centre Technical Paper 5. In many countries however the better irrigation sites are already developed. Rome (1986). and new projects could be expected to cost even more per hectare than those developed in the past. in the absence of any better alternatives. . unless lower cost technologies can be devised and introduced. and if this trend were to continue it could significantly alter the profitability of production of such crops under irrigation.Guidelines for Planning Irrigation and Drainage Investment Projects 12 New Irrigation Development Increased production through new irrigation development is nevertheless increasingly difficult to justify economically for the production of basic foods. the analyst can do no more than attempt best guesses based on the Bank's forecasts. also Annex 2 of Investment Centre Technical Paper 52). This is today’s challenge to irrigation engineers. Nevertheless.rather than for basic foods. In this situation markets. for the foreseeable future any expansion of irrigation for the production of basic foods will only be possible if substantial reductions in per hectare capital costs of new development can be achieved. because of the decline in world market prices for these crops1 and typically high per hectare capital costs (see Box I-2. or explore possible future differences between forecast and actual prices through sensitivity analysis.for which markets and marketing are usually constraints . New irrigation development in these countries may therefore increasingly be justified only for the production of relatively high value crops . since it has caused relatively strong growth in supply of rice and wheat compared with growth in demand. and the use of current World Bank price projections for project analyses may be inappropriate3. 3: Doubts over the use of World Bank price forecasts for food and fibre crops have often been expressed. The situation may change in the longer term if. In this case prices might reasonably be expected to approach the marginal cost of irrigated production. 1: Paradoxically perhaps. Irrigation in Africa South of the Sahara. FAO. as world population grows.
the main reasons for declining investment are the increasing real costs per hectare of new irrigation development and decline in world rice and wheat prices.744 to US$4. the declining share of unexploited irrigation development potential in many countries in the region. over the period.9% annually since the early 1980s. the rate of growth of yields increased from 1.1% in 1974-82. Asian Development Bank. For rice. from 3. has slowed to 1. Aggregate lending and assistance for irrigation in Asia in the 1970s and 1980s by four major financial institutionsa reached its peak in real terms in 1977-79. By the mid-1980s it was less than 50% of the 1977-79 level.7% per annum during 1958-66 (before the spread of modern technology) to 2. the primary contributor to rice output growth throughout these periods. However. However. Intensification of Existing Irrigation Development Given that the cost of new irrigation development for food production is increasingly difficult to justify. to 2. and that the tendency is for existing irrigation systems to perform below potential. Similar trends have occurred with wheat output. Asian Food Production in the 1990s The introduction and rapid spread of high-yielding rice and wheat varieties combined with heavy investment in irrigation and rapid growth in fertiliser use in the late 1960s and the 1970s resulted in strong growth in output of these crops in Asia. a: World Bank. representing a swing of a factor of 5 in the ratio of costs to benefits. it is logical to consider . and US Agency for International Development.385 per ha. The annual growth rate in rice output therefore declined in the 1980s.Guidelines for Planning Irrigation and Drainage Investment Projects 13 Box I-2. February 1993. Asian Food Production in the 1990s: Irrigation Investment and Management Policy.2% during the period beginning in 1982. and political resistance from environmental interests and those displaced or otherwise negatively affected by irrigation development. What has caused this decline in investment? Contributing factors include the large public and foreign debt loads carried by most of the agriculturally based economies in the region. Source: Mark W Rosegrant and Mark Svendsen (1993). the unweighted average for which increased by a factor of 2. but little after that. Area expansion contributed about one-third of Asian rice output growth during 1966-74. Reductions in the amounts of new investments in irrigation have been dramatic. Japanese Overseas Economic Cooperation Fund. “Food Policy”.5.9% during 1974-82. Rosegrant and Svendsen presented real capital costs for construction of new irrigation systems in five countries in South and SE Asia over the period 1966-88. growth in rice yield. The real price of rice and wheat over this period was halved. from US$1.
other opportunities exist for low cost irrigation. The identification of opportunities for such improvements may therefore be a priority for planners. in various parts of the world. It is important here to note the important distinction that has been made between an endless cycle of rehabilitation. Apart from traditional irrigation systems. Traditional irrigation systems are often characterised by poor water control. However. have been developed on the initiative of farmers rather than governments. In many cases improved water control can be achieved at comparatively low cost. the scope for obtaining increased food production from these systems could be significant. These. often linked to management transfer to the users (see Chapter 7). and consequent low cropping intensities and yields. and is often easily justified by the incremental production that can be achieved as a result. economic and sociological analysis to arrive at solutions. Sectoral loans aimed at such improvements have become an important part of the portfolios of the financing institutions.Guidelines for Planning Irrigation and Drainage Investment Projects 14 intensification and increased output from existing systems. The investment emphasis in recent years has therefore shifted towards improving the latter. Thus. which involves making existing schemes work better. These. Low Cost Irrigation The above discussion focuses on irrigation development in formal systems and takes no account of the existence. responsibility and control. including systems based on the use of clay pots for the storage and gradual release of irrigation water. of large areas of informal or traditional irrigation. Upgrading usually calls for engineering. and upgrading. and have continued their existence in the same way. which is simply deferred maintenance. and other similar devices. taking advantage of sunk costs to achieve incremental production at low incremental cost. it must also be noted that the most important feature of these systems is local initiative. They make efficient use of scarce water. proposed improvements should avoid inadvertent transfer of responsibility to government. given that in some countries the area under traditional irrigation far exceeds the area under formal irrigation. by definition. but are in general unsuited to large scale food production1. . are often nutritionally important for local communities because they are generally used for fruit and vegetable production. particularly for localised irrigation. 1: There are exceptions to this rule: one such system has been satisfactorily demonstrated for the irrigation of cassava in some Sahelian countries.
irrigation development in these areas may not be a fully effective means to combat recurrent drought. It could therefore be argued that in these circumstances irrigated agriculture is more vulnerable to drought than some less intensive forms of agriculture. EFFECTIVE IMPLEMENTATION Experience to date. well summarised in the 1992 report of the World Bank’s Portfolio Management Task Force referred to earlier. Further research is necessary. such as the Sahel. sound construction and financial viability for the users are of course equally important. These have limited markets and will bring primary benefits to only a few of the people normally at risk. This requires: • that the implementation requirements of the project are matched to local institutional capacity. • commitment to the project. quick fixes for these problems. although at first sight there would appear to be no apparent alternative for improving local food security. Thus. is undoubted. built on stakeholder participation and local ownership. irrigation does not always provide full insurance against drought. rural poverty and food insecurity. Policy assumptions that automatically equate irrigation development with the elimination of drought risks in such areas should be regarded with caution. even where irrigation potential remains unexploited in these areas. makes it clear that a key condition for sustainable development impact from irrigation investments is implementability. Here the value of irrigation in “drought-proofing”. Moreover. its development cost nowadays will often only be justified by high value crops. such as good technical design. Other factors. In other areas subject to repeated and prolonged droughts. But experience indicates that in the past irrigation professionals have often underestimated the attention which also needs to be given to implementability. including opportunities for non-farm rural employment. There are unfortunately no easy. aimed at developing viable technical packages that consider the recurrent drought cycle. . northeast Brazil or southern and eastern Africa. despite its superficial appeal. In much of Sub-Saharan Africa for example rivers and dams dry out and groundwater levels drop in years of recurrent drought. by creating greater yield stability and outof-season food production.Guidelines for Planning Irrigation and Drainage Investment Projects 15 Irrigation and Protection from Drought In many regions of the world the major river systems have their headwaters in high rainfall or snowmelt areas and flows are relatively insensitive to droughts in agricultural areas downstream.
Technical assistance can then be applied selectively. undermining the development capacity in Africa because most of their technical assistance was imposed. are fast destroying the development capacity of Africa due to conditionalities tied to their aid. detailed start-up and implementation plans have generally been considered as beyond the ambit of the identification/preparation teams’ work. including the World Bank. 27 May 1993) International donors.. If necessary the project scope and content may be reduced to match existing implementation capacity. otherwise we are not going to succeed in the development effort in Africa. I am including the World Bank ... He charged that resident expatriate technical assistance officials were systematic destructive forces. in effect. bringing no sustainable improvement (see Box I-3). I. there is no demand for it really. That this was inappropriate is now clear and a new approach has been found necessary: projects should be planned to match local capacity for implementation. except on the donor side. and in effect substitutes for local management rather than strengthens it.The World Bank and Capacity Building (Extract from The Financial Gazette. the World Bank vice-president for Africa region has said and warned that this could defeat the continent’s economic recovery programmes. for genuinely sustainable capacity to be built. When I talk about donors. This has got to stop. “It (technical assistance) is not welcome. He said very scant attention was paid to appropriate project design. Mr Edward Jaycox. The planning process should therefore give specific attention to an analysis of institutional capacity. for one. Harare.Guidelines for Planning Irrigation and Drainage Investment Projects 16 Implementation Capacity and External Technical Assistance The conventional identification/preparation approach of the past has often resulted in arriving at a project plan only to find a mismatch with local capacity to implement it.” Mr Jaycox said in Washington last week.. “The donors and African governments together have. or at least as fast. So we throw money and technical assistance at this. Money and technical assistance is then provided to bridge the gap. there was a need to create a demand for professionalism on the continent. In the conventional planning process. undermined capacity building in Africa. This is in fact. . Well.” he said.expatriate management substituting for domestic management”. an endemic problem in the donor community . Technical assistance frequently then crowds out any local capacity. and to providing a detailed plan to enable the implementers to prepare themselves for carrying out the tasks expected of them. which implies that planning teams should first acquire a thorough appreciation of this capacity. it has not and I do not think it will . Box I-3 . “We design a project and then we find a big mismatch between the project design and the local capacity to carry it out. They are undermining it faster than they are building it. would like to see this changed. Mr Jaycox said to alleviate Africa’s capacity building problems. thinking that will bridge the gap. rather than indiscriminately as often in the past.
from the poorest illiterate smallholder to the richest well-educated commercial farmer. but taking time over stakeholders’ participation in planning does not necessarily mean delay. hydrology. by preparing the implementers. and so on. and consequent commitment to. or at least those with some experience or knowledge of irrigation. 1: This is the basis of genuine demand-driven development. such as temporary wage employment on scheme construction. from their detailed local knowledge of weather patterns. It can often pay dividends. This requires that the project planning process should allow time for the borrower and users to participate in. Experience has shown that the ultimate scheme design almost always benefits from involving the users in the planning process.Guidelines for Planning Irrigation and Drainage Investment Projects 17 Participation. Ownership and commitment by the users are unlikely to be achieved unless they consider that the project would meet their felt needs1 and they have a stake in the equity . Communities often have strong preferences regarding the nature and location of development that would influence planning. the planning process. government irrigation engineers. has seldom allowed time for genuine participation (which should go beyond mere consultation). and any potential losers to have a substantive influence on decisions that affect their future. ensuring smooth start-up.that is. Ownership and Commitment Successful implementation requires participation in the planning and implementation process by all stakeholders. usually have practical ideas of what works and what does not. for their part.even if the prospective users promise or agree to make a contribution at some later date. Undue delays in project approval and implementation are undesirable. Soliciting or orchestrating requests from farmers for government investments in irrigation is not . or because of concerns that participation might delay implementation or result in design changes that compromise the quality of the final product. in order to create a sense of ownership of. carried out against tight deadlines by external planning teams. Often farmers are driven by other motives in these circumstances. the project. Farmers. markets. they share in or bear all of the investment costs. or preferably drive. have usually seen irrigation only from an engineering. On implementation. such as aligning a canal to avoid excavation in sacred ground. building farmers’ committment to change. soils. and ultimately lead to more rapid implementation and a more sustainable development impact. and they later lose interest in the irrigation scheme. not least for the farmers. rather than a farming or social. They have been reluctant to adopt participatory approaches with farmers. either by government staff or farmers. perspective. mainly because of a misplaced belief that farmers are unable to understand or make any contribution to technical matters. . The conventional sequence of identification/preparation. Building ownership and commitment through participation has often been difficult to achieve in the past.
Indonesia frequently reported that during construction they had approached construction labourers or supervisors in the field to suggest changes and were usually told that the design had been established by the government and could not be changed. farm boundaries and the conjunctive use of alternative water sources (in this case from natural waterways or from return flow). Altogether. Thailand. as a possible source of system design input.Second Approximations: Unplanned Farmer Contributions to Irrigation Design Farmers interviewed on the Kosinggolan Scheme of the Dumoga Irrigation Project in North Sulawesi. Source: Vermillion D. particularly if the farmers themselves are expected to take a share in the equity by contributing to the investment costs. are still usually ignored. Others waited until construction was finished and the contractors had moved on before altering the structures. making new flumes.. channels and ponds. Other actions included redirecting project channels into drains or streams. destroying project flumes and lining channels. Sound engineering is essential. to take advantage of the invaluable store of cross-disciplinary knowledge that farmers possess about the existing system. Often farmers relocated the construction markers when the crews had left. Proceedings of an International Workshop of the Farmer-Managed Irrigation Systems Network held at Chiang Mai. 27 design alterations were identified in the sample blocks. but it can nonetheless take account of the farmers’ experiences and preferences. . Several cases involved relocating channels to follow farm boundaries. Many cases involved multiple alterations which were interconnected. Colombo. Sri Lanka (1990). IIMI. As will be seen from Chapter 5. and as a result schemes are often inappropriately planned (see Box I-4). The most common kinds of alterations observed were channels being relocated. project channels being abolished or not used. in Design Issues in Farmer-Managed Irrigation Systems. Box I-4 . December 1989. Yet farmers. Projects that involve the displacement and resettlement of people can only be planned and implemented effectively if those affected are involved in the planning process and their suggestions and concerns taken fully into account. to accommodate low water requirement crops or to continue to make use of pre-existing farmer-built structures such as small weirs. involving farmers in system design can also often result in significant cost savings.L. and channel offtakes or division points being relocated. streams being diverted or ponded.Guidelines for Planning Irrigation and Drainage Investment Projects 18 Participatory or consultative planning is essential in rehabilitation projects or the upgrading of traditional farmer-managed irrigation systems. The most frequent reasons reported by farmers for making design changes related to questions of conveyance and distribution efficiencies. adjusting division box gates to alter water divisions. making new channels.
Colombo (1987). While non-governmental organisations vary in their ability to work with the poor and to cooperate with government agencies. Farmers may therefore require considerable persuasion to commit themselves to participate. to provide technical assistance services to animate participation. In the context of these Guidelines the acronym NGO is used in a narrower sense. water users' associations. and until this is achieved they may not be in a position to implement participatory development. However. See An Evaluation of NIA's Participatory Communal Programme. though possibly unreliable. non-profit making organization. Some bureaucracies have successfully employed young graduates in social science to work directly with farmers to assist the latter to mobilise and organise themselves to participate in project planning and construction2. farmers may still hesitate to cooperate fully with persons they regard as government agents. especially if they have been the losers as a result of incompetent or corrupt practices. 2: For example. several of them have undertaken this role successfully. caution is necessary to avoid any suggestion that NGOs should replace local institutions: to do so would generally be counterproductive. irrigation services and are now expected to bear more of the costs. They may also often assist in capacity building by training government staff in this role. 3: e. In this case what is often required is a non-governmental intermediary. especially if in the past farmers have received free. the National Irrigation Administration in the Philippines. Participation usually also requires behavioural change in irrigation bureaucracies. for various reasons it is often difficult for irrigation bureaucracies to attract and retain such staff.g. However.Guidelines for Planning Irrigation and Drainage Investment Projects 19 A Possible Role for Non-Governmental Organizations (NGOs)1 in Participatory Development Farmers may be as uninterested in participation as government irrigation bureaucracies. Even if such staff can be recruited. Instead. 4: e. . suitably qualified and motivated NGOs may be subcontracted. generally working at the grassroots level. village or district councils. to mean a charitable.g. either by local government3 or through the farmers’ own administrative structures4. 1: Some reports define all groups which operate outside the public sector as NGOs. They may often be suspicious of government officials. to identify community needs and voice them on behalf of the otherwise voiceless. IIMI. Public Intervention in Farmer-Managed Irrigation Systems.
estimated in an FAO study to be 5-7 percent of gross farm income. taxes. the Muda farmers’ combined payment of water charges. water charges and land taxes remained far short of meeting O&M costs. for example. and the production tithe covered all the O&M costs plus 20 percent of capital costs (at 10 percent annual interest). Box I-5 . Source: OED Report No 6233. partly because of the heavy burden on farmers of zakat. In a case study of the Muda Irrigation Project in Malaysia. as well as the indirect return to the government resulting from controlled prices were taken into account. Johns Hopkins University Press (1982). 1: Bell. in order to permit longer term replication of investments. World Bank Lending Conditionality: A Review of Cost Recovery in Irrigation Projects.Cost Recovery: Setting the Appropriate Level A 1986 World Bank Operations Evaluation Department (OED) report described serious cost recovery problems on the Muda project in Malaysia. However. Washington DC. the audit report concluded that if the zakat. without which some worthwhile projects may not have been constructed. although indirect recoveries in the form of agricultural taxes or generally negative terms of trade for the subsector have in some cases been important (see Box I-5). Clive.Guidelines for Planning Irrigation and Drainage Investment Projects 20 FISCAL SUSTAINABILITY The Need for Cost Recovery Economic efficiency and fiscal sustainability demand that the capital costs of irrigation infrastructure should eventually be recovered from the users. . The prospects for raising direct cost recoveries were considered poor. In these cases capital costs not recovered may not really be subsidies if all the secondary benefits of irrigation development are taken into account. a religious tithe. June 1986. It has also been argued that the complexity of some irrigation and drainage schemes justifies state intervention and subsidising of part of the investment costs. In practice few countries have ever succeeded in recovering much more than the O&M costs of public irrigation directly. it was found that for every dollar of value added generated directly by the project. Peter Hazell and Roger Slade. World Bank. another 80 cents were generated downstream1. where at the time of audit. Project Evaluation in Regional Perspective. and a substantial sales tax collected from produce in the region.
for example on public schemes in Morocco. There is also the difficulty of volumetric measurement. hence greater willingness to pay on the part of the farmer. But this usually takes the form of an area or crop-based fee that provides no 1: See Vollrath T. in which case measures should be taken to correct the situation.L. The first of these can be overcome to a certain extent by charging a “service” fee for irrigation. If irrigators cannot pay it can only be assumed that the scheme is either unviable . O&M and Water Charges Problems with cost recovery and O&M form a vicious circle. the social impact would in most cases be greater if any subsidy was spread more thinly over a higher proportion of the rural poor. mainly because revenue from water charges (if they are collected) is often returned to the general treasury instead of being allocated to O&M. There are exceptions to this rule.that of relying only on raising water charges . The Role of Agriculture and its Prerequisites in Economic Development: A Vision for Foreign Development Assistance. Cost Recovery. the governments of many developing countries faced fiscal crises during the 1980s that focused their attention on the shortcomings of existing policies for financing irrigation. Fiscal constraints in many developing countries simply do not permit subsidies of this kind anyway. Nevertheless. Moreover.in which case the question should be asked why it was built or what can be done to make it viable .does not usually work. other researchers have argued that the multiplier effects of investment in agriculture in developing countries are generally greater than those associated with investment in other sectors1. . including for example local customary law. there is an issue of equity involved in subsidising some members of society by way of artificially cheap irrigation: in principle it may be a praiseworthy social objective. or a fundamental belief in some countries that water should be free.. but in these cases increased water charges have been accompanied by improved service. The general consensus now. among governments and financing institutions. but with typically high unit costs for irrigation development. It is also generally accepted that the standard tactic for dealing with poor O&M in the past .Guidelines for Planning Irrigation and Drainage Investment Projects 21 Moreover. In: Food Policy 1994 19 (5) 469-478.or unreliable. Irrigators on public schemes are commonly reluctant to pay any charges that they are not forced to: poor collections lead to poor O&M. Any suggestion that irrigators on a public irrigation scheme cannot afford to pay even the O&M costs needs to be examined very critically. The application and collection of water charges can be further complicated by various factors. and an even greater reluctance to pay. particularly with regard to the O&M costs. is that users should pay all of the O&M costs and as much as possible of the capital costs.
In effect. Metering of water supplied to larger groups. It also presupposes that government is committed to recovering costs. Farmers are more likely to view construction simply as a source of off-farm employment. One solution to the problem of water charges is to devolve financial autonomy for O&M to users’ groups. However. the experience is that users’ groups are more effective collectors of fees than government agencies. Users’ Contributions to Capital Costs Apart from the obvious fiscal advantage. In these cases the construction or rehabilitation of an irrigation scheme is often seen as a welfare project rather than as an investment project. is usually more technically feasible. Moreover. even if only approximate. which it seldom is for most surface irrigation systems involving smallholders. and that there are no economic distortions in place that make it impossible for them to do so. and the group as a whole can then be charged. individual irrigators have little incentive to make more efficient use of water. Even if it were possible to charge individual farmers for water on a volumetric basis. For this to happen it requires that the users will be in a position to make such a contribution.Guidelines for Planning Irrigation and Drainage Investment Projects 22 incentive for the efficient use of water and may thus contribute to wasteful usage. or to irrigation agencies dependent upon the users for finance. . Conditions for the sustainability of users’ groups are discussed later. a contribution by users towards the capital cost of a new or rehabilitated scheme is an indication of demand and commitment. this solution will depend for success entirely on the cohesion of the group involved. to regard the scheme as government infrastructure and ultimately to show little subsequent commitment to it. the injection of large amounts of food into an area under food-for-work programmes can sometimes depress agricultural prices and affect other farmers’ incomes. Nevertheless. Yet there are many examples around the developing world where governments and donors have adopted the view that users are too poor to make any capital contribution. and farmers are paid in cash or food to contribute labour to the construction of the scheme. without some form of volumetric charging. There are no signs that such an approach engenders any sense of ownership or responsibility. setting an appropriate charge may present some difficulty because of local economic distortions (see Box I-5 above). enhancing prospects for sustainability. this is an investment in equity and hence the scheme becomes to some extent private. It becomes the group’s responsibility to allocate water amongst its members and to recover the charges.
On some public systems in Morocco. in the IFAD/World Bank-funded Communal Irrigation Development Project in the Philippines. Design Issues in Farmer-Managed Irrigation Systems. Rome (Draft 20/10/94). irrigators or prospective irrigators can contribute labour. hence a lack of commitment. but also because of farmer-led design changes2. Legislation may therefore be necessary in order that freehold tenure or long leases can be granted .including those on traditional farmermanaged irrigation schemes . unless they have confidence in long term usufructuary rights. Experience suggests that this is not unreasonable. among others. actual costs were US$ 4. not only because of the farmers’ contribution of labour and materials. IIMI. As mentioned. IFAD.Module: The Role of Water User’s Associations. Colombo (1987). even if only for a few hours a day. 2: From An Evaluation of NIA’s Participatory Communal Programme : Public Intervention in FarmerManaged Irrigation Irrigation Systems.Guidelines for Planning Irrigation and Drainage Investment Projects 23 Even among very poor populations. individuals and communities have been willing and able to invest substantial amounts in cash and kind for projects that they consider are worthwhile.000. and private irrigators throughout the world . preferably in kind or labour”. Farmers will invariably seek the least cost solutions if they have to pay even a part of the costs. IIMI.100 per hectare compared with the originally estimated US$ 7. Unwillingness to contribute implies a lack of demand for the irrigation development proposed. for example. For example. If nothing else. government commitment to the proposed investment is essential. Thus IFAD’s current irrigation and drainage investment strategy1 requires that users should “contribute between 10-20 percent to the direct costs. case studies have shown that requiring a capital cost contribution from farmers can result in significant overall savings if farmers themselves are involved in system design. Where farmers are unable to gain legal or even customary title to their land they are not normally willing to invest. 1: Drawn from Irrigation and Drainage Cluster . Colombo (1990). if the development proposed is an appropriate response to local demand for irrigation. Land tenure problems can however be a constraint to users’ participation in capital costs.are willing to pay up to 100 percent of the cost of their schemes. . up to 40 percent of the initial capital costs are recovered from farmers.for which reason. which invariably leads to unwillingness to accept O&M costs. and provide locally available materials for construction. Other experiences from different countries are summarised in Robert Yoder and Juanita Thurston (eds). and that they should “pay for the cost of irrigation equipment (cash/loans)”.
on the board of a financially autonomous irrigation authority. either directly or indirectly through apex WUA organisations. or for WUAs or their apex organisations to contract out irrigation services to the private sector. It is obviously unrealistic to expect a WUA to take over full responsibility for a system that serves hundreds of thousands of hectares and which was previously operated (even if poorly) by a large irrigation agency. inefficiency and poor O&M. might on the other hand be managed entirely by a WUA.in effect to privatise them . such as users’ representation. Attention is nowadays being focused on how to achieve this commitment.and to ensure that users’ groups on new schemes accept full responsibility for O&M from the outset. On the other hand there are other options available. corruption (see Box I-6). Smaller schemes.Guidelines for Planning Irrigation and Drainage Investment Projects 24 WATER USERS’ ASSOCIATIONS Water Users’ Associations and Transfer of O&M Responsibility Fiscal crises have in many cases forced governments to devolve financial and managerial responsibility for existing irrigation systems to the users . The objective in either case is greater user commitment. and to what extent WUAs can be assisted to form and to manage their own affairs. including their main water supply infrastructure. The degree of responsibility which water users’ associations (WUAs) can be given for management of a system depends on its scale. . such as inequitable water distribution. which can lead to more efficient use of the resources by helping to overcome many of the problems that public irrigation systems face.
Journal of Development Studies 18(3): 287-328. Meinzen-Dick et al. Water Users Associations in World Bank-Assisted Irrigation Projects in Pakistan. Washington DC. It has been very difficult to control in the past because of lack of financial discipline and accountability within irrigation bureaucracies. which often means tailenders.Guidelines for Planning Irrigation and Drainage Investment Projects 25 Box I-6 . particularly for the transfer of irrigation responsibilities. Thus. and some have lived on but performed no useful function. usually the poorest and least powerful. . 1992. The System of Administrative and Political Corruption: Canal Irrigation in South India. and the implications for constructive interaction between irrigation agencies and WUAs. and “turn a blind eye” to substandard work that saves costs for the contractor and increases his profit. World Bank Technical Paper Number 173.2 reached a number of conclusions regarding what leads to strong WUAs. 1994. Sustainable Water User Associations: Lessons from a Literature Review. contributes to the vicious circle of poor maintenance-poor cost recoverypoor maintenance. Conditions for Sustainability of Water Users’ Associations Experience to date in the formation of WUAs and the transfer of irrigation O&M responsibilities to them has been uneven. The 1994 World Bank review of its experience in irrigation. at the expense of others. and hence has an obvious bearing on sustainability. irrigation engineers will award contracts to high-priced or unqualified. 1: Kerry J Byrnes. Paper prepared for World Bank Water Resources Seminar.Corruption in Public Irrigation Schemes Social research and experience have shown that irrigation projects in some developing countries provide irrigation engineers and other operational personnel with opportunities to raise significant amounts of illicit revenue from the distribution of water and contracts. concluded that some WUAs have been stillborn. Financial inducements may also be used to bribe ditch-riders and other operational personnel to enhance water supplies to one farmer. et al. World Bank. Source: Wade R. some have died in infancy. Byrnes1 concluded that most WUAs in World Bank-assisted projects in Pakistan remain relatively weak. Corruption of this kind is considered to be one of the most important supply-side factors in the poor performance of public irrigation. These were summarised as follows. referred to earlier. the policy factors that can assist in the development of such organisations.. or a group of farmers. incompetent contractors. in return for financial inducements. but substandard work obviously has a detrimental impact on subsequent maintenance requirements and costs. 2: Meinzen-Dick R. The results of such corruption are not usually immediately apparent.. some of which is redistributed to superior officers and politicians.
the organisations should be adaptable . multipurpose organisations and are likely to be most appropriate in socially cohesive societies with smaller land holdings. Greater commercialisation allows WUAs to replace direct labour or in-kind participation of members by hiring specialists. and take on more tasks in irrigation management. Such organisations are appropriate to situations of larger land holdings. (or “Asian model”) typically relies on direct participation of all members. but two broad models can be identified. and allows them to expand in size. However. • Organised farmers in WUAs can manage more advanced technology. and interpersonal transaction costs of being involved in the WUA. desirable). heterogeneity is manageable (or even. cash. in some instances. • There is no single “optimal size” for WUAs. • In any type of WUA. • The range of WUAs shows great variability. with smaller base units. and conflict resolution obtained through WUAs should offset the substantial time. it also creates a much greater need for accountability of leaders and employees to the membership. (or “American model”) is a more specialised organisation based on hydraulic boundaries. Whether existing or new organisations are involved in irrigation management. while still maintaining manageable interactions among members of base-level groups. and assets. which is a major incentive for farmers to participate in WUAs. and the organisations are focused on irrigation rather than multiple activities. The benefits of improved water supply. It is therefore advantageous to work with existing successful organisations wherever possible. The first. . Their expanded role in main system management can provide a greater degree of control over water supplies. This implies that irrigated agriculture should be profitable enough to create a demand for water.Guidelines for Planning Irrigation and Drainage Investment Projects 26 • WUAs are stronger if they can build upon existing “social capital”. WUAs are also likely to be stronger if they are relatively homogenous in terms of members’ background. larger WUAs can achieve economies of scale. The second. As size increases. • The structure and role of WUAs depend on their degree of commercialisation. and higher levels of irrigation systems. and WUAs should have a demonstrable effect in improving farmers’ control over water. However. low market penetration and simpler irrigation technology. the benefits to farmers should outweigh the cost of membership. and more complex technology. transaction costs increase and it becomes more difficult for members to monitor each other. materials. and defining membership to include all stakeholders including tenants and women . or patterns of cooperation.improves equity. Federation allows WUAs to expand and operate on a larger scale. increased farm income. These are often socially based.to their local conditions and to changes over time. However. greater market development.
monitoring and regulating externalities and third party effects of irrigation. Particularly important roles for the state are establishing and adjudicating water rights. maintaining a supportive legal framework. operate bank accounts and undertake other activities. A facilitating legal framework is critical to give WUAs the ability to deal effectively with external groups. Not too much should be expected from them. State policies of administrative and financial decentralisation have provided the impetus for many management transfer programs which contract the role of the state and expand the role of WUAs. by the users themselves. with government continuing to act as the prime mover. particularly in programs which aim to transfer responsibilities and costs of irrigation system management from the state to users. • A supportive policy and legal environment is crucial to the sustainability of WUAs. and should be given greater attention. collusion and corruption may not always be eliminated by user participation and the creation of WUAs. Developing a service orientation among agency staff and a collaborative attitude between agencies and WUAs is essential for successful joint management of irrigation systems and for management transfer programs. or financial support for major rehabilitation. providing technical and organisational training and support to WUAs. However. . Power struggles. Their creation requires a re-orientation of irrigation bureaucracies towards providing a service and creating an environment that facilitates the formation. However. the legal framework should be flexible enough to allow members to adapt their organisations to local circumstances. especially in the short term. It should also balance rights with responsibilities for WUAs in order to ensure that members have sufficient incentive to participate. turning over management of public irrigation schemes is not merely a matter of consultation and forming WUAs. of sustainable WUAs.Guidelines for Planning Irrigation and Drainage Investment Projects 27 • Where agencies retain operation and maintenance responsibilities at higher levels of the system. Clear assignment of property rights over water and over the physical infrastructure of irrigation systems to WUAs can be a potent tool for strengthening the organisations. and occasionally providing design. they need to carry out these roles effectively so that farmers will feel it is worthwhile for WUAs to carry out their functions at lower levels. construction. Strengthening agency accountability to users through public information of irrigation plans and programs and providing financial autonomy for irrigation agencies to rely on user fees for their budgets are strong incentives for the agency to foster WUAs. • There is a changed but essential continuing role for the state in ensuring long-run sustainability of WUAs.
Locally Managed Irrigation Systems . and waterlogging and induced salinisation2. if planners wished to strengthen these agencies in parallel with the formulation of irrigation investment proposals.and despite the existence of clear operational guidelines for dealing with social and environmental issues . no one set of rules can be applied. Despite the years of experience and the lessons learned . costed and entered into a cost benefit analysis.governments.Self-Governing Irrigation Systems. California (1992) which covers some practical planning principles which can be applied in most cases. it was already too late. Land acquisition and resettlement requirements have often caused delays to implementation or even cancellation of loan agreements. there are a number of irrigation projects around the world that possibly would not have been built had the disbenefits been foreseen. and considerable time and resources will have to be invested in learning how best to approach the process in each case. Colombo.Essential Tasks for Assistance. Sri Lanka (1994). Also Yoder. project planners and implementers have in the past often paid only lip service to the need for systematic problem identification. and successful transfer of responsibilities will then take place. And even though environmental legislation existed. They include health impacts (malaria and schistosomiasis). Although some would argue that on the whole the social and environmental disbenefits of irrigation are far outweighed by the benefits. will vary according to different physical.. San Francisco. There is no magic solution. ICS Press. 1: Practitioners are referred to Orstrom. 2: According to the 1990 FAO report An International Action Programme for Water and Sustainable Agricultural Development: A Strategy for the Implementation of the Mar del Plata Action Plan of the 1990s.. The ease with which sustainable WUAs will form. E. 20 to 30 million hectares (or about 10 percent of the world's irrigation) is severely affected by salinity and an additional 60-80 million hectares are affected to some extent. social and financial circumstances.Guidelines for Planning Irrigation and Drainage Investment Projects 28 Sound social engineering is as necessary as good technical engineering. as well as a likely source of project delays or cancellations. financing institutions. In the past one of the reasons for this was that promoters and implementers of irrigation projects found that addressing such issues was an inconvenience. environmental agencies generally did not have the teeth to implement regulations. assessment and mitigation. . Management Transfer and Turnover Programmes. Crafting Institutions . IIMI. R. Investment project designs which provide flexibility and a progressive or pilot-led approach to transfer are more more likely to lead to eventual success1 SOCIAL AND ENVIRONMENTAL ASPECTS Adverse social and environmental impacts of irrigation investments have been many and varied.
This is the case for drainage.” and on organisation and management: “Coverage of management and organisation was broad but generally superficial. It has become increasingly obvious that the design process must start from a consideration of how the users will operate the system. CHOICE OF TECHNOLOGY Commonsense dictates that the choice of technology for irrigation should be based on its appropriateness for the cropping patterns intended and should also consider cost-effectiveness. inappropriate farming. erosion. none of those (sector reports) analysed was found to have addressed the subject. except for the most recent studies on Mexico and India. an important source of environmental troubles in numerous countries.Guidelines for Planning Irrigation and Drainage Investment Projects 29 Box I-7 . Washington DC (1994).Some Social and Environmental Issues in World Bank-Financed Irrigation Project Planning The 1994 World Bank review of its irrigation experience commented as follows on the coverage of gender issues in its sector work: “Irrigation affects men and women differently.” Source: Report No 13676: A Review of World Bank Experience in Irrigation.” and on broader environmental issues: “Coverage of special areas of environmental impact has been poor and is still quite weak. Irrigation engineers have in the past tended to overlook an additional need: for the technology also to be matched to the level of sophistication or operational capacity of the users. occasionally on their relations with irrigators’ organisations. which they usually do not. and especially so for aquifer management. It focused on management and organisation of government institutions. The approaches and attitudes of governments and financial institutions have changed more recently. Operations and Evaluation Department. washing and providing drinking water. and silting. this should then be designed to provide the optimum combination of efficiency in water use and cost effective operation and maintenance. The consensus now is that social and environmental impact assessment is essential. However. Even if they have equal roles in agriculture. . and as important as economic analysis in the planning process. and never on the irrigators’ organisations themselves. women almost always have primary responsibility for such household tasks as food preparation. and the various dimensions of catchment management: deforestation. soil degradation. overgrazing. World Bank.
The other accepts the reality of farmer damage in wet season drought and so favours designs based on cruder and more robust structures. in World Bank Technical Paper 246. Over the last quarter of a century water usage for irrigation has more or less doubled without a comparable increase in drainage capacity. for instance. it sees the solution as the modernisation of these systems. they however still tend to polarise into two camps. that there is inconclusive evidence to favour one camp or the other. One sees the problem largely as overcoming the hydraulic instability of extensively-gated manually operated systems. On the other hand. (May 1993).Guidelines for Planning Irrigation and Drainage Investment Projects 30 Equally important. as shown. the possibility of just-on-time. The choice of technology. World Bank Technical Paper 256. Discussion of this issue is well covered elsewhere2 and need not be continued here except to note the conclusion of the World Bank in its 1994 review of its experience in irrigation. the designer must consider how the user will cultivate his land. and the implications that this may have for scheme layout. THE DRAINAGE DILEMMA The world is faced with a huge backlog in drainage requirements. it cannot be utilised to capacity. Both would agree on the need to eliminate anarchy and on the importance of flexibility of operation. Thus it may be that the design which involves the lowest investment cost per hectare may not be the most cost effective solution if it also involves large numbers of staff for its operation. in the hope of preserving the civil works from interference1.g. demand-based. . a design to improve water use efficiency on a traditional irrigation system by the introduction of “modern” water control structures may not result in overall efficiency gains if the users reject the modern controls in favour of their traditional proportional dividers. Design and Operation of Smallholder Irrigation in South Asia (1995) by Donald Campbell.. 2: e. adding automatic downstream control structures and other feedback mechanisms designed to achieve hydraulic stability. because of operational difficulty.. While most irrigation engineers would now agree that the starting point for design must be ease of operation. World Development XXI. The stage has now been reached when it is necessary to correct the drainage omissions of the 1: Burns R. delivery of water to crops is foregone. by the extent of saline and waterlogged areas in Pakistan. Modern Water Control in Irrigation (1994) by Plusqullec et al. whether for new development or rehabilitation of existing schemes. pp771-789. Irrigated Rice Culture in Monsoon Asia: The Search for an Effective Water Control Technology. or if. has been the subject of much debate over the years. and numerous IIMI publications. In the longer run poor drainage is one of the most significant causes of reduced yields and of irrigated land going out of production.
it has often survived for only the first few years of a project’s life. To improve the sustainability of drainage systems. Washington DC (1995). there is growing recognition that: • Water is a scarce and valuable finite resource with many competing demands for its use..for example the degree of users’ demand and commitment to subsequent O&M. • There are more important issues in irrigation than that of scale .Guidelines for Planning Irrigation and Drainage Investment Projects 31 past. charges for irrigation use should at least reflect its scarcity value. channels should be limited to those which are essential. even where provision for drainage has been made in the past. In most cases of poor scheme maintenace it is the drains that are allowed to deteriorate first. Where such competing demands exist. IMPLICATIONS FOR THE PLANNING PROCESS To summarise. The challenge is to persuade farmers to accept the importance of drainage and to take responsibility for its maintenance. but these should be adequately maintained and defended against encroachment. . This further reinforces the need to promote participation and ownership by the users. which are usually the responsibility of the irrigation agency. At the same time there is a need to improve water use efficiency to reduce the drainage demands of the future. in each case considering the circumstances of the country and project opportunities concerned. World Bank Technical Paper 256. It is necessary however to consider why. International funding is unlikely to be made available for irrigation if the use of water for this purpose prejudices other more profitable uses. Secondary drains. The issue of scale should be approached with an open mind. 1: Campbell D. Provision of crossings. each with adequate culvert capacity. The main drains are therefore quickly rendered redundant. Design and Operation of Smallholder Irrigation in South Asia. are often also partially filled in by farmers to provide crossings or to pond water for other purposes. World Bank. is essential or obstruction by informal cultivator-constructed crossings will inevitably result1. One of the main reasons is that within a year or two of construction tertiary drains are often cultivated over by the irrigators who are theoretically responsible for them.
• Economic efficiency and fiscal sustainability demand that the O&M costs and at least a part of the capital costs of irrigation should be recovered from the users. and to ensure that users of new schemes accept responsibilty for O&M from the outset. facilitating and assisting in the planning process by complementing and supporting local preparation groups. The conventional project identifiation/preparation approach of the past has militated against these requirements being met. and that stakeholders are genuinely committed to the project through participation and local ownership. Increasingly therefore. • Drainage should be given much more prominence than in the past. irrigation investment to achieve incremental food production may be limited to upgrading existing formal and traditional irrigation systems. • Apart from the obvious technical and financial conditions. governments. external technical support should involve providing inputs and support to a process that is driven by the borrower and involves contributions from many. Fiscal crises in many developing countries are now forcing governments to devolve responsibility for existing schemes to the users or private companies. the per hectare capital costs of typical new irrigation development may be difficult to justify by the returns from basic food crops alone. planners and implementaers continue to pay only lip service to the need for impact assessment. Whilst project planning has always been a government responsibility. This often requires institutional reorientation of irrigation bureaucracies. • Adverse social and environmental impacts are significant contributors to project failures. Despite past mistakes. in practice this is rarely achieved. The implications of these lessons for the planning process are that: • Project planning needs to centre more on the borrower and the users. the key condition for sustainable development impact from an irrigation investment project is its implementability. the formation of users’ groups or WUAs. . and even greater reluctance to give outside teams direct responsibility for the tasks involved. The consensus now is that social and environmental impact assessment is as essential and important a tool as economic analysis in planning successful projects and programmes. and to emphasise participation and capacity-building features. financing institutions. there needs to be even greater insistence on international project planning teams. This requires that the institutional demands of the project are matched to local institutional capacity.Guidelines for Planning Irrigation and Drainage Investment Projects 32 • Although world food supply will depend even more on irrigation in the next century than it has in the past. such as those provided by the Investment Centre. or demand forces the price of basic food crops up. and an even greater need for participation and local ownership. However. in both strategy formulation and the planning of individual projects. diverse local stakeholders. Until lower cost solutions can be found. and less on the requirements of the lender.
• Given the importance now paid to increasing implementation capacity. since it will be the main means of building local commitment and capacity. social or organisational issues. working papers and other documentation. or they may simply be required to review such papers produced by local preparation groups. NGOs and the private sector in project implementation. Long-term technical assistance will be financed only as a last resort. . international project planning teams will be required to produce working papers that can be used to support a project proposal or appraisal. • In some cases the planning process may become as important an end as the ultimate project plan. multilateral lending for irrigation and drainage is likely to continue to favour sectoral loans for this purpose. • Due to the importance now attached to social and environmental impacts the evaluation of these must be given as much prominance as economic evaluation in the planning process. rapid implementation and ultimately sustainable development impact from investments. and to ensure smooth start-up. environmental. • Instead of producing comprehensive stand-alone preparation reports. the planning process will continue to evolve away from conventional identification and preparation to one that is less compartmentalised.Guidelines for Planning Irrigation and Drainage Investment Projects 33 • Given this diversity of contributors. Analysis and reporting are more likely to build up a dossier of reports. When successfully executed. that may not necessarily be neatly a wrapped and packaged document that can be presented as an “identification” or “preparation” report. with specialised short-term inputs that will focus more on institutional. this approach should be exploited to reduce the time spent in bringing about readiness for implementation. most often linked to upgrading of schemes and facilitating greater involvement of irrigators themselves.
there is increased awareness of competition in demand for scarce water resources. and environmental sustainability.Guidelines for Planning Irrigation and Drainage Investment Projects 34 PART 2: The planning process GENERAL The Conventional Planning Process The conventional approach to planning irrigation investments consists of identification of project options followed by preparation of the preferred option(s). been a sufficiently explicit aim of the conventional planning process. Recent Trends: The Changing Investment Environment As indicated in Part I. It is also acknowledged that building institutional capacity and stakeholders’ commitment has not. • commitment to the project. Although identification and preparation have always been the responsibility of the borrower. such as international consulting companies or the Investment Centre. in addition to the more obvious factors of good engineering design. and the high cost of new irrigation development is increasingly difficult to . sound construction. where national capacity has been inadequate external support teams. Meanwhile. until quite recently. financial and economic viability. among other things. as generally carried out for irrigation in the past. was dictated by the project-specific nature of investments. It is normally preceded by an irrigation and drainage subsector review and the formulation of a country subsectoral strategy. it is now generally accepted that project success depends. have often been requested to assist with this work. This in turn requires: • that the institutional requirements of the project are matched to local institutional capacity. Financing institutions usually required that. for subsequent appraisal by the financing institution. built on stakeholder participation and local ownership. The scope of this type of project preparation. full engineering feasibility studies and detailed designs for at least the major components were completed before appraisal. also on implementability.
ownership and capacity building than they have been in the past. when its principal objectives are building local commitment and capacity. In some cases the process is becoming almost as important an end as the ultimate project. and budgets approved for the year in which operations are to start. the project planning process has also undergone change: subsector reviews are now more concerned with the place of irrigation within national water resources management strategies. staff appointed and trained. to create preparedness in those responsible for implementation. Lending has increasingly tended to take the form of sectoral loans.Guidelines for Planning Irrigation and Drainage Investment Projects 35 justify. to ensure that institutions (and if necessary. these factors have led to modified approaches to lending in the subsector: most financing institutions have become more concerned with the objectives of participation. to support these objectives and to finance more efficient investments in terms of costs. Assistance increasingly tends to be provided to the borrower by more frequent. Thus the process is becoming much more operationally focused. smaller and shorter missions than hitherto. Ideally. and the formulation of strategies for improving the performance of the subsector. As a result of these changes in focus. benefits and water use. so that they are ready to move quickly and effectively into implementation once financing has been approved. The steps of identification and preparation have become blurred: they are being replaced by a process that is intended to avoid unnecessary duplication of effort at each successive stage. by providing inputs and support to a process that is undertaken by the borrower. the role of irrigation in food supply. fundamental aspects of project planning are reviewed and approved as the work involved is completed. increasing emphasis is being given to the Investment Centre’s role in facilitation. Because of this change of emphasis. given the prevailing low prices for basic food and fibre crops. Projects tend to favour rehabilitation and/or modernisation of existing schemes. the comparative advantages of irrigated versus rainfed crops. and the transfer of part or all of the management responsibility to the users. the Investment Centre’s involvement is tending towards the provision of somewhat different services from those previously required for the conventional planning process. in a participatory process that involves all stakeholders. Investments may be made on a national or regional basis. . at a pace that is matched to local capacity for implementation. including those responsible for appraisal. Together. The Changing Role of the Investment Centre Because of these changes in approach. rather than by accepting direct responsibility for the tasks involved. policies and legislation) are in place.
and may be carried out either as a standalone activity. or programme of support. today it may extend into and beyond appraisal . • provide ad hoc specialist technical support and guidance as required to complement the skill-mix available from LPGs. for project planning. or as part of a wider agricultural sector review. workshops and participatory planning with the institution(s) and stakeholders concerned. whereas in the past the Investment Centre’s involvement in project planning usually ended with the submission of a project preparation report. including prefinancing.for example. such as consulting firms or LPGs. through consultation. • train LPGs in participatory rural appraisal and planning techniques. It should address not only technical and economic. may not be needed for all aspects of the process: some may be already adequately covered. the irrigation and drainage subsector review should provide the government and potential financing institutions with recommendations for improving the performance of. An Investment Centre mission. but also . as well as other quality control measures. by providing an input to screening and selection of demandbased sub-projects . the irrigation subsector. some irrelevant. in which subprojects are selected and planned during loan implementation. Thus.as the planning process continues during implementation. the financing institution may require an independent appraisal of these. which may also involve Investment Centre staff. and others dealt with by different groups.Guidelines for Planning Irrigation and Drainage Investment Projects 36 intended to: • facilitate the building of local consensus and commitment. • prepare local planning groups (LPGs) and institutions for the activities to be carried out. SUBSECTOR REVIEW AND STRATEGY FORMULATION Objectives. If a water resources policy review and strategy formulation has decided that irrigation is a justifiable option for use of available water. and profitable future investment in. some of which may be carried out as a later project activity during implementation. and • gear-up implementing institutions so that they are fully prepared to start project implementation once financing is approved. Approach and Staffing Required Subsector review and strategy formulation remains the essential first step in the planning process. In sectoral investment projects or programmes. • assist in arranging for the necessary prerequisites. including defining the objectives and drafting terms of reference.
Guidelines for Planning Irrigation and Drainage Investment Projects 37 social. working with a national team of similar composition. Budget permitting. The strategy should be investment-oriented. It may identify investment projects or programmes that can proceed directly to detailed planning and appraisal. agronomist and sociologist. and brief its members and prepare terms of reference and notes for their guidance. If the subsector review and strategy formulation is carried out with external assistance. with realistic planning horizons and mechanisms for periodic updating. lessons learned. concentrating on major accomplishments. it may also be desirable for an environmental specialist to participate in order to identify major sectoral environmental issues that may influence the strategy. prior to the main programme of work. economist. It is usually appropriate to initiate the review/strategy formulation process by holding a round-table meeting with senior representatives of the ministry or department(s) responsible for water resources and irrigation development. Main Topics for a Subsector Review A checklist for the contents of an Irrigation Subsector Review and Strategy Paper is given as Annex 1. Such a visit should also provide an opportunity to establish the composition of an LPG. to make a brief preliminary country visit to discuss and agree with government the scope and purpose of the review/strategy formulation process and the outcome expected by potential financing institutions. it will usually be done over a period of 1-2 months by a small team comprising a water resources/irrigation engineer. It should consolidate and expand knowledge of the subsector. institutional. preferably at permanent secretary or director level. and in this case might be compared with identification in the conventional planning process. environmental and policy issues. It should then guide irrigation policy and suggest the strategy for meeting proposed policy objectives. It may be useful for the team leader. It will be based largely on existing information. . key issues and information gaps. assess its capacity to undertake some or all of the necessary tasks. The main items are discussed below. rather than any new investigation. Regular subsequent contact between the team and government decision-makers should encourage an exchange of ideas and contribute to the quality and validity of the final subsector review and strategy report. It may also be appropriate for a representative of the ministry of finance to attend this meeting. such as that provided by an Investment Centre mission. implementation capacity.
• typical capital and operating costs. plans for further exploitation and the opportunity cost. the reasons for this. in view of the complexity of the issues involved. In line with recent thinking on water resources management. and yields. and any macro-economic distortions with specific impacts on the subsector. by administrative boundary and river basin. and employment opportunities created or foregone. and should have provided an indication of water availability for irrigation1. cropping intensities and patterns. be qualified by taking account of physical or economic limitations to full development. extent and nature of existing irrigation and drainage systems. it is unlikely to be possible to determine this within the time frame of a subsector review. • past and present performance versus technical potential. so that this may need to be the subject of a separate supporting study. so far as practically possible. using generalised estimates of per hectare gross annual water requirements for typical cropping patterns applicable to the country or region. Structure and Performance From a desk study of available documentation and limited field visits. water use efficiency. • measures taken to mitigate negative impacts and their degree of success. This should be compared with estimates of suitable arable land resources and. rather than following administrative boundaries. organisation and management. • whether water supply arrangements and O&M have been satisfactory. this should have taken account of competing water demands. health. if lower than expected. with particular regard to wellbeing and associated gender issues for direct and indirect beneficiaries and oustees. • the social impact of existing development. and the respective roles played by the public and private sectors. waterlogging. why. the scope for further irrigation should be estimated. • Environmental impacts.Guidelines for Planning Irrigation and Drainage Investment Projects 38 Existing Irrigation Development. • the contribution of irrigation to GDP and to agricultural output. estimates should also adopt a basin approach. and if not. . in terms of command area developed. The opportunity cost of water should have been determined in the water resources strategy study. Land and Water Resources and Scope for Further Irrigation or Drainage Development Assuming that a strategy for water resources management has been prepared in advance of the irrigation subsector review. • marketing arrangements and prices. the following should be reviewed: • the location. particularly erosion and sedimentation. 1: If a water resources management strategy has not yet been prepared. it will be necessary for the subsector review team to make its own assessment of potential and competing demands. if not. • their development history. salinisation. Area estimates should. pollution or depletion of surface or groundwater supplies and loss of biodiversity. area utilised.
ie with all taxes and subsidies removed. using border prices and any necessary shadow pricing of currency. in order to give such states an opportunity of consenting or objecting to the proposals1. two or more states. The international financing institutions generally require that the country proposing a project on an international waterway should formally notify other riparian states of its intention to do so. for comparative purposes: • the profitability to irrigators of the different types of on-farm investments. to avoid subsequent delays in implementation or even cancellation of the project. However. to yield an acceptable internal rate of return (IRR . A similar analysis should be prepared in economic terms. 1: An international waterway can be defined as any river. a rapid financial analysis of crop production should be prepared for each of the existing categories of irrigation and main crops under each system. compared with rainfed crops. for typical cropping patterns. lake or similar body of water that forms a boundary between or flows through. and • approximate investment ceilings for future developments. ownership or management. including any in the cost of water. See Operational Policy OP 7. provided this does not involve increased abstraction) can be financed.likely to be a minimum of 12 percent). water and labour. an exception would be any tributary of an international waterway that runs exclusively in one state and the state is the lowest downstream riparian.50 (October 1994) from the World Bank’s Operational Manual for further details of the Bank’s definition and its policy on this matter. and can include any tributary of these. It is therefore as well to overcome such hurdles early on in the planning process. the financing institution will generally require that appropriate agreements are reached between riparian states on the use of international water before any new project (as opposed to rehabilitation. . Financial and Economic Viability of Irrigation From the available data on irrigation costs and benefits. to demonstrate the typical returns to land. • an approximate cost-benefit analysis and indication of comparative advantage for the main crops under different types of irrigation systems. including that for water supply to the farm. canal.Guidelines for Planning Irrigation and Drainage Investment Projects 39 Particular attention should be paid at this stage to any limitations that might be imposed by international water rights issues. or ability to cover the costs from crop production after deduction of all variable costs. which should be identified and flagged. The object of this work should be to indicate. In any event.
It is however unnecessary or even undesirable to spend much time and effort in collecting and preparing new data during strategy formulation. alternatively the agency should be requested to assemble the data in advance of the review/strategy formulation work.Guidelines for Planning Irrigation and Drainage Investment Projects 40 If time and staff resources permit. private versus public) and crops can be ranked by DRC. surface irrigation. crops and irrigation systems can also be ranked by net margin per unit of water consumed. Washington DC. distribution and in-field works. Ministry of Lands Agriculture and Water Development. sprinkler irrigation. as an input to the National Irrigation Policy (1993).. Ideally the review team should work with existing data which should be already available from the planning branch of the irrigation agency. as the purpose is to provide a quick comparison between crop and farming system options. Background Paper prepared for the Planning and Research Unit. Economics of Irrigation: A Modular Methodology for Comparing the Benefits with the Costs. Rome (1989). particularly if they are irrigating high value crops. 1: See Ronald G Cummings and Vahram Nercissiantz. non-irrigated. (1994). versus dam/surface. the opportunity should be taken here to assess the scarcity value of water to farmers. Approximations can be made. Water Policy and Water Markets. and may have a bearing on fixing the appropriate water charge where improved water use efficiency is being sought1. FAO/World Bank Cooperative Programme. large privately-owned commercial farm. . This may be considerably more than they are actually paying at present. public smallholder scheme. versus dryland. versus dam sprinkler. rather than to prepare a final economic cost-benefit analysis. for each of the categories involved. although possible market constraints should be clearly flagged. Also Working Paper: Estimating the Economic Efficiency of Irrigation: The Case of Brazil. The Use of Water Pricing to Enhance Water Use Efficiency in Irrigation: Case Studies from Mexico and the United States. irrigation and production systems (eg borehole/sprinkler. particularly when considering high-value crops. Eds. to compare the water use efficiency of different crop and irrigation options2. and so on). in World Bank Technical Paper No 249. World Bank. financial and economic crop prices. Data requirements are: average crop yields under the various farming systems (irrigated. average irrigation costs. including capital and O&M costs of storage and conveyance works. Domestic resource cost coefficient (DRC) analysis has been found to be a useful tool for the above analyses. average input requirements and production costs for each of the crop/farming system options. By the additional input of data on average gross irrigation water requirements. ie the price that they would be prepared to pay for water in a competitive market. 2: A good example is given in Jansen D J. Such an analysis can help to identify any crops for which there may be comparative advantage under the various options for irrigation development. A simple spreadsheet can be used to model various crops. Le Moigne et al. Government of Zimbabwe.
. The planning team should take care to focus on those that are relevant and not waste effort on those that are not. such as: • the compatibility of government’s present commitments and future plans for irrigation with its present macroeconomic circumstances. These may include representatives of government departments . and water pricing (see Box II-1). priorities and plans. export earnings. employment creation. Returns to labour in dryland farming can often be greater than for irrigation. agricultural product taxes and price controls) and how effectively this is implemented. environmental protection and local government . or could irrigation conflict with other activities. where family labour shortages oblige farmers to consider agricultural activities in terms of the returns to labour rather than unit of land. poverty alleviation or some other. for instance to particular regions or interest groups. Economic and Fiscal Policy Issues. • water charges and cost recovery issues. Would government’s objectives for. its approach (eg direct water charges.including those responsible for social development. and in these circumstances when family labour is short farmers may neglect irrigated plots in favour of dryland crops. macro-economic policy and prices to the government’s subsectoral objectives should be assessed. This should establish what government sees as the main national benefits of irrigation. • the sustainability of development in the present or likely future fiscal setting. 1: This is a common constraint in many parts of Sub-Saharan Africa for example. land taxes. and importance of. availability of markets. betterment levies. do small farmers really want or need irrigation for food self-sufficiency. Subsectoral Issues and Constraints Identification of the key subsectoral issues and constraints may best be undertaken through a round of discussions with the key individuals directly or indirectly involved in subsectoral development. Also whether there are political obligations. the ability of farmers to pay.Guidelines for Planning Irrigation and Drainage Investment Projects 41 Government Policies. whether this be food self-sufficiency. export earnings and employment creation be better met by private sector irrigation development. • the opportunity cost and scarcity value of water.as well as farmers’ organisations. to which the government is under pressure to respond by means of irrigation development. including: • government policy regarding cost recovery. For example. The connection with. NGOs and other private sector groups. which could be in the form of privatelyfinanced development by either small or large-scale commercial farmers? The issues that will arise could include those described below. Priorities and Plans The review should continue with an analysis of government’s policies. but the importance of each will differ from country to country. The role of irrigation as seen by farmers should be examined. growth in food demand. to expose any mis-matches between what they want from it and how the government sees it. say. income distribution. such as dryland farming?1.
tradeability. and obstacles to land consolidation. Marketing Issues. • similar problems related to consolidation of fragmented land1.Guidelines for Planning Irrigation and Drainage Investment Projects 42 • the willingness of farmers to pay (which is usually conditioned by farmers’ perceptions of service standards). such as: • insecurity of land tenure and the constraint that this may place on private sector investment. especially if farmers do not pay for land on public irrigation schemes. • the extent to which existing economic policies discourage sustainable private or public sector irrigation development. • how to maintain the real value of irrigation fees in the face of inflation. such as: • the domestic and export demand and market prospects for irrigated crops and the extent to which limited demand. equitable compensation for rights rescinded. could set a ceiling on the area of new irrigation which might feasibly be developed. 1: For detailed treatment of this topic see forthcoming FAO Irrigation and Drainage Paper Land Consolidation in Irrigation and Drainage Projects. and implications for subsequent operation and maintenance. and the willingness or ability of government to adopt new policies and introduce new legislation. for example in Central and Eastern European countries and in others where individual tenure was not previously allowed. and • security of water rights. • provision for legal establishment of users’ groups. by both large and small-scale farmers. • equity considerations. • constraints to irrigation development posed by land fragmentation. and • the extent to which the country or region enjoys a comparative advantage in the production of specific irrigated commodities. • the effect of all the above on users’ commitment to the proposed development and O&M. • regulations and controls on environmental impacts. • whether rates should differ among users within a single irrigation project. • dam safety regulations and means of enforcement. . Legal and Institutional Issues. • whether fees should be project specific or uniform across projects. and the existing institutional capacity and legal framework for enforcement. and impact on private sector investment. • legal and administrative problems of land re-distribution and restitution to previous owners. especially for high value crops.
In practice. an issue of equity arises if inflation results in "investors" in newer schemes having to pay more than those in older schemes. Linking their loan repayments to a measure of inflation. the administrative burden of collecting differential fees is usually too great to warrant such an approach. Cambridge University Press. then it will be essential to design a pricing system which generates sufficient revenues to cover the irrigation agency’s recurrent O&M costs. However. The question of the “right” charge for irrigation water therefore needs to be put in perspective in formulating strategy: in reality. and under the existing socio-political situation there would appear to be some merit in this suggestion. For example. Nevertheless. centralised financially autonomous irrigation agency exists. while placing barriers to increased production on the other. the question of charging different rates among different water users does not arise.Fixing Appropriate Water Charges Whether it is practical to apply nationally uniform water charges depends on the financial and organisational structure that exists for the delivery of irrigation services. In a situation of separate. caution is necessary to avoid creating distortions that remove incentives to efficient water use on the one hand. the establishment of the price system itself giving water a positive marginal cost to the users . is one possibility to avoid this situation. Based on Leslie Small and Ian Carruthers. Cambridge (1991) . fees can be either project-specific or uniform.may be more important than the precise level at which the price is set. There may however be a logical basis for charging different fees to different users between or within projects if the costs of providing water to them are different. If there is no inherent reason for projectspecific fees. possibly subsidised. It can be argued that each set of water users should pay the cost of providing water to them. the administrative simplicity of uniform fees is an attractive option. A further issue of equity arises where there is the possibility for users who have the capacity to pay more to cross-subsidise those who are less well endowed. true water pricing is seldom practised. decentralised financially autonomous irrigation associations. a single national fee structure would be incompatible with autonomy and with the different standards of service likely to be provided. Farmer-Financed Irrigation: The Economics of Reform. Where a single. cost. In situations where pricing is possible. However. higher fees should be charged to those for whom the cost of providing water is greater. however. using some mechanism such as indexation. in Zimbabwe it has been suggested that large-scale commercial farmers should pay more for their water than small-scale farmers in the communal lands. if financial autonomy is a real possibility.Guidelines for Planning Irrigation and Drainage Investment Projects 43 Box II-1 . and not some average.
viability and sustainability. construction and O&M of works. and the need for rationalization or new organisation. • whether women are or will be disadvantaged by the introduction of irrigation. if so whether mitigation is possible. to adjust the government’s overall role or institutions for irrigation. consulting companies and contractors). or scope. Social and Environmental Issues. such as: • the role of democratically elected WUAs and apex organisations in conflict resolution. the need for institutional capacity building. the role of the private sector (eg NGOs. including NGOs and local consulting and contracting companies.Guidelines for Planning Irrigation and Drainage Investment Projects 44 • the existing institutional framework and its capacity for irrigation development. • the availability of trained manpower for irrigation planning and implementation and the extent to which this could constitute an overriding constraint to irrigation development. and the capacity of government to oversee this. • constraints to the takeover of greater responsibility for development and O&M by users’ groups. • the need. including nomadic graziers formerly dependent on land identified for irrigation development. decentralisation. such as devolving financial autonomy to the existing management organisation. • the adequacy of coordination between the various organisations involved in irrigation development. would improve O&M. and how. • the success or otherwise of existing management and O&M of public schemes. and whether such groups have been net losers as a result of past developments. operation and maintenance. whether this could result in greater participation of users in the planning. and if so how1. consultants. transfer to water users associations. • the extent to which government is able or committed to make any necessary legal or institutional changes. • whether targeting the beneficiaries or clients should be a matter of policy. and corruption. and implications for future development.. the need for human resource development and training. • the adequacy of compensation for oustees. • issues related to resource allocation. 1: Settlement schemes for example can influence who benefits by setting criteria for settler selection. joint management etc. whether scheme management reorganisations. can assist irrigation development. the degree of participation of users’ groups. cost recovery. • the extent to which the private sector. . community or social organisation.
employment generation. physical and other. sprinkler irrigation. pollution from saline return flows and agrochemicals. These may consist of improving the performance of existing irrigation development. public smallholder scheme. and so on). non-irrigated. and the success or otherwise of mitigation measures taken. but this may be at the cost of technical efficiency. groundwater depletion. for achieving this in a sustainable way considered. The key elements are: average crop yields under the various farming systems (irrigated. alternatively the agency should be requested to assemble the data in advance of the review/strategy formulation work. Approximations can be made. for each of the categories involved. • government’s attitude towards farmers’ participation in construction. In some countries significant gains can be made by . Ideally the review team should work with existing data which should be already available from the planning branch of the irrigation agency. including capital and O&M costs of storage and conveyance works. the most appropriate type and scale of support for irrigation and drainage development should be identified. average input requirements and production costs for each of the crop/farming system options. surface irrigation. food-for-work or self-help labour. new development. Strategy Formulation Defining Strategic Options and Measures On the basis of the review of the topics discussed above it should first be decided whether there are more cost effective alternatives than irrigation for meeting government’s objectives. average irrigation costs. If not. such as charging for water at or near its scarcity value. waterlogging and induced salinisation. It is however unnecessary or even undesirable to spend much time and effort in collecting and preparing new data during strategy formulation. distribution and in-field works. large privately-owned commercial farm. • the integration of irrigation with other farming activities. financial and economic crop prices. and the options. • positive and negative impacts on human health. particularly erosion and sedimentation.Guidelines for Planning Irrigation and Drainage Investment Projects 45 • equity and plot size on public smallholder schemes: smaller plot size obviously means that more households can benefit and there is more chance of including the poor. • the compatibility of existing policies with social and environmental goals for future development. such as intensified rainfed production. other effects on vulnerable ecosystems and biodiversity. • environmental impact of past development. such as improved nutrition or increased incidence of water-borne disease. where this can be achieved economically. as the purpose is to provide a quick comparison between crop and farming system optio encouraged by financial disincentives to wasteful use.
for the settlement of small farmers and production of basic foods/fibres. provided these do not disrupt traditional organisation and management structures or inadvertently transfer responsibility from the farmers to a public irrigation agency. this may however be difficult to justify economically in many cases.provided the quality of O&M service is adequate. which is unlikely to be acceptable either to governments or financing institutions under the present fiscal constraints. The perennial problem of how to charge and collect fees will remain. but if water users’ associations assume greater responsibility for O&M. The options for cost recovery range between the extremes of none at all. types of farmers and crops. The options for new irrigation development could include different categories of irrigation. Where improving the performance of existing loss-making public schemes is not economically viable.Guidelines for Planning Irrigation and Drainage Investment Projects 46 simple improvements to water control on traditional irrigation systems. to full recovery of capital and recurrent costs. such as improved organisation and management. or transfer of responsibility for O&M to users’ groups or financially autonomous bodies that are dependent on the users for finance1. increased budgetary allowances for O&M. Other improvements could include institutional or fiscal measures. the levels of collection and reliability of deliveries are likely to improve. consideration should be given to whether such schemes should be recognised as components of a social programme. based on development of surface or groundwater. As noted earlier. • In potentially irrigable areas that have surplus water resources but no infrastructure. to be financed from government’s welfare budget. as a minimum. investment in system rehabilitation may be a precondition for transfer. . rather than being treated as free-standing investment projects. roads. Policy and legal measures could include crop price deregulation and enforceable water charges . electricity distribution) 1: In many cases. which is likely to be possible only in certain private sector developments. limiting government’s role to the provision of basic infrastructure (eg dams. or irrigation agencies become financially autonomous and dependent on the users for finance. main canals. For example: • Expansion through new public large-scale irrigation. in view of the fiscal constraints faced by most governments. The general consensus is that water charges should. Cost recovery will be a major strategic concern. aim to recover all the O&M plus at least a part of the capital costs.
A pre-emptive. Whatever form of new development is decided upon. clearance. for environmental assessment. and provision for cadastral mapping may be required. but to make an agreed deduction from wages to cover the required contribution to construction costs. and encouraging demand-driven development of distribution and in-field systems by the farmers1. This might be achieved by creating an enabling environment (eg by the provision of medium term credit) which encourages large or small-scale farmers to develop irrigation at low incremental cost.for instance by providing labour and naturally occurring or locally available materials at their own cost2. 1: This does not mean merely soliciting requests for more government investments from farmers. choosing the type and location of distribution works . • recommendations for engineering designs to address common diseases. and monitoring. Thus land tenure policy changes. to expand or restore productivity on a previously irrigated or rainfed area. and preparing guidelines for land acquisition assessments. It is best to approach the problems at the subsector level through appropriate policy measures. special attention should be given to strategic options for reducing the risk of future adverse impacts and mitigating possible effects.Guidelines for Planning Irrigation and Drainage Investment Projects 47 and services. pre-planned approach to adverse impacts arising from environmentally risky projects is likely to be more effective than attempting to mitigate problems in a piecemeal fashion as they are identified or occur. it will be important to encourage greater ownership and commitment by users through their participation in planning . • Encouraging private sector development only. • New drainage only. An alternative to the provision of free labour might be to employ prospective users as labour on a wage basis at the market rate. Given the seriousness with which governments and financial institutions regard potential social and environmental problems. . Commitment can be enhanced by allowing farmers to pay for irrigated land. such as improved drainage to combat malaria and schistosomiasis. including training and the preparation of guidelines for categorising projects.and in construction .for example. legislation. • establishing or strengthening the agencies responsible for enforcing environmental legislation. 2: Farmers are unlikely to contribute to capital costs without security of land tenure and water rights. either on a freehold or leasehold basis. including: • strengthening existing legislation/regulation for environmental protection as appropriate for future irrigation development. • preparing or strengthening legislation/regulation on involuntary resettlement and compensation.
and the costs involved. • Cadastral surveys. activity schedules. should be prepared for the work to be carried out by LPGs. should be identified.for example on improvements to traditional irrigation schemes. where necessary. • Price liberalisation and other policy changes. supported if necessary by specialised consultants. that can proceed directly to detailed planning and appraisal. for long term watershed/basin management. • Further assessment of market potential for high valued irrigated agricultural products and of the prospects for meeting this potential at acceptable cost. to develop and test methodologies. In addition to recommendations for the elaboration of specific irrigation or drainage projects or programmes. Alternatively or in addition. detailed guidance. . such as improved water supply and sanitation (for example. the strategy may recommend a range of other immediate actions or studies. budgets and. Terms of reference. land tenure and land reform. • Field surveys to identify the development works and complementary public investments required to promote new private sector led irrigation. Identifying Priority Actions and Projects The strategy formulation process may result in identification and approximate costing of investments covering a time-slice of government’s irrigation or institutional development programme. • Additional legal studies.Guidelines for Planning Irrigation and Drainage Investment Projects 48 • similar recommendations on other measures to improve public health on irrigation schemes. where short-term bridging arrangements are needed for rehabilitation and upgrading of public systems during the transition from centrally planned to market-based economies. procedures for the involvement of users’ groups in operation and maintenance. Possible sources of funds for pre-investment studies. number of. especially on water rights. protected wells and improved ventilated pit latrines). these actions might include: • Crisis management within the sector: for example in some Central and Eastern European Countries. • Further assessment of the needs. and selection criteria for sites for scheme modernization or completion. • Pilot basin-management exercises and studies. such as trust funds or retroactive financing by the potential lender. • On-scheme trials to develop and test low-cost technologies . attention may be drawn to project-specific opportunities. including participatory planning. and from collective to individual land ownership.
Guidelines for Planning Irrigation and Drainage Investment Projects 49 Building Commitment to the Strategy The output from the work carried out so far may consist of a series of brief working papers and an outline of a draft strategy. if options have already been suggested as part of a subsector review and strategy formulation. they should be explored further. the intention is to assist the government in selecting its preferred option. and to promote rapid progression to the final stage of the planning process. Alternatively. and of any participatory events held during the strategy formulation process. donors and possibly NGOs1. The Irrigation Subsector Review and Strategy Paper The resulting draft irrigation subsector review and strategy paper should reflect the degree of consensus so far achieved. . Experience has shown that this is the most crucial and sensitive stage of planning because it leads to the critical decisions on project 1: For methodologies see De Alwis K and Sonn L. Draft. The draft should usually be submitted to government and the potential financing institution for discussion prior to issuing the final version. Annex 1 provides a checklist for the contents of a typical irrigation subsector review and strategy paper. to plan next steps. which would take account of comments made upon the draft. to which all should be consequently committed. These should preferably be presented and discussed at a workshop attended by all major stakeholders. which should be flagged along with possible solutions. Workshops as a Means of Promoting Ownership in Policy Formulation and Project Preparation. including potential financing institutions. The result of this consultation. should be a convergence of views between the stakeholders on the most appropriate strategy for the sound development of the subsector. In either case. CONCEPTUALISING AND COMPARING THE INVESTMENT OPTIONS Objectives The main objective of this part of the planning process. There may nevertheless be unresolved conflicts or issues. Rome (1994). is the conceptualisation and preliminary examination of one or more investment options that conform with subsector priorities. which may be compared with identification in the conventional sequence. FAO Investment Centre.
carrying out the minimum amount of work necessary to underpin the recommendations but yet to ensure that they are soundly based. The Design of Agricultural Investment Projects: Lessons from Experience. Appendix 1 gives an indication of typical requirements for a conventional investment in a new irrigation development. pre-feasibility investigations may need to be performed. wherever practicable procedures should be followed from the outset that contribute to ownership of and commitment to the ultimate project. institutional. FAO Rome (1989). including local consultants or local consulting companies. Alternatively there may be a need for external support from the Investment Centre or international consultants. • make a preliminary assessment of the available database for the project. General Approach to the Work and Staffing Required The aim should be to arrive in the shortest possible time at conclusions that will guide planning. involvement will depend on the complexity of the investment options and the capacity of the borrower and LPGs to undertake the work within the required timeframe. The work may be carried out entirely by the borrower or its LPGs. Where the work is to be carried out with external support. identify any gaps in knowledge and possible sources of ready additional information. and the need for building consensus among all stakeholders. economic. and make arrangements for obtaining it. . including arrangements for field visits. 1: Investment Centre Technical Paper No 6.Guidelines for Planning Irrigation and Drainage Investment Projects 50 choice. concept and content on which all subsequent planning work is based. what may be expected from government. and which are very difficult to alter later1. As before. in most cases it will be advantageous for the leader of the support team to make a brief preliminary visit to the country concerned in advance of the main work. balancing technical. The extent of surveys. Analysis will be geared to arriving at selection of the best choice from a range of options. in others experienced engineering judgement may be all that is required. social and environmental considerations. to: • explain the objective of this part of the planning process. and to building local capacity for implementation and sustainability of developments. • plan the work. engineering and other technical investigations that may be needed at this stage will vary widely according to the type of investment that is being considered: for some project-specific investments.
agronomist and economist. social and environmental concerns are regarded by governments and financial institutions. once the team’s draft report has been submitted to government and the financing institution. If it is impractical for the team to prepare this before completion of its in-country work.Guidelines for Planning Irrigation and Drainage Investment Projects 51 • discuss the appointment of a high-level Steering Committee or senior technocrat to oversee the planning process and provide policy guidance on how to address the key issues. Although the process should involve close contact and continuous exchanges of ideas between the stakeholders and local team members. confirms that they are in line with subsectoral strategy. it is often desirable to conclude the process by holding a wider workshop to achieve. and gives reasoned arguments for the selection of the preferred option. consensus on the preferred option(s). or at least advance towards. Activities Review of Available Database The level of information required for the purpose of conceptualisation and comparison of options will vary widely according to the scale and nature of the development. Experience suggests that teams assigned to support the process of investment conceptualisation and comparison are best kept small and will probably consist of a water resources/irrigation engineer. However. given the seriousness with which institutional. Appendix 1 (at the end of Part II of the Guidelines) gives an indication of typical requirements. It is usually appropriate to initiate the process of conceptualising and comparing the options by holding a round-table meeting with senior representatives of the ministry or department(s) responsible for water resources and irrigation development. team members will need to have sufficient breadth of experience to consider these aspects and to identify potential hazards and constraints. is usually a great advantage since it encourages stakeholder commitment and should avoid any “false starts”. preferably at permanent secretary or director level. The participation of the potential financing agency’s project controller or task manager. then the workshop may have to be held later. It is essential that in advance of this workshop the participants are provided with a brief which summarises the options. . However. sound professional judgement is required to decide on the needs and to avoid unnecessary detail. especially towards the end of team’s in-country work.
preliminary cost estimates and/or basic cost estimating data for each of the options. unless in exceptional circumstances) of the following: • any pre-feasibility reports already prepared by local or international consulting firms. the scheme. In most cases there will be large gaps in the above. present O&M arrangements. • aerial photography and topographic mapping at an appropriate scale for reconnaissance purposes (see Appendix 1 for suitable scales). • relevant time-series surface water resources data. FAO. • details of existing land use. waterlogging. • organisation and management structure. copies of the original designs and layouts for the existing infrastructure would be required in addition to the above. In the case of an existing project for rehabilitation and upgrading. with regard to resettlement. • water allocation to. • the environmental performance of the scheme. with an assessment of efficiency. • local and site specific climate data. with regard to sedimentation. • the social history of the scheme. . • farm income and off-farm employment data. • existing allocation of land within the scheme. • local agricultural and livestock production systems data. current state of the infrastructure and an indication of rehabilitation needs. • groundwater and well inventories and monitoring data. Soil Survey Investigations for Irrigation. salinisation.Guidelines for Planning Irrigation and Drainage Investment Projects 52 For new development. pollution and human health. land tenure and water rights. farm size. including outline or preliminary designs. Rome (1979). including crop yields (for rainfed and irrigated crops) and technologies used. • assessments of market and price prospects for the main commodities to be produced. • production support services and their performance. • soils and irrigation suitability mapping (preferably according to internationally recognised legends and classification systems such as that adopted by the US Bureau of Reclamation1). treatment of oustees and conflict resolution. • demographic data. yields and trends. this may include some (but is unlikely to include all. and • cost recovery and O&M history. and only a part of this information is likely to be available. Cases may occasionally occur in which the lack of data makes it impossible to achieve the objective of guiding a decision on 1: See Soils Bulletin 42. it may require specific studies and surveys to obtain it. • existing cropping patterns. together with details of: • the construction history of the scheme. and use within.
and so on. either by government or by private contractors. arrangements should be made to fill the gaps. What is important is that the process should be kept moving forward. Provided the external team meets in the evenings for an exchange of information and ideas. Topography. If suitable topographic mapping is not available. it will need to be prepared so that preliminary engineering designs can be drafted in advance of final project planning and appraisal. Soils and Land Capability Assessments For rehabilitation projects the topography should be shown on the layouts and designs for the main structures. It is important to appreciate that the information gained at this stage will be no more than impressions and its value will depend heavily on the experience. problems and issues as perceived by farmers. All but the smallest developments can usually be mapped satisfactorily from aerial photography (see Appendix 1 for scales). the team should prepare terms of reference for upgrading this information to the required standard. If it is not. The engineer for example may be too busy with investigations to spend time listening to the agronomist carrying out interviews. intuition and common sense of the team members: it will have to be backed up subsequently by firm data. the coverage and effectiveness of supporting services. for canal and drain alignments. However if there is a sociologist on the team it is usually appropriate for him/her to work closely with the agronomist. other than to judge whether or not the work carried out to date is adequate for the purpose in terms of scale and detail. Reconnaissance Field Visits If an external support team is assigned responsibility for conceptualising and comparing the options it is likely to need at least a week to carry out reconnaissance field visits to the project site(s) to gain first-hand impressions of physical features. but this may need to be verified. and for specialist(s) to return later to assess the new information and form an opinion on how the new information affects choices open to the government. In this case. Manual survey may also be necessary for the sites of the main structures. to avoid duplication not only of their own efforts but also those of the interviewees. During the field visits the team should always involve government representatives and members of any LPG. Depending on the magnitude of the proposed development(s). If this is not already available the team should prepare specifications for the work to be carried out. to make the best use of the time available.Guidelines for Planning Irrigation and Drainage Investment Projects 53 the options. . there is likely to be little that the team will be able to achieve in the way of verification of previous soils and land capability assessments. operationally it is usually more practical for the various members to work independently of the others during the day’s field work. and possibly for a sample of the distribution and in-field system. to avoid unnecessary delay in eventual implementation.
If not already available. the Near East. 1: Developed by the FAO Land and Water Development Division. if the drainage aspect is not yet adequately covered. these investigations will have to be provided for and completed prior to final design. slope stability analysis and availability of naturally occurring construction materials. For the purpose of these preliminary estimates. the team should assess the climate database and local estimates of irrigation requirements for the range of possible crops and planting dates being considered. The point to bear in mind is that the requirement at this stage is a comparison of options rather than absolute figures. 2: A climatic data base. local estimates should be adopted where these are considered to be of reasonable validity. However although CROPWAT is quick and easy to use. Africa. presented in FAO Irrigation and Drainage Paper 49. For any major structures there will be a need for geological and/or geotechnical investigations for foundation design. since upgrading could in some cases result in more water being applied than in the past. . Most planning teams will find this of practical use. these can be verified using the FAO computer programme CROPWAT1 in conjunction with the climate database CLIMWAT2. South Europe. Soil surveys often tend to concentrate on pedological aspects and to ignore soil physics and the factors that influence drainage. Preliminary Estimates of Irrigation Water Requirements for Possible Crops For new irrigation developments. judgement should be exercised to avoid duplication of effort. If necessary.261 stations in 144 countries in Asia. and this work should take no more than an hour or so (provided data are readily available or assumptions can be made on local planting and harvesting dates). as derived from CLIMWAT. Middle and South America. system capacity and overall peak project water requirements can probably be based on using the 80 percent probability of exceedance effective rainfall for the nearest representative rainfall station to the project area. in diskette form. and any potential drainage problems associated with this. of 3. seepage predictions. it will need to be addressed by further studies. and presented in FAO Irrigation and Drainage Paper 46 (1992). There may also be a need for drainage studies on rehabilitation projects even where there is no evidence yet of a problem.Guidelines for Planning Irrigation and Drainage Investment Projects 54 The main focus of attention for new development is likely to be the assessment of land suitability for the type of irrigation proposed.
Projects on international waterways require special consideration because. The irrigation engineer should judge whether the database is adequate and whether the methodology adopted is soundly based and applied. or from FAO Irrigation and Drainage Paper 241. 1: Irrigation and Drainage Paper 24: Crop Water Requirements.Guidelines for Planning Irrigation and Drainage Investment Projects 55 Conversion from net water requirements to gross should be on the basis of empirical local data for efficiency of the types of irrigation systems under consideration. to arrive at estimates of theoretical system demand/capacity for comparison with reality. Preliminary Assessment of Available Water Resources After confirming at a preliminary level the gross irrigation water requirements per hectare. government or its LPGs (including consulting companies) will probably have already analysed the data to establish the availability of water for the project(s) at a given risk of failure in supply (usually 20 percent). Otherwise. the volume of water reliably available on an annual or seasonal basis should be determined from the available data. and to identify system constraints. an international financing institution will not finance a project that would prejudice other riparian states. The availability of data on water resources will vary widely between projects and countries. so that the various technical options can be conceptualised and compared. but in general larger projects tend to have been under consideration for a longer period of time so that the degree of sophistication of the hydrometeorlogical and hydrogeological network is usually higher than for smaller projects. as already mentioned. within or across international borders. with empirical forecasting methods. and the existence of other irrigation or competing interests within the basin. If the scale of the proposed development or the complexity of the basin hydrology warrants it. Data needs for future refinement of the estimates should be identified. and will depend on the anticipated method of estimation envisaged. for small projects generalised estimates of mean annual basin run-off may have to used. the engineer should define the further work required to determine the feasibility of the proposals. FAO Rome (as revised 1992). A similar approach should be adopted for rehabilitation projects. prior to taking the further steps of project planning and appraisal. . The required depth of analysis of time-series data will also vary according to the scale of the project(s). If not. Instead it will normally require a prospective borrower to enter into international agreements with the other riparian states for the efficient and equitable use of the entire waterway system. and appropriate for the particular circumstances of the project.
an assessment should also be made of subsoil drainage. should enable the team to decide on the need for further socio-economic studies and their scope and focus. B or C (see Box II-2). as well as farmers and their wives. or perceive. the value of such reconnaissance is greatly enhanced. or an alternative checklist that may be preferred by government or the financing institution1. the team should gain a preliminary impression of the present. members of formal and informal groups. the drainage requirements for each of the options should be compared. traders. “without project”. The visits. The ICID checklist is also available as a WINDOWS-based software package. traditional leaders.existing schemes to that proposed. On the basis of these preliminary assessments. recommended in FAO/ODA Irrigation and Drainage Paper 53. is intended for non-specialists and enables otherwise timeconsuming work to be carried out in advance of expert input. the potential investment. For the options being considered.Guidelines for Planning Irrigation and Drainage Investment Projects 56 Preliminary Assessment of Drainage Requirements In view of the lessons learned. Preliminary Assessment of “Without-Project” Socio-Economic Situation From limited field visits. preliminary estimates should be made of surface run-off and drainage from known rainfall data. The approach to the screening process varies somewhat between governments and financing institutions. and particularly how farmers who would be affected by. Initial Environmental Evaluation This part of the planning process requires screening of the possible environmental impacts of the investment options under consideration.01 requires that projects should be screened for environmental issues and assigned to one of three categories: A. with varying levels of detail. topography and soils . water table depth and the drainable surplus. which is of particular value for scoping the subsequent EIA (if one is required) and it can also be used as a management tool for monitoring purposes at different stages of the EIA. situation. Although these reconnaissance visits may not be an effective substitute for a subsequent socio-economic and production systems survey (SEPSS). The team should use field visits and review available databases to screen the investment options. politicians. Its simple layout enables an overview of impacts to be presented clearly. and from available data from existing wells and boreholes. Environmental Impact Assessment of Irrigation and Drainage Projects. The Bank’s Operational Directive (OD) 4. together with the review of the available data. preferably using the ICID Environmental Checklist. .in terms of rainfall. Should it be obvious at this stage that any of 1: The ICID checklist. but that of the World Bank is typical. by widening the range of initial contacts to include not just local government staff but also persons working with NGOs and religious organisations. which enables rapid production of a report directly from the field study. drainage considerations should form an important part of the process of considering the investment options. From similar .
problems over procurement of goods. private sector groups such as contractors and consulting companies. and of any adaptations to investment options that would be needed to match the scale of investment to institutional capacities for implementation. At the government level an indication of motivation and commitment will be the rate of staff turnover.or reorientation. These assessments are to assist planners to select the better options and ultimately arrive at the best project proposals. etc. or that land acquisition and resettlement would be required.Guidelines for Planning Irrigation and Drainage Investment Projects 57 the project options would result in quantifiable negative impacts. Preliminary Evaluation of Institutional Capacity A preliminary evaluation should be made of the capacity of existing institutions to undertake and sustain the specific development being considered. • The resources of the concerned institutions. if they exist. these should be performed as components of the subsequent feasibility investigations for the chosen option(s). physical facilities and budget. It is emphasised that the purpose of the initial environmental assessment. social impact assessment (SIA) or a Land Acquisition Assessment (LAA). and whether there are any significant operational problems: for example delays in decision-making. taking account of the new requirements of the project or project options. are required. NGOs. Institutions to be assessed include government agencies responsible for irrigation development and environmental protection. imbalances and inconsistencies. as a result of the screening process. One indication of capacity is precedent. • The performance of the institution in being able to fulfil its objectives in a timely and efficient manner. The evaluation should establish: • The goals and objectives of the government institutions responsible for irrigation. late release of funds. water users’ associations (WUAs) and their apex organisations. whether they are still valid or whether there is a need for redefinition . and so on. which is most likely to be strongly related to 1: For previous internationally financed projects valuable information can be obtained from project or implementation completion reports. operating and maintaining schemes in the past1.perhaps through new legislation . and whether there are areas of weakness. in terms of staff. If. an environmental impact assessment (EIA). supervision reports. . ie how successful institutions have been in developing. like the preliminary evaluation of institutional capacity and the preliminary cost-benefit analysis (see below) is not to rule project proposals out of hand. the likely impacts should be clearly identified and approximate costs estimated for consideration in the comparison of the options.
. staff numbers and their qualifications. such as willingness to contribute to capital costs and acceptance of the responsibility for (and cost of) O&M. should therefore form the basis of an assessment of the opportunities and constraints for establishing new WUAs for new or rehabilitated schemes. the role of many irrigation institutions is in a state of flux: from being executing and O&M agencies they are now often expected to adopt a coordinating and facilitating role. who could be engaged during the subsequent final planning stage. it is equally important for the team to gain an insight into management systems and style. with emphasis being placed on participatory planning and implementation and management transfer. are buildings in good repair. Comparisons of the Likely Costs and Benefits The main aim at this stage is to compare the likely financial and economic performance of the available options. and adoptable by. and if there are doubts regarding the capacity of the key institutions to adapt to change and fulfil their new responsibilities. The assessment of ability or willingness to undergo this transformation will require subtle analytical skills. the farmers attitude to change. Although structure. levels of cost recovery and whether they have achieved any success in improving the lot of tailenders. in terms of their current involvement in O&M. and to support the selection of the preferred options. Again. or are vehicles available. Matching project objectives with institutional capacity is a crucial element in conceptualisation. in order to detect any management constraints. farmers. to confirm that these are likely to be attractive to. The state of the institution’s infrastructure and facilities might indicate the importance given to it by government: for example. and what proportion of expenditure is made up of salaries and wages? Organisational charts can be useful in indicating the degree of complexity of the organisational structures and might give a clue to problems of management. The commitment and performance of existing WUAs. precedent may be the most useful indicator. facilities and equipment are important. should be assessed. especially span of control and the critical responsibilities for decision-making. expert advice should be sought from an institutional specialist or management consultants. It is important to note that in the changing investment environment of recent years.Guidelines for Planning Irrigation and Drainage Investment Projects 58 their terms of service. and how many of them are on the road or in the workshop? What is the balance between capital and operating costs. such as reluctance to delegate. At the scheme level.
Guidelines for Planning Irrigation and Drainage Investment Projects
Box II-2 - Categorisation of Irrigation Projects According to the Need for Environmental Assessment The World Bank’s approach, as set out in its Operational Directive 4.01, is to categorise and act upon projects, or project components, under three headings: Category A Projects/Components. These are likely to have significant adverse impacts that may be sensitive, irreversible, and diverse. The impacts are likely to be comprehensive, broad, sectorwide, or precedent-setting. Impacts generally result from a major component of the project and affect the area as a whole or an entire sector. A full environmental impact assessment (EIA) is required. Category B Projects/Components. There may be adverse environmental impacts but these are less significant than category A impacts. Few if any impacts are irreversible. They are not as sensitive, numerous, major, or diverse as category A impacts; remedial measures can be more easily planned. Preparation of a mitigation plan suffices for many category B projects. Few category B projects would have a separate environmental report; most may be discussed in a separate chapter of the project document or feasibility study. Category C Projects/Components. Professional judgement finds the project to have negligible, insignificant, or minimal negative environmental impacts. An EA or environmental analysis is normally not required.
Estimates of Project Benefits Assessments should be made of the key parameters of yield expectations, cropping intensities, and prices for inputs and outputs, on the basis of which outline budgets for key crops and perhaps simple farm models should be prepared. Initial estimates should be made of the incremental benefits, in terms of those accruing to the farmer and the overall project, in financial and economic terms, for comparative purposes. Assumptions that a high proportion of the land will be planted to high value (ie mainly horticultural) crops should be regarded with caution and even some scepticism, because of the likely need for specialised farming skills and potentially restricted market size or difficult access. Preliminary Cost Estimates Previous estimates of capital cost should be reviewed to the extent possible with the level of detail available. The level of engineering design detail upon which these estimates will be based will vary, but in most cases estimates will be based on outline designs only, and it will be necessary to make an allowance for physical contingencies of at least 15-20 percent to allow for unforeseen costs that may be added as more detailed engineering designs are prepared.
Guidelines for Planning Irrigation and Drainage Investment Projects
Annual operating costs should be estimated on the basis of energy costs for water delivery, salaries and other benefits for an assumed operating staff complement, their vehicle operation costs and office running expenses. Annual maintenance costs should usually be based on a fixed percentage of the capital cost (see Annex 2 for examples). Preliminary Cost-Benefit Analysis A simple cost-benefit analysis, in financial and economic terms1, can then be carried out on each of the options. This can take either or both of the following forms: • net present value (NPV); or • internal rate of return (IRR). If the practitioner is more comfortable with this, the analysis could be performed using COSTBEN, the PC-COMPASS module for cost benefit analysis2. It should be emphasised however that a high degree of accuracy in cost-benefit analysis at this stage is unnecessary, as all that is intended is a rapid comparative analysis of the options, so that government can better decide on a preferred course of action.
Initial Project Brief
On completion of these studies the team, in liaison with any LPG, may prepare an initial project brief (IPB - see Annex 3), or sometimes a formal identification report. This will be presented in draft form to government and the financing institution and will be the basis for discussion at a consensus-seeking workshop (see below). The IPB should contain the team’s conclusions and recommendations with regard to the preferred option(s), supported by reasoned arguments and highlighting any outstanding issues. Because the intention is that the planning process should be streamlined, the main text should be very concise and should as far as possible refer to, rather than quote, previous work, such as the subsector review and strategy formulation report. It should however contain, in appendices, draft terms of reference and cost estimates for the various detailed studies and other activities that need to be carried out to complete the planning process3. It should also suggest the proposed allocation of responsibility between government, contractors (including contracted NGOs) and any external technical assistants, and
1: i.e, using border prices for inputs and outputs, deducting any subsidies or taxes, and shadow pricing local currency and - if appropriate - labour. 2: This software is available from FAO to staff and consultants of FAO and the World Bank, FAO member government institutions, other multilateral financing institutions and universities at no cost. 3: See Annex 3 for suggested contents and coverage of typical terms of reference.
Guidelines for Planning Irrigation and Drainage Investment Projects
provide a tentative programme, in the form of a bar chart, for achieving these tasks1. It will usually be unnecessary to prepare technical annexes for the IPB, since technical work so far will have been limited and will be superseded by more detailed investigations. However any relevant working papers can be separately bound and presented to government and the financing institution if necessary.
Achieving Consensus on Investment Concepts and Options
It is often desirable to conclude the conceptualisation process by holding a workshop, which should be attended by as many as possible of the stakeholders or their representatives, including those of the financing institution, LPGs, and, if possible, the farmers. In some cases it may also be worth inviting interested NGOs and/or representatives of private sector interests. Although it might seem preferable to hold this towards the end of the team’s in-country work, this is usually impractical for operational reasons and because in many cases the team will not yet have completely formulated its ideas. Thus the workshop is more often held sometime after completion of the in-country work, and the draft initial project brief or identification report can be used as the basis of discussion. Depending on the available budget, various members of the conceptualisation study team may attend, or they may be represented by the team leader only. The workshop should usually commence with a verbal presentation by the team to all participants, preferably supported by visual aids. The workshop may then be broken down into smaller discussion groups. The objective should be to: • seek opinions from the stakeholders, to arrive at or advance towards a consensus on the preferred project option(s); • discuss the work involved in further planning, the responsibilities for undertaking this, and to agree a timeframe for the work. On completion of the workshop, an account of the proceedings should be prepared, probably in the form of a brief aide mémoire (for guidance on content see Annex 3) agreed with the senior representative of government attending the workshop. This should highlight any remaining issues that need to be resolved, and actions required, before proceeding with further planning. The draft IPB or identification report may then if necessary be finalised taking account of the deliberations of the workshop,
1: The use of WINDOWS-based proprietary software, such as Microsoft Project greatly facilitates this and subsequent progress monitoring, although the use of squared paper and pencil may be more appropriate in some circumstances.
• consistent with the felt needs of the intended users.Guidelines for Planning Irrigation and Drainage Investment Projects 62 although this may not be strictly necessary if an aide mémoire has been produced: the object should be to move to the next stage of planning as quickly as possible. and • ready for implementation. Increasingly however it is likely to comprise investment in a subsectoral programme (see Box II-3). in the programme approach subprojects are selected and planned in detail after appraisal and loan approval. PLANNING THE PREFERRED OPTION Objective and Approach Once a recommended project option has been selected and agreed between the government and financing institution. the “project” may comprise a conventional investment in a specific major item of new irrigation infrastructure. As discussed in Part I. In the conventional project approach it is usually necessary to complete all planning and much of the engineering design before appraisal. This has a significant influence on the extent to which planning must be completed prior to appraisal. • unlikely to result in any adverse social impacts without adequate compensation. to avoid cost overruns in project execution which may arise as a result of insufficiently detailed designs or inadequate site exploration. The conventional project approach is usually adopted for investments in major infrastructure development. environmentally and fiscally sustainable. detailed planning should be put in hand. and not often compatible with . The conventional approach is rarely compatible with demand-led development. rather than redrafting earlier work. so that the task of appraisal is one of merely passing judgement on it. • institutionally workable. • economically and financially viable. In this case the level of accuracy desirable in cost estimates at appraisal is important. on the basis of criteria agreed at appraisal. • technically. without the need for any repetition of earlier work. The purpose of this part of the process is to make the proposed project ready for appraisal by the financing institution. The outcome should be a project dossier or document that is in many respects a feasibility report: ideally it should define the project in all respects. • technically sound and the best of the available alternatives under existing technical and economic constraints. The project dossier should therefore demonstrate that the project is: • in conformity with the country’s subsectoral objectives and priorities.
volumetric measurement of water. (1991). . prepared with Investment Centre assistance. modernisation and transfer to users of 21 Irrigation Districts representing about 60 percent of total irrigated districts. and thus help sustain the investments by the beneficiaries. and • optimise the use of land and water resources in the Irrigation Districts and Units. providing more adaptive research results. salinity problems and lack of maintenance. deferred maintenance of the remaining Districts. and rehabilitating irrigated land affected by waterlogging. The project was designed to be the Government’s investment programme for irrigation and drainage covering FY 1991 through 1994. Source: Staff Appraisal Report: Mexico .Guidelines for Planning Irrigation and Drainage Investment Projects 63 Box II-3 . institutional development assistance for CNA and User Organisations. • strengthen the institutional capacity of the National Water Commission (CNA) and user organisations to implement policy programmes. • improve water use efficiency by introducing better water management techniques.Irrigation and Drainage Sector Project. procured competitively and implemented efficiently. In support of these investments the project also included environmental studies and actions. the conjunctive use of surface and ground water. World Bank.Mexico: Sectoral Investment in Irrigation The World Bank-financed Irrigation and Drainage Sector Project in Mexico. • fully utilise existing irrigation schemes by finishing uncompleted works. and training of technicians and farmers in better operation and maintenance of irrigation infrastructure. repair and acquisition of maintenance equipment. and other studies and designs. • decentralise irrigation funding and management through institutional reforms that would gradually move funding of irrigation and drainage investments from a centrally managed system of government grants towards a system based on regional and local public utilities which would help to recover costs through user charges and collection instruments. • monitor and help prevent environmental and natural resource degradation. investments and maintenance. upgrading deteriorated infrastructure.2 billion. Agriculture Operations Division. completion of 23 on-going investments and construction of 3 new investments. totalling about US$ 1. is intended to help Government to: • sustain the irrigation and drainage sector through investments selected on the basis of rigorous economic and technical criteria. It provided for rehabilitation.
which may be limited initially by institutional capacity. because. for the following reasons: • it can allow for development to be demand-driven. there are and will be many cases when there is no alternative to this approach. In a programme approach it is usually inappropriate to carry out feasibility studies and detailed designs for specific schemes prior to appraisal of the overall project proposal. For this type of approach. absence of adverse social and environmental impacts. It can be applied to both new development and rehabilitation. in contradiction of the intention of demand-led development. but can be gradually accelerated as capacity is built through learning by doing. and so on (see Box II-4). planning and design are carried out against tight deadlines. provided studies. The programme approach can be adopted for a wide range of irrigation and drainage investment types. . To bring such programmes to a state of readiness for appraisal the following are necessary: • Firm evidence that there is scope. designs and costing of a sample of typical schemes have shown them to be viable. an assumption can be made on the viability of other similar schemes. agreed levels for farmers’ contributions to capital costs and acceptance of O&M costs. but is generally more suited to small-scale irrigation or to discrete command areas within larger scale schemes. • it can allow the implementing agency to proceed with the design work at its own pace. The programme approach is often preferable to the conventional project approach. These might include for example a maximum cost per hectare. is therefore more amenable to participatory design and construction. hence greater ownership by the users and improved prospects for successful implementation and sustainability. as mentioned earlier. minimum economic rate of return (ERR). • it can also present the great advantage of minimising the delay between completing design (thus raising farmers’ expectations) and starting construction. demand and institutional capacity for investment in subprojects. • A set of criteria against which subprojects can be screened during programme implementation. Nevertheless. Discrete developments can then be treated as subprojects within an overall investment programme. and investigation and designs for these schemes can be done on a rolling basis during loan implementation. since this implies pre-selection by planners rather than farmers.Guidelines for Planning Irrigation and Drainage Investment Projects 64 institutional capacity building. • A detailed implementation plan.
. The information derived is then evaluated against criteria for maximum and minimum required storage ratio (ie the ratio of mean annual inflow to storage capacity) and the ratio of storage capacity to embankment volume. FAO. investment is approved. and farmers are still prepared to contribute to the cost. not all of these would justify the investment costs. the estimated dam height. This consists of: • First stage screening based on rapid survey using reconnaissance equipment and techniques. including altimeter readings for dam height. a: Source: Document No 122/94 TCP-ERI 6 WP2: Eritrea: Agricultural Development Project in Seraye Province . to confirm that irrigable land is available downstream within 1 km of the proposed dam. Following detailed analysis of the costs and performance of a number of existing dams in the project area. embankment volume and storage capacity is estimated using formulae developed for the purpose. From this information investment costs per ha are compared with a budget investment ceiling that has been determined from cost-benefit analysis. Rome (1995). Eritreaa The Highlands Horticultural Development Project in Eritrea includes a programme for the construction of a number of dams for small-scale vegetable production. evidenced by declared willingness to contribute towards capital cost. However. Once screening has indicated that a dam site is worthy of further consideration for development it is elevated from the status of “potential” to “promising”. that the area of land to be inundated does not greatly exceed the irrigable area. From this. for which potential export markets exist. Investment Centre.Suggested Procedure for Screening and Appraisal of Small Dams for The Highlands Horticultural Development Project. a methodology was developed for the rapid screening of potential dam sites and subsequent appraisal of the more promising sites. and that there is a demand for the dam from the community. Provided estimated costs are below the ceiling. assuming the standard cropping pattern.Guidelines for Planning Irrigation and Drainage Investment Projects 65 Box II-4 . and prepared for appraisal by carrying out topographic surveys. although the project area offers numerous potential dam sites. • Second stage screening of those sites passing the first stage. and “Abbey level” and rangefinder measurements for dam crest length and reservoir throwback. typical yields and prices. detailed designs.Working Paper 2: Investigation of Water Resources Development Options in High Potential Areas of Seraye Province. estimation of the reliable annual availability of water (using standard formulae developed for the purpose) and potentially irrigable area (assuming standard cropping patterns and generalised irrigation requirements based thereon).
and so on. In general. shallow soils. engineering feasibility studies. including government irrigation agencies. local institutional capacity. and thereafter close contact should be maintained with all other stakeholders. The detailed planning process should continue the participatory approaches adopted during earlier work. Planning may be a single integrated operation. local consulting companies and NGOs. or it may be done by external support teams. including the following: • water resources/irrigation engineer. . If the work is broken down into a number of separate studies. rural infrastructure. plus specialists in topics specific to the type of development being proposed.for instance those for major structures or main canal alignments . aimed at further strengthening stakeholder commitment to the project. Such a review may involve further field work to confirm earlier impressions and to visit sites of particular importance . with a similar period afterwards for finalising analyses and documentation. neither a sociologist nor an environmental specialist would be required unless outstanding issues still needed to be resolved at this stage. and so on. agro-processing. the Investment Centre might be required to provide a team to review the various results. Provided a SEPSS and environmental/social impact assessment/mitigation plan have already been prepared as a part of the planning process. Some or all of the work may be carried out by local planning groups.Guidelines for Planning Irrigation and Drainage Investment Projects 66 The physical nature of the project. WUAs. and draft or compile the required project dossier. prepare the economic analysis. Thus if an external support team is involved. • economist/project analyst. including if possible any representatives of the users and any losers. • irrigation agronomist. marketing. integrate the various reports and working papers.also to inspect particular problems such as areas of poor drainage. or it may be broken down into several parts. such as the Environmental Impact Assessment (EIA). legislation. the team should spend about four weeks in-country. and whether a conventional project approach or the alternative of a programme approach is adopted will influence how planning is carried out. and • institutional specialist. Socioeconomic and Production Systems Survey (SEPSS). eg credit. An Investment Centre mission for a review and consolidation of planning work and preparation of a project dossier is likely to comprise four to six specialists. including consulting companies or the Investment Centre. its work will often begin with a round-table meeting with the senior representatives of the ministry or department(s) responsible for water resources and irrigation development. or operational difficulties that have been revealed by the work to date.
markets. and so on. which gives a suggested outline for a typical project dossier. accurate to plus or minus 15 percent. manual site surveys (see Appendix 1 for indicative scales). • Aerial photography and mapping. since it further encourages stakeholder commitment. The list of activities which follows should be read with that in mind . and project cost estimates.as should Appendix 1. The degree of detail required will depend on the scale of the works. can be based. at which all stakeholders are given an opportunity to influence the final version. Activities for Planning the Preferred Option Engineering Studies Engineering studies will be necessary for most irrigation and drainage investment projects. The object of the engineering studies is to provide the necessary technical information to permit the preparation of preliminary designs upon which estimates of quantities. The work involved and level of detail required for planning the preferred option will vary. whether for new development or rehabilitation. repetitive works can be based on sample type designs. but also in terms of organisation. It also helps to promote a sense of ownership among the stakeholders if a concluding workshop is arranged to discuss the draft project dossier. its information needs.Guidelines for Planning Irrigation and Drainage Investment Projects 67 As elsewhere in the planning process. it will still be necessary before funds are finally committed to demonstrate that individual investments can satisfy the technical. extension. and what has already been achieved in terms of data collection. environmental. For example there are obvious differences between a project using groundwater and sprinklers for the intensive production of vegetables by commercial farmers. financial and economic criteria for viability. analysis and engineering design. social. Whether a conventional project approach or the alternative of a programme approach is adopted. and one using a simple river diversion for surface irrigation of rice by small farmers. depending on the nature of the project or programme. What will vary is the timing of the various planning activities in relation to appraisal. to define the physical infrastructure to be developed or type of improvements intended. Such studies should include some or all of the following: • Interpretation of satellite imagery. need for credit. These projects are not only different physically. the participation of the financing institution’s project controller or task manager towards the end of the team’s in-country work is usually a great advantage. .
For small ungauged catchments a synthesis of rainfall. Investment Centre. • Estimates of surface and subsurface drainage requirements. the nature of recharge and sustainable yield of aquifers. Conversely. and FAO Irrigation and Drainage Paper 48. including a correlation of rainfall with run-off to extend or infill records of surface flows. . Consideration should also be given to the possible crop sequencing and rotation that farmers might adopt. • Estimates of water demand for the existing and proposed cropping patterns. see Paper No 78 in Branscheid V. 2: See: FAO Irrigation and Drainage Paper 29. In any case it will be necessary to assess water quality and any aspects that could limit its use for irrigation. rather than assuming one based on the area that it would be possible to irrigate if the 80 percent probability (say) flows occurred each year1. and cropping patterns that avoid unreasonable peaks in water demand. based on a design storm of selected return period and locally obtained data on subsoil drainage and water table depth. catchment area and assumed run-off coefficients may be acceptable. 1: For an example of a spreadsheet for doing this. • Studies of present utilisation and future demand for surface and underground water and the prospects for other developments within the same catchment that could affect water availability. FAO. Rome. water availability should be simulated to provide an indication of likely availability to meet demand over the period of analysis of the project (eg 25 years). consideration may be given to the use of agricultural drainage water and municipal waste water for irrigation2. based on the use of the FAO CROPWAT and its computer database CLIMWAT or an alternative locally developed method of estimating cropwater requirements if this is appropriate3. • Groundwater studies to investigate water table depth. • Water quality analyses. Water Quality for Agriculture (revised 1985). The Use of Saline Waters for Crop Production (1993). These studies may include a consideration of the possibility of designing for deficit irrigation (see Box II-5). Where practicable.Guidelines for Planning Irrigation and Drainage Investment Projects 68 • Surface water resources studies. Irrigation Water Management Briefs: 100 Collected Papers. 3: For example the use of locally developed Et/Eo ratios and US Class A pan evaporation data. Assessment of the emergence of competing demands for water for urban and industrial uses that could influence availability for irrigation. as is the widespread practice in Southern Africa. This should permit the prediction of the likely year-by-year cropping intensity.
but the best channel of communication with farmers is usually through an elected . on public schemes more people benefit when water is spread over a larger area. Planning for deficit irrigation can lead to substantial capital cost savings. Supplementary topographic survey may also be required to verify original construction drawings and to provide additional technical information.Guidelines for Planning Irrigation and Drainage Investment Projects 69 Box II-5 . However. with the exception of rice. and this can sometimes mean the difference between viability or otherwise. constraints. The point at which the response curve flattens out marks the beginning of diminishing marginal returns to additional water: small reductions in water supply below that required for maximum evapotranspiration therefore tend to result in only marginal reductions in yield. The social and economic efficiency implications of deficit irrigation are obvious: commercial operators apply the concept to increase farm profit. Furthermore deficit irrigation usually implies sophisticated water controls and accurate water management that may be inappropriate for smallholders. in any case the ratio of the value of goods produced to the amount of water consumed is increased. • For schemes being considered for rehabilitation and upgrading. and maximum yield is unlikely to be the optimum yield per unit volume of water applied. a: FAO Irrigation and Drainage Paper 33. sources of inefficiency and the scope for efficiency gains. other than simply “old age”. have flat peaks around the maximum evapotranspiration. or perhaps greater than usual reluctance to pay for O&M. It is also the time to encourage demand-led investment by establishing what farmers would like to see improved and the extent to which they are willing or able to contribute to the cost of improvements. This is the time to enlist the support of farmers. a detailed diagnostic operational study to identify the present condition of the infrastructure. but the yield/water response curves of most field crops. careful consideration should be given to whether such a decision could lead to greater inequity in the supply to tail-enders. Rome (1979). Drought tolerance varies considerably between species and stage of growth. The modalities for achieving this will vary from case to case. for example by planting cotton rather than sugarcane or rice. before taking a decision to design for deficit irrigation. as peak irrigation requirements and canal discharges are reduced. Deficit irrigation can also lead to even greater economic gains than maximising yields per unit of water for a given crop: farmers are more inclined to use water more efficiently and returns can be optimized through more water-efficient cash crop selection. to obtain details of the past performance of the scheme and what brought about the need for rehabilitation.Water Scarcity and Deficit Irrigation FAO Irrigation and Drainage Paper 33a provides a detailed exposition of the relationship between water supply and yield for various crops. provided the cost of developing the incremental area is low. FAO. Yield Response to Water.
As in the SEPSS (see below). including local consultants or consulting companies. arrangements should be made to upgrade this to an acceptable scale and standard (see Appendix 1). This is usually carried out by LPGs. • Preliminary engineering designs for roads and other infrastructure. Soils and Land Capability Studies If the available soils and land capability mapping are found to be inadequate. suitably experienced NGOs can be contracted to assist in the process. bearing in mind that rehabilitation might accelerate waterlogging and salinisation by making more water available. particularly for rice. with special attention paid to drainage aspects. • Operational hydrology studies on the proposed new or rehabilitated distribution system. to establish practical operating schedules (for which the FAO SIMIS programme1 may be found useful). Agricultural and Marketing Studies and the SEPSS Depending on the nature and complexity of the proposed project and the availability of detailed information regarding the without-project situation. main structures and water supply/drainage system. including automatic controls if these are considered to be an appropriate technology. as well as any perceived problems. is of special importance for the estimation of irrigation scheduling and irrigation water requirements. priorities and areas of convergence/ divergence between government and the intended users. 1: SIMIS (Scheme Irrigation Management Information System). FAO. FAO Rome (1979). This time consuming activity should be carried out by the government soil survey or private contractors/consultants.Guidelines for Planning Irrigation and Drainage Investment Projects 70 committee of a water users’ association or similar body. as it affects infiltration and permeability and waterholding capacity. depending on which is likely to deliver the quickest result. thus contributing to overirrigation. slope stability analysis and creep ratios. Soil type. Specialised briefing and support for field work is often given by staff of the Investment Centre. broken down into foreign and local costs. • Detailed cost estimates for the civil works and their operation and maintenance. 2: Soils Bulletin 42: Soil Survey Investigations for Irrigation. FAO Soils Bulletin 422 provides indicative estimates of output rates for soil survey teams. The SEPSS is used to verify the assumptions underlying the project concept. Rome (forthcoming). often to considerable advantage. • Preliminary engineering designs for the scheme layout. seepage predictions (which are of particular importance in decisions on whether or not to line canals). . focusing particularly on water saving measures and ease of farmer operation and management. • Geological and/or geotechnical investigations for foundation design. it may be necessary to organise a socio-economic and production systems survey (SEPSS). and local university groups.
yields and trends. problems. as well as the demands that the project will place on them . • people’s aspirations and expectations. petty trading and remittances. Techniques for carrying out the work required are suggested in Investment Centre Technical Paper No. • extent and methods of existing irrigation. control of crops and income from their sale. time available for crop and livestock production and other activities. . from the farmers’ perspective. irrigation O&M) that might have a bearing on the potential for management transfer to irrigators. gender relations and disaggregation of labour. and the responsibilities of husband and wife as family providers. and the reasons for any decline in areas planted or yields obtained under irrigation. • any conflicting or competing demands for labour. especially the extent of farmer interest in the project and implications for project planning. FAO Rome (1992). constraints and means of overcoming them. 91. • the household economy. • the scope for cost recovery.for example their possible contribution towards capital costs and subsequent O&M costs. • the existence of any group activities within the area (eg for marketing and input supply. past and present irrigated cropping patterns. 1: FAO Investment Centre Technical Paper 9: Sociological Analysis in Agricultural Investment Project Design. on-farm production. if any. and alternative sources of income from offfarm employment. an explanation for any differences. • the likely impact of the project on any of the above. but should in any case continue or expand upon the process of participatory appraisal and planning that may have been initiated during the engineering studies. The investigations should be designed to establish: • present land use. an indication of yields and production.Guidelines for Planning Irrigation and Drainage Investment Projects 71 The investigation may employ rapid rural appraisal techniques. labour and capital. • if irrigation already exists. farm size. including contributions towards capital costs and recovery of O&M costs. use of inputs. on-farm irrigation practices compared with expectations at initial project planning. in the project area. access to and control over land. crop varieties and yields. • the respective roles of the public and private sectors in input supply and marketing. • intra-household dynamics. and availability of draught power. It should assist in assessing farmers’ perceptions and likely response to the opportunities that the project is expected to offer. • market opportunities and the implications for potential cropping patterns. • for farmers in development schemes similar to those proposed. farming systems and practices.
This should establish whether there might be any obstacles to successful implementation. such as a lack of secure tenure or water rights. and type of tenure. for land tenure and water rights should be examined in detail.see Box II-2). Land Tenure and Water Rights Investigations The existing arrangements. proposed legal provisions and regulatory mechanisms for minimising adverse impacts. degrees of fragmentation. it may be necessary to carry out marketing studies within the country. Environmental Impact Assessment and Action Plans If. a full environmental impact assessment (EIA) and possibly also a land acquisition assessment (LAA) will be required. again possibly based on the ICID checklist. and health aspects. the proportion of owner and tenant-operated farms. It should propose an environmental action plan (EAP) and if necessary a land acquisition plan (LAP) which will include measures such as compensation for oustees. This should provide data on the size and distribution of properties and farms. waterlogging and salinisation. pollution1 or depletion of groundwater supplies. at the stage of conceptualisation. 1: eg as a result of increasing use of pesticides and fertilizers. possibly based on the ICID’s environmental checklist referred to earlier. which may include a monitoring and evaluation system. . or a consulting company.Guidelines for Planning Irrigation and Drainage Investment Projects 72 Depending on the intended cropping pattern and whether the viability of the project relies on the inclusion of high value crops. Data should be interpreted in terms of farmer interest in developing irrigation. displacement of human settlements and the impact on oustees. although a separate EIA or LAA will not usually be required. The EIA/LAA may be carried out by government or its LPG. For category “B” projects. All identifiable costs should be itemised for inclusion in the cost stream of the proposed project. or overseas if export crops are proposed. it will normally be necessary to prepare a mitigation plan for reversible impacts. Depending on the circumstances of the project and its location. The EIA/LAA should consider inter alia potential erosion and sedimentation hazards. which could inhibit participatory development and capital cost contributions by the users. customary or otherwise. it may be necessary to arrange for a cadastral survey to establish the existing land tenure pattern and its implications for project planning. the project has been placed in environmental category “A” (according to the World Bank’s classification or the equivalent . and provision for systematic monitoring and evaluation.
it should be reconfirmed that this issue is not likely to prejudice the proposed project. Successes and failures and the lessons learned . organise and manage the proposed project therefore demands particularly detailed and careful study. Institutional capacity assessment may be carried out by government as a form of self-analysis but it is likely to benefit from an independent external review. Any other initiatives towards promoting communities’ management of their own affairs and resources should also be assessed. It should cover rural institutions and support services operating in the project area. . and to identify those whose means of livelihood might be affected favourably or unfavourably by the investment. It is now realised that much deeper analysis is required. including extension. research and credit. Should planners have any doubts about the capacity of key institutions to fulfil their responsibilities.should be noted. this expectation ignores the influence of individual styles of management and behaviour (see Box II-6). organisation and management. as well as local systems of village administration. This is because although outwardly similar organisations may in the past have been assumed to behave in similar ways. Special attention should be given to evaluating farmers’ organisations. Institutional Capacity Assessment A key condition for sustainable development impact is that the implementation requirements of the project should be matched to local institutional capacity. and the views of the present users taken fully into account.Guidelines for Planning Irrigation and Drainage Investment Projects 73 Recommendations for land titling. The assessment of institutional capacity to implement. expert advice should be sought from a management/institutions specialist. customary or otherwise. operation and maintenance.ie which institutional arrangements are working satisfactorily and which would need improvement or reorientation under the project . and in framing proposals for implementation. Although the issue of international water rights should have been dealt with in earlier consideration of the project options. it is usually best to leave decisions on redistribution to customary or traditional authorities. Where customary rights exist. unless there are very good reasons to do otherwise. There may also be a corresponding need to examine and inventorise water rights. These should all be considered in deciding on project scope. Recent thinking in management science suggests that the conventional mechanistic approach to institutional analysis may no longer be appropriate. redistribution or consolidation to facilitate irrigation development should be approached with caution. that could form the basis of future WUAs. or their own ability to analyse them. including WUAs or savings and credit clubs and/or marketing and supply cooperatives. as well as the government departments or authorities responsible for irrigation development.
there is the quantitative question of workload. additional proposed activities can be handled by the available staff. is more difficult. judgements should be made on the level of technical skills: for example are the qualifications and experience of the staff adequate for the tasks assigned to them? The staffing structure can be examined by looking at the ratio of staff to clients at different levels.ie are legislation or administrative changes needed to enable the institution to carry out the tasks proposed. When assessing manpower resources. The other part of the equation. Even more difficult. Activity sampling and short runs of diary keeping by staff may help. but important to quantify. as the information could be damaging to people who offer frank assessments of current underloads. in terms of workloads on suitably qualified staff and availability of other resources to permit the performance of the tasks to be undertaken? • How likely is it that the perceptions and behaviour of those in and around the organisation will frustrate the proposed activity? • What effective methods can be identified to overcome negative behaviours and perceptions? The remit and formal structure of an institution. however this kind of enquiry needs caution. However. Estimating incremental workload from proposed additional activities can be usefully done by critical path analysis and resource scheduling methods. In many cases. is the likely response to changes in incentives and workload that could be implied by the proposed project. but the temptations on those being analysed to manipulate the results are strong. to rectify obvious configurational problems. using project management computer software. at “normal” rates of working. In addition. for example. may be assessed through interviews with senior staff and a review of written regulations and procedures. This part of the assessment may also be approached by structured . and any restrictions or obligations placed on it. or to expedite execution? • Is the organisation quantitatively capable of executing what is proposed.Guidelines for Planning Irrigation and Drainage Investment Projects 74 In assessing the capacity of an institution to take part in a proposed project or programme a number of questions need to be asked: • Are the formal aspects of the situation right . and the ratio of senior to supervisory to field staff. subjective estimates by those likely to be involved of the percentage of their time currently utilized will be the best available measure. and most of the standard techniques from work study are usually impossible to apply to implementation of irrigation and drainage projects in developing countries. assessing numerical capacity. ie whether. the size and timing of peaks in the workload can be sensitive to guesswork about workrates. Most of the foregoing relates to qualitative aspects of understanding particular organisations.
additions and restrictions. and so on. qualifications in relation to specifications. budget. • That all reasonable people share the same view of the working situation. It is important to know who makes the ground rules and key decisions in the institution. with respect to other related ministries. or actually impede it? The position of the institution within the organisational structure of the agriculture and water sectors can also be crucial . Organisational charts can be useful in indicating the degree of complexity of the organisational structures. what is sound managerial practice. it will lead to high productivity from a given set of staff and resources. • That there is something called leadership. ie what the task is. job descriptions. and it is important to understand the relationship between national.Institutional Capacity Analysis The following are some essential considerations for institutional capacity analysis. the central planning agency. Box II-6 .for example. staffing. organigram. such as remit. and if necessary to redesign working arrangements. and if it is exercised. and whether the institution has a defective configuration. For example does the flow of funds support the degree of decentralization required. by “motivating” staff. how work is orchestrated. a general mood affecting the quantity and quality of effort put into work. Objective: To understand the way the institution currently behaves. This should enable the planner to understand its likely relationship with a new project. or parastatals. pursuing some line of action with an unambiguous intention. vacancy and turnover rates. and to attempt to anticipate its reaction to possible alternative interventions. According to this. organisations should behave like a very clear-headed individual. provincial and lower-level organisational structures. not always recognized as such. how these are made. Approach: The conventional approach to institutional analysis has tended to rely strongly on defining the formal aspects. .Guidelines for Planning Irrigation and Drainage Investment Projects 75 interviews with staff in the strata affected. focusing on perceptions of what needs are currently satisfied by their work and how far extra input of effort is seen as likely to yield relevant rewards. • That the “rational actor model” of organisations is the most appropriate. This approach has been driven by a number of assumptions. • That there is something called morale. Questions of centralized versus decentralised structure often emerge. what strategy and tactics will best achieve a given end. Features to look for might include whether lines of authority conflict with lines of consultation. etc. using the best available approach.
and the project is likely to involve measures for building sustainable institutional capacity. etc. it does not provide a ready recipe for project . which may compete for control of policy and other parts of the action. Most importantly. ie parent bodies. and the nature of its external coalition . to a synthetic one. ie organisational cultures are part of the situation. and using these data to construct the conceptual framework for the subject. and which may be subject to partly contradictory pressures from the external coalition. such as those above). which implies that uncovering the most potent ideas about the basic structure and phenomena in a situation may require field investigation. for investment projects to fund the temporary hiring of outsiders who had the skills needed to fill these gaps. it suggests that different institutions may come to very different understandings of how best to get things done. The synthetic approach has called into question all the assumptions listed above. the proposals will have to address the functional problems referred to above. it suggests that real organisations typically behave as coalitions of individuals and interest groups. while such technical assistance may successfully ease some project implementation problems. In the past the implementation of a project often created demands for skills which were either in short supply in the concerned country as a whole or inaccessible to the involved institutions. In either case. This is a more radical change than may appear: from the analytic approach. It accepts that organisational politics are real . as governed by “logic” (and some set of assumptions. therefore. or to scale-down the project to suit realistic expectations of the implementation ability of existing institutions. it has produced very different models of leadership and motivation. it has suggested that the knowledge of the formal structure alone is not enough to indicate whether or not a particular institution will fulfil some intended function. Finally. and which emphasises what people should do. More recently. the way its internal activities are orchestrated. regulators. an organisation’s configuration . among other things.Institutional Capacity Analysis (cont’d) The above approach is part of an orientation towards management that goes back to the early part of the 20th century. these define “reasonable” working roles and behaviour. the emphasis in management science has moved towards examining what managers (and other inhabitants of organisations) actually do. This may be to strengthen existing resources to match the implementation requirements of the project. The outcome of the assessment should be the basis of an institutional plan for the project. Experience has shown that. the public.Guidelines for Planning Irrigation and Drainage Investment Projects 76 Box II-6 . It was common. Secondly. From this perspective. which assumes it is normally possible to work out the basic structure of a problematic situation by reason alone.the fit between its task load. First.is very important.and their effects can be anticipated.
Reference should be made to the preferred sources for the particular types of technical assistance required. Problems also arise with the selection of technical assistance staff who may not fulfil expectations. Washington DC. a post-graduate student at a foreign university does the field work for a thesis in his/her own country. therefore. Problems also occur when their intended successors are absent on training for a large part of the assignment period of technical assistance. 1989. but one of the dilemmas is how to combine academic and on-the-job training in the most effective manner1. for candidates. has to be done with great care. with the full agreement of all concerned parties that recourse to outside assistance is essential. for instance. or when a foreign university is “twinned” with a local institution. terms of reference for each technical assistance assignment should spell out as precisely as possible the functions and reporting arrangements. and with the understandable tensions which occur when foreigners occupy senior and well-paid posts denied to the nationals of the country. such as the completion of engineering designs. thus limiting the opportunity for side-by-side work.Guidelines for Planning Irrigation and Drainage Investment Projects 77 success. The planning of a technical assistance element of a project. Many technical assistance staff find themselves so busy fulfilling their routine functions that they give insufficient attention to training the staff who should succeed them. Sometimes these can be combined when. see the World Bank/USAID Irrigation Training in the Public Sector: Guidelines for Preparing Strategies and Programs. Training should go beyond merely equipping people to take over the role of technical assistance staff. Economic Development Institute of the World Bank. and the planning of training components aimed at satisfying these. it should be explained how it would be phased out and how the functions would be subsequently assumed by local staff. as well as the minimum qualifications. bilateral and multilateral agencies (such as FAO and other UN specialised agencies) and NGOs. Proposals for technical assistance should be based on rigorous analysis of manpower needs and skill gaps and should only be put forward as a last resort. If the technical assistance is not for the completion of a finite task. because of the lack of experienced persons to assume the roles of the external technical assistance experts once they have left. taking into account both local and international consulting firms. The key to reducing dependence on technical assistance is a good training programme for national staff. 1: For guidance on this aspect. If project management and services are heavily dependent on outside technical assistance the sustainability of the project is likely to be in doubt. Training arrangements must be planned to ensure maximum benefit to local counterparts and a smooth transition after the end of any technical assistance. An important part of project design is the projection of wider manpower and skills needs. The choice has to be made between national training and training in overseas academic institutions. So as to avoid subsequent misunderstandings. .
this may not necessarily be essential if there is a reasonable chance that trainees will remain in the country. materials and labour. in terms of the users and the overall project. local costs and taxes and duties. such as: • Civil Works • Equipment • Technical Assistance • Training • Incremental Operating Costs Depending on whether it is intended to construct the civil works by direct labour/force account or by contractor. locally available construction materials (such as sand and stone) and/or cash. Separate tables should also show the expected sources of finance. which might include the provision of construction labour. there are likely to be several categories of expenditure. the costs should be broken down either into plant. Estimates of Project Costs Cost estimates should be prepared for the various project components. However. or summary accounts. but working in the private sector or for NGOs. Skilled and unskilled labour components should be separately identified. Thus. which may include: • Irrigation and Drainage Infrastructure • Institutional Support • Crop Development • Training • Research Support • Input Supplies • Road Development • Water Supply. and all costs broken down into foreign exchange costs.Guidelines for Planning Irrigation and Drainage Investment Projects 78 If a training programme is to be effective in building institutional capacity. . for each objective or component of a project. Estimation of Project Costs and Benefits Estimates of Project Benefits Prices of inputs and outputs should be prepared and entered into the PC-COMPASS suite of programmes to generate crop budgets. project support for training of individuals may have to be linked to their agreement to work in the sponsoring implementing agencies for a reasonable length of time after the completion of their studies. or into quantities of the various categories of work with unit costs. to classify the items against which disbursements will be made under the project. including anticipated users’ contributions. Sanitation and Other Social Infrastructure • Project Coordination Components should be further broken down by expenditure categories. farm models and estimates of the incremental benefits.
The life of the project is usually taken as the period corresponding with the useful life of the major investment components. as well as those arising from providing services and running the organisation and management system for the project. as mentioned.contingencies) plus the operating.a residual value may be applied earlier in the project life and attributed to project income. Both O&M costs and operating costs should be broken down in a similar way to capital costs.such as land acquisition and resettlement .but not price . Estimates of annual maintenance costs should usually be based on a fixed percentage of the capital cost (see Annex 2 for details). including irrigation and drainage projects in particular. taking into account differences in the timing of expenditure and income. Residual values of project-funded assets should be taken into account as benefits. Economic Analysis Economic Rate of Return There are several measures that can be used to demonstrate the economic feasibility of the project: each has its own advantages and disadvantages. However. maintenance and replacement costs1 of project works. their vehicle operation and office running expenses. and any quantifiable social .Guidelines for Planning Irrigation and Drainage Investment Projects 79 Annual operating costs should be estimated on the basis of energy costs for water delivery. provision should be made for the cost of their replacement when this is needed. They should also include the operating costs incurred by the farmers. although in some cases . while benefits only begin to accrue after a lapse of time. Consequently benefits earned and costs incurred in the near future have higher values than similar benefits or costs arising several years hence.for example when equipment used in construction is transferred to another project .or environmental costs. and typically ranges from around 15 to 25 years for irrigation and drainage investments. Operating costs for participating farmers may be derived from the crop budgets and representative farm models aggregated to give the overall project estimates. The application of a discount factor enables these costs and benefits to be compared on a present value basis. 1: If the life of certain project-financed investments is less than the assumed life of the project (which is nearly always the case). attention here is confined to the Economic Rate of Return (ERR) which may be defined as “the rate of discount at which the total present value of costs incurred during the life of the project is equal to the total present value of benefits accruing during the same period”. The cost streams used in the construction of the COSTAB tables referred to above should. salaries and other benefits for the proposed operating staff complement. usually at the end of the project life. include the capital costs of the project (including physical . and costs should be entered into the PC-COSTAB module of PC-COMPASS. costs are bunched at the beginning of the project. . For most investment projects.
For those inputs which could have a significant bearing on the viability of the project. which require that adjustments be made to the financial price. but no better series has been developed and their use has the advantage of ensuring a measure of consistency in pricing between projects and countries. Direct and indirect transfers (such as taxes or subsidies) are eliminated in the calculation. In other cases however there may be historical evidence to suggest that.) exist in some cases. Before use. production would continue either to rise (as a result perhaps of spontaneous small scale irrigation development) or to fall (perhaps because of progressive increases in soil salinity in the absence of drainage). However. applying to the opportunity cost the 1: If the analyses are carried out correctly. It should be borne in mind that for non-traded goods. value-added tax etc. prices are usually derived from forecasts prepared periodically by the World Bank. the date of compilation of the project dossier or appraisal. the aim is to set prices which reflect their opportunity costs. locally-made materials or many fruits and vegetables. internal transport and distribution. the final result should be the same. say. making adjustments for the cost of shipping. the present (ie pre-project) situation would persist. and making allowances if necessary for quality differences. such as farm labour. secondly. All costs and benefits should be expressed in economic terms. Nevertheless they should be interpreted with caution. without the project. but in practice. which may be higher or lower than the nominal price (but may be equal to it where competitive markets exist). It is then usually necessary to convert these figures to farm-gate prices by working backwards from the international forecast price. grains or oilseeds. The market price equals the opportunity cost in a truly competitive market. .Guidelines for Planning Irrigation and Drainage Investment Projects 80 The benefit stream will normally consist of the value of the incremental output of the project. For non-traded goods. assessing the opportunity cost of the goods. the forecast prices should be converted to constant prices for. To establish this value it is necessary to compare what would happen without the project with what would occur with the project. distortions (for example official minimum wages. In most cases it is possible to assume that. even in the absence of any intervention. the use of conversion factors is to be preferred since it allows for differentiated treatment of different categories of traded goods1. a distinction must be made between traded and non-traded goods. The accuracy of these forecasts and the related assumptions on inflation have often been questioned on the basis of retrospective assessments of earlier forecasts. and a decision must be taken as to whether to compensate for distortions in the pricing of foreign exchange through the use of a shadow exchange rate or through the application of conversion factors to the price of nontraded goods. derivation of economic prices requires two steps: first. handling. In the case of internationally traded commodities such as fertiliser.
Possible sources of risk include the danger of cost over-runs stemming from inaccurate estimation of quantities in civil works construction. However. experience has shown that the real opportunity cost is generally much closer to actual wage levels. Guidance on appropriate conversion factors can usually be obtained from economics staff of national planning agencies or of the financing agencies. . Seasonality is often a key factor here: in seasons of peak activity. the opportunity cost is likely to be close to the prevailing daily wage rate. Reductions in benefits could also result from lower than expected yields. The rate of return can be calculated using the COSTBEN module of PCCOMPASS. land acquisition or procurement problems. It used to be customary to assume opportunity costs well below wage levels. slowness of mastering methods of irrigated farming. when the total rural labour force may be occupied. Risks should be explicitly identified and their possible impact on the economic viability of the investment and on its sustainability examined. may result in a slower build up of production attributable to irrigation and hence to reduced benefit streams. whereas in the slack season it may fall considerably below the amount actually paid to farm workers. women and children. This may then be judged against criteria such as the opportunity cost of capital in the particular country where the project is to be implemented. Such delays.the minimum ERR conventionally acceptable to many financing institutions (but one which is probably still considerably above the long-term opportunity cost of capital).Guidelines for Planning Irrigation and Drainage Investment Projects 81 appropriate conversion factor. or the effects of a succession of years with lower than expected water availability. All incremental unskilled labour employed at a particular time. whether paid in cash or kind or contributed free of charge by farmers. Risk and Sensitivity Analysis An assessment should be made of the extent to which the proposed investment implies risks for the country and for the project. should be valued at the same opportunity cost. Unskilled labour is the most important non-traded commodity in most projects. since in some cases this may be important. Caution and close scrutiny are therefore indicated before assigning low opportunity costs for labour. If possible a distinction should be made between the opportunity costs of the labour of men. in turn. As a very rough rule of thumb. or from delays in implementation due perhaps to staffing. Risks may also be derived from exogenous factors such as unexpectedly large rises in input prices or falls in commodity prices. the project analyst might recognise that the project is in the “danger zone” if the rate arrived at is less than about 10 to 12% .
Fiscal Implications and Cost Recovery Estimates should be made of the net cost of the project to the government fiscal balance. Other benefits may include improved water supply and sanitation. an estimate should be made of the net impact of the proposed irrigation development on the country’s balance of payments. these benefits should if possible be quantified.Guidelines for Planning Irrigation and Drainage Investment Projects 82 There are also risks that do not lend themselves to quantitative analysis. and several other examples could be quoted. The discussion of the risk factors should not be limited to quantitative analysis. The relative weight which is given to social versus economic criteria in deciding on the balance between components is often important.for example contribution of free labour for construction. Risks of an environmental nature should be addressed as part of the assessment of the project’s environmental impact. or irrigation water charges . drawing attention to the possible need to take corrective measures before or during project implementation. then comparing this with the foreign exchange gained by using the incremental project output either to increase exports or to substitute for imports. health. If there are significant government revenues from taxes on agricultural output. the options that spread the benefits most widely and equitably should be chosen from those showing the highest ERR. On the other hand the aim might be to maximise the number of beneficiaries subject only to each component exceeding a minimum ERR. the extent of a continuing net call . but expand to cover the other major areas of concern. The extent to which cost recovery rates and mechanisms . Given the catalogue of irrigation projects which have gone into decline upon conclusion of the disbursement period. If the overriding consideration in project planning is the economic return on investment.would cover the capital and operating costs of the project should be examined. The efficiency of the public administration (unless it can be linked to a quantifiable determinant of output such as irrigation efficiency) is another. trading. Effect on Balance of Payments Where this is relevant to the justification of the project. It should be shown that these impacts are consistent with the subsectoral strategy. This implies estimating the foreign exchange component of both investment and operating costs. If the project is intended to bring special benefits to women. Social Impact and Poverty Alleviation The expected impact of the irrigation investment on the distribution of incomes and poverty alleviation in the project area should be assessed. Availability of domestic financial resources to cover the government share of project costs is a third example. these should also be quantified and taken into account. Securing beneficiaries’ participation is a fourth one. nutrition and education. The case of government commitment is one. processing or export. Income Distribution.
This should contain step-by-step guidance. • arranging staffing for project implementation. .should be quantified. and entering this into government’s budget for the financial year. An assessment should then be made as to whether the government would be in a position to sustain these obligations once external funding ceases. Scheduling should preferably be based on critical path analysis. on all activities to be undertaken. it is essential to prepare a detailed implementation plan for the period leading to start-up and extending through at least Project Year 1 (PY1). and how much time is required to achieve them. All activities should be scheduled. and training staff for new functions that they will have to perform. others may require some budget outlay. • initiating necessary institutional reforms. for which project management software may be used1. They may include: • preparing an annual work plan and budget for the first year of the project. the preparation of an implementation plan should enable them to gear up for a start to implementation as soon as funding has been approved. including recruiting or redeploying staff with the required skills and experience. • opening a special bank account to receive project funds for local disbursement. To encourage smooth and rapid progression from appraisal by the financing institution to project start-up and loan disbursements. 1: Such as Microsoft Project. and to initiate project activities. giving their estimated duration and earliest and latest dates for achieving both project start-up and the targets for PY1. it is better to use a pencil and squared paper rather than not preparing a schedule at all: the act of committing thoughts to paper or a computer screen often surprises even the most experienced practitioner when it is discovered how many activities are involved. With the participation of the institutions concerned. Planning for Implementation One of the most common reasons for delays and defects in implementation is difficulty by the implementers in taking all the steps needed for loan effectiveness and disbursement. If the practitioner is not familiar with this. either from the financing institution’s project preparation facility and/or government budget. It should also clearly identify who is responsible for each activity. Many of the actions required as a condition for loan effectiveness will require administrative steps involving no significant expenditure.Guidelines for Planning Irrigation and Drainage Investment Projects 83 on government funds . as appropriate to the level of experience and capacity of the implementing institution.for example an on-going commitment to scheme O&M costs or subsidies on inputs . Further guidance on economic analysis is given in Investment Centre Technical Paper 7.
if government is unfamiliar with the requirements of the financing or cooperating institution1. and Use of Consultants by World Bank Borrowers and by the World Bank as Executing Agency. engineering investigations and designs for initial construction work. • preparing operational and accounting manuals. aerial photography and mapping. Annex 2 provides details of the content and scope of a typical project dossier or document. once the investment proposals have been approved by government. appraisal can focus on issues remaining and need not go over old ground. targeting usually receives special importance and a separate chapter on the target group justifying their selection will be necessary. as well as their sample bidding documents if necessary. and allocating responsibilities to the different categories of implementer (eg the ministry of finance. • preparing procurement packages for plant and equipment. creation of autonomous authorities for bulk irrigation water supply).Guidelines for Planning Irrigation and Drainage Investment Projects 84 • drafting and initiating the enactment of legal provisions (eg for WUAs. for the implementation plan to suggest the scope and content of the annual work plan. • carrying out topographic surveys. irrigation agency. Thus the proposed content and layout should if possible be discussed with the project controller or task manager of the financing institution concerned before drafting commences. for example. • informing intended beneficiaries of the impending availability of funds for community-based or individual demand-driven developments and creating the conditions for them to generate proposals that meet their own aspirations and qualify for assistance. It is emphasised however that it will generally facilitate appraisal if the format used matches that required by the financing institution concerned. so that. NGOs and farmers). reference may be made to the various guidelines that may be issued from time to time by the financing institutions. satellite imagery. setting out procedures to be followed in project implementation. • drafting requests for proposals/bids for external technical assistance (eg from NGOs or consultants). 2: For this purpose. and to briefly describe the laid down procurement procedures2. The Project Dossier The project dossier or document should facilitate appraisal. which are aimed deliberately at reducing poverty. 1: In the case of IFAD-financed projects a cooperating institution is appointed to provide supervision. eg the World Bank’s Procurement Under IBRD Loans and IDA Credits. . It is often useful. The requirements will vary between financing institutions: for IFAD-funded projects. and if necessary permits reproduction of entire sections for inclusion in the appraisal report.
for project coordination and each of the project components. which is likely to repeat the arguments developed first when the investment was being conceptualised. In particular.with particular attention to funding channels if expenditure is to be made by local or regional administrations. • The suggested legislative and regulatory framework for WUAs and other management organisations proposed. • Procedures and criteria for screening subprojects for selection within sectoral programmes. Irrigation Management Transfer. and the administrative mechanisms for a rolling annual expenditure plan and the flow of funds . operate and maintain it. with job descriptions. • The proposals for water charges and cost recovery mechanisms. • Marketing possibilities and forecast prices. • The implementation plan. • The expected phasing of this development. • Institutional responsibilities and staffing requirements for project implementation. for quality control of design and construction. or to a financially autonomous irrigation authority dependent on the users for financing. the document should clearly demonstrate the compatibility of the proposed project with existing capacity to implement. • Technical assistance and training requirements. and/or participatory joint management. published by FAO with IIMI. This provides a useful source book on management transfer. • The estimated changes in cropping patterns and yields expected as a result of the development. • Details of expected supervision of implementation by the financing or cooperating institution. but modified and deepened to reflect the findings of later investigations. and the rate at which these are expected to occur. The project dossier should describe: • The irrigation and drainage works and other hardware which are proposed for financing. reflecting subsectoral strategy. which contains selected papers from the International Conference on Irrigation Management Transfer held in Wuhan. • Mechanisms adopted for users’ participation in design or proposals for participation in implementation.Guidelines for Planning Irrigation and Drainage Investment Projects 85 The project dossier should usually contain a description of the project rationale and planning considerations. China in September 1994. 1: Practitioners are referred to Water Report 5. which may include allocating or transferring responsibility to the users1. . including any special supervision requirements for subproject approvals within a programme of support. • The organisational structure decided upon for O&M. in view of the emphasis now placed on the requirements for implementation.
The aide mémoire should be agreed with the senior representative of government in attendance at the workshop. for discussion at a concluding workshop. like all other workshops held as part of the planning process. with sensitivity and risk analysis. the LPG(s). The objective of the workshop should be to reach consensus on all aspects of the project proposal. .Guidelines for Planning Irrigation and Drainage Investment Projects 86 • The financial returns to farmers and economic benefit to the country. The final version of the project dossier should then be prepared on the basis of the consensus or conclusions reached. The dossier or document should normally incorporate or be supported by the working papers that have been generated at various stages of the planning process. taking account of all social and environmental costs. This should. preferably in this case at permanent secretary or director level. preferably by elected representatives. • A list of suggested conditionalities for loan effectiveness. institutions should be present to inform them of the final shape and cost of the proposed investment. be attended by concerned stakeholders or their representatives. On completion of the workshop. and if appropriate planning. an aide mémoire should be prepared which should summarise the proceedings and note any matters that still need to be clarified or corrected in the project dossier. Senior representatives of the national finance. depending on the form that best facilitates subsequent appraisal (see Annex 2 for a typical list of working papers). including senior representatives of the ministry or department(s) responsible for water resources and irrigation. The event should also be attended by the task manager or project controller from the financing institution. These should either be presented separately or attached to the project document as annexes. and any NGOs who might be involved in implementation (eg for training WUAs). Achieving Consensus on the Project Proposal The project dossier or document should preferably be presented in draft form to government and the financing institution. It should also highlight any outstanding issues that need to be resolved before appraisal and define the actions required to do so. It is essential that the views of the users and any losers under the proposed project should be sought and expressed at the workshop.
Recommend any necessary improvements to network or processing of data. Estimate sediment yields. reworking data if necessary. 1: Note that in a programme approach. collect available data on basin rainfall and flows. Further refinement of 2 if necessary to resolve outstanding issues.APPENDIX 1 . Analyse flows and frequency of floods. All outstanding issues resolved. On-going data collection for future updating of water availability and sediment yield. with probability analysis. feasibility activities for subprojects may be deferred until after appraisal (see Part II. Sample and test quality for use for irrigation purposes. Note details of recorded floods and compare with regional envelopes. . Simulate annual water availability over life of project using spreadsheet analysis. eg under a sectoral loan. Refine estimates of sediment yield. Install additional measuring devices if this will usefully add to hydrological knowledge (which it will only in certain circumstances. Prepare indicative basin plan for optimum water use. eg for measuring annual floods). power potential or other use. Prepare preliminary estimate of basin water balance and round-figure estimates of area each source will irrigate.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 A. If necessary generate sequences of daily. Hydrological Aspects of Major Works Identify main water sources. Confirm design flood(s) and carry out flood routing. Review data and if necessary visit stations to assess data quality. As 1. monthly and annual flows. Revise basin water balance or hydrological model. Chapter 4).
APPENDIX 1 - Activities to be completed and level of detail required at successive stages of the planning process
Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness
Conceptualising/comparing investment options 1
B. As 1, plus geophysical surveys drilling test wells, pump tests, and preparation of simple model of aquifer recharge, storage, transmissivity and yield. Design of wells, specify pumps and drilling methods. Define monitoring system. Further refinement of 2 if necessary to resolve outstanding issues.
Hydrogeological Aspects of Major Groundwater Development
Collect and study available data on groundwater occurrence and use. From desk study identify areas worthy of further exploration. Review well logs and existing yields. Sample and test water quality. Map preliminary assessment of groundwater potential.
All outstanding issues resolved. Establish groundwater monitoring programme.
1: Note that in a programme approach, eg under a sectoral loan, feasibility activities for subprojects may be deferred until after appraisal (see Part II, Chapter 4).
APPENDIX 1 - Activities to be completed and level of detail required at successive stages of the planning process
Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness
Conceptualising/comparing investment options 1
C. As 1 plus orthophoto mapping (preferably, otherwise line mapping) for the command area at 1:10,000 with 1 m contour interval, or better. 1:2,500 scale mapping with 1 m contour interval or better for main canals and major structures. As 2 plus maps of larger scales for selected structures. If necessary, additional survey of infield, to permit designs of at least the first year's work. Manual survey (at least 10% of command area) of a sample of the infield area for designing sample in-field layout and land levelling requirements.
Topography of Sites of Major Structures and Scheme Area
Obtain satellite imagery at 1:100,000 for catchment area and at 1:50,000 of command area for reconnaissance. Mapping of catchment and command areas at 1:50,000 with 10 m contour interval, or better. Uncontrolled, or better controlled, air-photo mosaics of sites of major structures and main canal alignments, at a scale of 1:10,000. Better still, orthophoto or line mapping at this scale with 2 m contour interval.
Further survey and setting out for construction purposes.
1: Note that in a programme approach, eg under a sectoral loan, feasibility activities for subprojects may be deferred until after appraisal (see Part II, Chapter 4).
APPENDIX 1 - Activities to be completed and level of detail required at successive stages of the planning process
Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness
Conceptualising/comparing investment options 1
D. As 1 plus interpretation of new air photography. Identify and quantify soils and land forms. Define crop-specific land utilization types. Soil survey at 1 observation per 25-50 ha. Consider erosion hazard, fertility, toxicity, drainage. More intensive soil survey with observation in representative areas of 1 observation per 10 ha average, to confirm boundaries, and to further investigate any drainage problems.
Land Capability for Irrigation
Review of following data: LANDSAT/SPOT imagery at 1:100,000 or larger; air photography at 1:50,000 or larger; geological and soil maps at 1:250,000 or better; and land use maps at 1:50,000 or better. Review reports and maps of soil survey institutions, universities, consultants, etc. Hence identify principal land systems.
Establish monitoring system for potential waterlogging and salinity build-up.
Interpretation of available air photographs at 1:25,000 or better. Reconnaissance soil survey at observation density of 1 sample per 100-200 ha (depending on magnitude of scheme and mapping scale) plus sampling and testing for physical and chemical properties; 10% of observations consisting of deep pitting to check drainage.
1: Note that in a programme approach, eg under a sectoral loan, feasibility activities for subprojects may be deferred until after appraisal (see Part II, Chapter 4).
eg under a sectoral loan. pitting for dams. Further confirmatory investigation if required during detailed engineering design. other structures and canals. canals. other structures and canals. As 3. Carry out field visits to selected sites. 1: Note that in a programme approach.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 E.APPENDIX 1 . Chapter 4). Confirm availability of borrow material. structures. Drilling. feasibility activities for subprojects may be deferred until after appraisal (see Part II. Decide on requirements for geotechnical investigations for dams. Geotechnical Aspects of Major Structures From a review of available air photography and geological and topo maps. Field classification of geological formations and soil types. concrete aggregates etc. . and prepare programme for 2. assess areas suitable for dams.
feasibility activities for subprojects may be deferred until after appraisal (see Part II. specifications and tender documents. eg under a sectoral loan. Continue with detailed designs. drainage. Arrange for tendering of works if financing institution has approved. Prepare feasibility level preliminary designs for the system. Civil and Irrigation Engineering Outline main water sources and irrigable land.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 F. Prepare preliminary estimates of irrigation water requirements for possible typical cropping patterns. or operational plans for direct labour construction with farmer participation. or flood control. Carry out operational/simulation studies to optimise dam/reservoir/ scheme area. Chapter 4). Refine estimates of project water requirements for the preferred option and likely cropping pattern. Define areas of swamp or seasonal inundation. Prepare outline designs of the options. Detailed designs. 1: Note that in a programme approach. Hence identify possible schemes for irrigation. construction drawings.APPENDIX 1 . Link present or potential irrigation demands with possible water sources. . bills of quantities. to the level of detail that ensures that no significant changes will be necessary later.
Arrange for farmers' contribution to be made. feasibility activities for subprojects may be deferred until after appraisal (see Part II. Refine quantities and costs in the light of further investigations and designs.APPENDIX 1 . Refine quantities and cost estimates. Identify scope for and nature of farmers' contribution to capital costs. Tabulate foreign/local costs and programme of expenditure for engineering works. accurate to say 15%. eg under a sectoral loan. land acquisition etc. Chapter 4).Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 G. with schedule of disbursements. . Civil and Irrigation Infrastructure Costs Preliminary cost estimates (including O&M) for engineering works. land development. onfarm development and any land acquisition. 1: Note that in a programme approach.
general assumptions on crop yields. extension. Preliminary recommendations on strategy for irrigated agricultural development: cropping patterns. needs for extension and other services. Make more detailed agronomic recommendations and on marketing. Design SEPSS if considered necessary. accurate to say 15%. O&M.. feasibility activities for subprojects may be deferred until after appraisal (see Part II. List local crops. cropping intensity. Refine quantities and costs for agricultural development and marketing in the light of final planning of component. Prepare tender documents for plant and equipment (including marketing plant and equipment) storage facilities etc. estimates of yields with and without project. Tabulate foreign/local costs and programme of expenditure for works. Note development constraints (lack of water. eg under a sectoral loan. Preliminary cost estimates (including O&M) for any likely marketing infrastructure. Refine recommendations in 2. refine estimates of crop water requirements. with schedule of disbursements.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 H. rainfed crops. Agricultural Development and Marketing Review general policies for irrigated crops. eg storage and grading sheds. Refine cost estimates. Jointly with engineering/hydrology study. food versus industrial crops. seeds. intensity. and any land acquisition costs. storage facilities etc. research.APPENDIX 1 .). 1: Note that in a programme approach. Carry out SEPSS if required and from this prepare recommendations on possible or likely cropping patterns. Chapter 4).. finance. Arrange for tendering for supply of plant and equipment. if financing agency has approved. covered markets etc. storage. markets etc. . credit and technical support.
Estimate incremental benefits per household and at project level. refine crop selection. Further refinement if necessary or if additional data become available. eg under a sectoral loan. From SEPSS. Chapter 4). and other local data collected. crop and farm models.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 I. feasibility activities for subprojects may be deferred until after appraisal (see Part II. cropping patterns. . 1: Note that in a programme approach. Incremental Agricultural Production Benefits Preliminary estimates of incremental benefits from irrigation. on the basis of representative models for the typical crops and cropping patterns. Develop proposals for treatment of gender related constraints. Assess social constraints to intensified production. and need for separate treatment of gender related constraints. eg in extension approaches.APPENDIX 1 .
APPENDIX 1 . and estimate costs. eg under a sectoral loan. Generation. Review options for improving relevance or impact of their work and possible roles for investment in achieving such improvements. feasibility activities for subprojects may be deferred until after appraisal (see Part II. Initiate recruitment of extra staff and/or pre-implementation training for new roles. Prepare tender documents for key items. extra resources needed for them to operate as defined. 1: Note that in a programme approach. programmes and field deployment to supporting the irrigation project alternatives under consideration. Define institutional responsibilities for agricultural research. Plan means to link their activities. farmers' organisations. and to ensure adequate participation of irrigators to ensure client-oriented approach. M&E. Complete recruitment and first round of training/PRAs. Define monitoring and evaluation system. Initiate monitoring and evaluation.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 J. Make preliminary classification of strengths and weaknesses. private sector. Organise pre-project seminars or PRA for existing field-level extension and research staff. . Assess the relevance of their present organisation. Testing and Transfer of Agricultural Production Technology Identify institutions currently involved in research or extension related to irrigated agriculture (public. Ensure key researchers or extensionists who will be involved in implementation participate in SEPSS. Define field modus operandi of services. Fine-tune cost estimates. technical assistance agencies). NGOs. technology testing and extension. Maintain training and re-training. Chapter 4).
Consultations with farmers directly or through local authorities/village councils etc. Obtain written commitment to provide construction labour and to accept O&M responsibility. Chapter 4). feasibility activities for subprojects may be deferred until after appraisal (see Part II. Establish demand for project or subprojects. Assess need for/feasibility/prospects for success of WUA. .Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 K. Prepare farmers for making contribution to capital costs. assist farmers with electoral formalities for WUA committee and drafting constitution. from farmers' representatives to financing institution at concluding workshop. If necessary.APPENDIX 1 . Finalisation of project planning with all stakeholders. 1: Note that in a programme approach. and SEPSS. eg under a sectoral loan. preferably by example (eg demonstrations of previous farmer commitment on other demand-led development such as community contribution to school buildings). Consultation with farmers with regard to scope and layout of scheme. Participation and Water Users' Associations Involvement of stakeholders in evolution of development concepts and comparison of investment options through interviews and participative approaches/workshops.
Chapter 4). 1: Note that in a programme approach. . organisation and responsibilities for environmental monitoring. Modify project planning necessary to accommodate recommendations. and prepare any necessary environmental action plans (EAPs) and resettlement action plans (RAPs). Otherwise prepare mitigation plan. Enact any necessary legislation to enable plans to be implemented. If recommended by the IEE.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 L. Environmental Impact Initial environmental evaluation (IEE) using ICID checklist to assess the need for environmental impact assessment (EIA). carry out EIA. Refine actions plans in the light of further information collected or received. eg under a sectoral loan. Specify indicators.APPENDIX 1 . including if required land acquisition assessment (LAA). feasibility activities for subprojects may be deferred until after appraisal (see Part II. Establish environmental monitoring system.
Finalise arrangements or any organisation initiatives/institutional reforms. Set up accounts and procurement arrangements. Chapter 4). Organisation and Management. Enact any necessary legislation to enable changes to be implemented. Plan any preimplementation training or seminars. including formation of WUAs if appropriate. if appropriate. including legal establishment of WUAs. Describe institutional framework for irrigation. Arrange bidding and contracts with NGOs and consultants if required. including TA and training needs. feasibility activities for subprojects may be deferred until after appraisal (see Part II. Operation and Maintenance Initial institutional evaluation (IIE). . Carry out ICA covering assessment of concerned departments/private sector organisations. Specify arrangements/pricing for water charges and collection. 1: Note that in a programme approach. Recommendations for project organisation and management. Prepare proposals for institutional development/strengthenin g. allowing for proposed strengthening or adjustments. Specify arrangements for O&M. Decide on needs for institutional capacity assessment (ICA). Relate to possible project(s) being identified. eg under a sectoral loan. Preliminary assessment of institutional strengths and weaknesses (ability. morale. internal culture and performance. capacity and funding). Match project design to capacity to implement. establish project entity if necessary.Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 M. their staffing and capacity. Institutions. Cost Recovery. and contracting out to private sector. social welfare. Implement any organisational changes necessary. Appoint key project staff.APPENDIX 1 . environmental protection and. Implement training and start-up seminars or workshops.
Activities to be completed and level of detail required at successive stages of the planning process Project process/subject Planning the preferred option1 2 3 4 Appraisal Loan effectiveness Conceptualising/comparing investment options 1 N. Chapter 4). . eg under a sectoral loan. Risk and sensitivity analysis. loan details and disbursement schedule. Impact on income distribution and poverty alleviation. 1: Note that in a programme approach. Effect on balance of payments and government budget. Finalise financial requirements. Fiscal implications and cost recovery. Economic Analysis Ranking of alternatives according to simple financial cost/benefit analyses using data from rapid assessments. Estimation of economic and financial returns. feasibility activities for subprojects may be deferred until after appraisal (see Part II.APPENDIX 1 .
. Users must be selective in coverage. GDP per caput. Country (Region) economy and trends: main features of economy. its contribution to GDP. or to support an existing or proposed Agricultural Sector Review or Water Resources Management Strategy/Strategy Study. employment. Origin and authorship: origin of request and reasons for review and strategy formulation. Use of databases. Methodology employed: particularly the methodology employed to achieve a consensus of views with government (workshops/participatory planning/joint review). Currency Equivalents Acronyms SUMMARY (3 to 5 pages) INTRODUCTION (1 TO 2 PAGES) Objectives of strategy formulation: including whether intended to update an existing subsector review.Guidelines for Planning Irrigation and Drainage Investment Projects 101 ANNEX 1: Checklist for contents of an irrigation subsector review and strategy paper Note: Not everything listed below will be relevant in a given case. GDP. size. public sector finances. agriculture and irrigation in the economy. Intended readership NATIONAL BACKGROUND (2 TO 3 PAGES) (OR REGIONAL BACKGROUND IF LIMITS DO NOT COINCIDE WITH NATIONAL BOUNDARIES). population and its rate of growth. Country (Region): location. food supply and self-sufficiency. balance of trade and other macro-economic issues. balance of payments. inflation. other key geographic features. and export earnings. and details of the review/strategy formulation team.
production systems. responsibilities for/adequacy of O&M. alerting the reader to strengths. whether man-made or natural. other commodities for local consumption and export products. and hazards (such as hail). history of development and areas of each category developed/cropped.Guidelines for Planning Irrigation and Drainage Investment Projects 102 Demand and supply of agricultural products: estimates of future demand or markets for agricultural products versus expected supply. market liberalisation. taking account of any limitations imposed by any international water rights issues. traditional water control systems etc. and whether they offer potential for reclamation and development. THE IRRIGATION SUBSECTOR: PRESENT SITUATION (10 TO 15 PAGES) This key chapter should combine a minimum of essential description with a critical assessment of the performance and relevance of the subsector. any seasonal temperature limitations to plant growth.). location relative to potentially irrigable land. availability for agriculture or competition with other sectors. limits on external borrowing. drainage only etc. flood regimes. the limitations (eg soils and topography) for irrigation suitability. and types (eg surface/sprinkler/drip. on this basis categorise agro-climatic zones for which irrigation strategies should be evolved (or irrigation declared unnecessary). farmers experiences with irrigation. significant salinity or drainage problems. and levels of cost recovery on public schemes. Land Resources: total arable land resources of the country (region). quality. concentrating on crops that might profitably be irrigated. key features/objectives/targets of national plans or policy commitments. available data on surface and groundwater sources. . export growth versus import substitution. weaknesses and areas needing attention. Consider food staples. present condition. eg fiscal retrenchment. productivity. water use efficiency. Government’s overall development aims and priorities: main relevant thrusts of economic policy or recent adjustments. private large-scale/small-scale. as appropriate. Water Resources: summarise. etc. Existing Irrigation and Drainage: the main categories (eg public largescale/small-scale.). crops grown. THE RESOURCE BASE (2 TO 5 PAGES) Climate: highlight rainfall amount and variability versus crop requirements. privatisation. taking account of demographic trends or world markets as appropriate.
which should be annexed). companies. land holding sizes. or services to irrigators. or about to be constructed. livestock. Socio-Economics: current socio-economic situation on existing schemes. etc. on-going or recent studies (refer to main relevant work. role of the private and cooperative sector . consulting firms and contractors) involved in planning and construction. either to obtain any significant output.. Institutions: describe and assess key government institutions in the subsector (responsibilities. water users’ associations. or markets. Current developments: irrigation developments under construction. or to take commercial advantage of a climate which is comparatively favourable (eg for seed production or expansion of high-value horticulture in places with good market connections). and purchase/processing/marketing of output. flagging databases/findings taken into account by the team in reaching their conclusions. The legal framework: summary of relevant legislation affecting land tenure. other external technical assistance support and the degree of government dependency on this. the types of production or crops for which irrigation is technically justified or necessary. agricultural production. mixing or conflicts (if any) between irrigated agriculture and rainfed cropping. anticipated social and environmental impacts. . social and environmental impacts of existing irrigation to date and future implications. Irrigation costs and benefits: typical capital and O&M costs for the various categories and types of irrigation. development. beneficiary participation and performance in public irrigation planning. and typical crop budgets/farm models. supply of goods. irrigation equipment suppliers. cross-reference to full lists of references and bibliography. for each agroecological zone defined above. track record) and their main strengths and weaknesses. and the fiscal sustainability of present arrangements or levels of application or regulations. and information regarding disadvantaged groups. staffing. cost recovery and taxation regimes. for security/supplementary/survival purposes. proposed. Subsectoral finances: the main sources of finance for public and private irrigation. for growth in certain seasons of the year.Guidelines for Planning Irrigation and Drainage Investment Projects 103 interactions. fisheries. budgets. including land tenure and water rights aspects. internal culture. water abstraction and use. operation or maintenance. scheme O&M. legal basis on which institutional structures for irrigation are founded.the main actors (NGOs. individual entrepreneurs. adequacy of existing provisions and need for change. limitations to development imposed by physical factors such as porous soils or pumping lifts.
Investment ceilings for future developments: for each of the main crops/typical cropping patterns. again compared with rainfed crops. using border prices and any necessary shadow pricing of currency. with sensitivity analysis. Irrigation in Africa South of the Sahara. Opportunities: from the previous chapters identify the potential for new irrigation or for improvements to existing irrigation. see Annex 2 in Investment Centre Technical Paper 5. Economic analysis of crop production: similar figures but with all subsidies removed. Chapter 2). OPPORTUNITIES AND CONSTRAINTS TO IRRIGATION DEVELOPMENT (1 TO 2 PAGES) In this chapter the physical opportunities for irrigation and drainage development should be reviewed in comparison with market opportunities or constraints. flag any key 1: For an example. Rome (1986) . assess the value of existing development as a model for future development. It may be appropriate to carry out a DRC analysis (see Part II.Guidelines for Planning Irrigation and Drainage Investment Projects 104 Potential for further development: quote available statistics. FAO. place irrigation in the context of overall water resources management. agricultural use of urban/industrial waste water). including any in the cost of water. water and labour) compared with rainfed crops. indicating underlying assumptions in deriving overall availability of water. the maximum justifiable investment cost per hectare to yield an assumed ERR (likely minimum 12 percent)1. compared with review team’s estimates. conjunctive use of surface and groundwater. for which results may be attached in an annex. Economic analysis of irrigation investments: cost-benefit analysis in economic terms . using typical cropping patterns. FINANCIAL AND ECONOMIC VIABILITY OF IRRIGATION (5 TO 10 PAGES) Financial analysis of crop production: for each of the main crops under the various categories of irrigation. for the major representative categories and types of irrigation system. the returns to the most constraining production factors (eg land. allocation for other sectors and re-use (cascades of tanks. type and pace of future development. making clear whether they refer only to technical potential or whether some economic criteria (especially limits to costs of development or operation) have been applied. to identify the implications for the possible scale.
Guidelines for Planning Irrigation and Drainage Investment Projects 105 products for which there is. • government’s strategy for minimising the risk/mitigating adverse social and environmental impacts (legislation. Chapter 2). or commitment by farmers on public irrigation. etc. targets. inadequate cost recovery. Constraints to future development: from lessons learned. and hence its broad development goals. local comparative advantage. summarise the main points that need to be taken into account in evolving any proposals for subsectoral development.). institutional reform. GOVERNMENT PRIORITIES AND PLANS (1 TO 3 PAGES) Main government objectives for irrigation/drainage development. 1: A workshop is often held for the purpose of reaching a consensus on the options before finalisation of the strategy paper (see Part II. distilled from previous chapters. lack of adequate legislation. quantify future supply gaps or market dimensions for key commodities if possible. or is not. • the government’s technical strategy for development (rehabilitate/exploit sunk costs/new construction. lack of institutional capacity for public or private irrigation. • the promotion of participatory planning and development. • expected contribution of the sub-sector to social objectives or employment creation. etc. land tenure/water rights issues (including any international issues) affecting public or private irrigation/drainage. • the irrigation/drainage types or categories of producer to be favoured or the overall social/political objectives which irrigation/drainage is intended to serve. giving figures. from previous policy documents/statements. where possible. Contents may cover: • a brief recapitulation from Chapter 2 of the main macro-economic constraints or opportunities on which the government’s development policy is founded. . • the main commodities (food/non-food) and markets (selfsufficiency/exports) which are the objectives of government irrigation development priorities or plans. O&M. distinguishing cases where irrigated production would be appropriate. adverse social and environmental impacts. • future roles of public and private sectors in irrigation/drainage development. These might include limitations/problems of existing development. as modified (if at all) in a workshop1 attended by the stakeholders. strengthening/forming environmental protection agency). • specific facets of government policy such as: • the priority given to agricultural use of available water resources. dates.
medium and longer-term needs or objectives. • subsectoral projects. and the pace of development that would fit with existing development capacity.Guidelines for Planning Irrigation and Drainage Investment Projects 106 • legal or institutional changes affecting the subsector to which the government is committed. programmes or plans to which the government is committed. • environmental protection. in order to meet the stated priority objectives. “How. “POSSIBLE” OR “SOME ELEMENTS OF” ETC. credit or subsidies for irrigation. when and by whom?” and “What should government do about it?” Irrigation/drainage for what? Drawing on earlier background. political or environmental criteria will need to be considered. a rationale needs to be derived to justify the irrigation scale. when and by whom? Following on from the above. the most important chapter of the Paper. opportunities or priorities to which irrigation or drainage development should respond. extent/sources of external funding envisaged). but now refined or modified in the light of the review/strategy formulation (in which government has fully participated through the medium of workshops and other activities). a rationale is needed to spell out the main national needs. How. irrigators’ contribution. social. it is useful to set out the main sub-sectoral issues to which the strategy being proposed is intended to respond. However. three general questions are likely to need addressing in almost every case: “Irrigation/drainage development for what?”.. DEPENDING ON STATUS OF ELABORATION OF WORK). Most of the rest of this chapter will be so specific to the country/area concerned that no detailed checklist can be offered. • regulation of water rights or reform of tenure arrangements for irrigated land. To set the scene for this. cost recovery. economic. Issues will often echo those first raised at the Preliminary Brief stage (see Annex 3). distinguishing if appropriate between short. • anticipated sources of capital and recurrent funding for the subsector (government contribution. Depending on the setting. . STRATEGY FOR IRRIGATION DEVELOPMENT (5 TO 10 PAGES) (PREFACE WITH “PROPOSED”. • decentralisation of institutional responsibility. • future intentions on fiscal measures. technology/production systems and the types of irrigator that should be favoured.
social needs. construction.usually the limiting resource .for instance on food supply and demand. It may help to start by clarifying some principles. or of overcoming key sub-sectoral constraints . to guide national decision-makers.Guidelines for Planning Irrigation and Drainage Investment Projects 107 These two sections should be closely linked and will tend to integrate a wide variety of previous information . implement operate and maintain is limited. commitments or priorities as well as its real capacity to influence or undertake irrigation development must also be taken into account. labour demand or supply. The principles that should orient future institutional and social arrangements for irrigation planning. agro-processing. The government’s future intentions. what prior commitments and financial contribution should be required of each partner before development starts? Should future development strategy include improvements to power supplies or access roads? If government’s capacity to plan. operation and management should also be set out. adverse social and environmental impacts. availability of or competition for natural resources. comparative advantage or financial attractiveness of growing alternative commodities by different means. farmer motivation. to what extent is it appropriate to rely on .especially those relating to institutional capacity for development. The models may also be used to compare economic returns per unit volume of water . power supplies. road access. If strategic choices centre on production under rainfed versus irrigated conditions.needs to be a logical response to the forms of development and future organisation of irrigation advocated under the two previous headings. or under alternative systems or different scales of irrigation. and where would the irrigators take over (“public” versus “private” is seldom an all-or-nothing destination. local or export markets. the comparative advantage of various forms of irrigation (both nationally and versus rainfed opportunities). construction of civil works and supporting public infrastructure: what irrigation/drainage works should the government design and finance under the various categories of development suggested for priority. from degenerating again. and so on. The third question .per hectare developed. under-used or neglected infrastructure. They should take full account of the lessons of experience or precedent regarding the ease or difficulty of exploiting particular opportunities. First.The government’s role? . once repaired. arguments can be supported with the simple production models developed in Chapter 5 to demonstrate likely economic efficiency. indicating whether a participatory approach is appropriate. A strategy will need to be included to prevent rehabilitated systems. In many countries a balance may need to be struck between new construction and the rehabilitation of existing facilities: illustrative summary tables of relative costs and benefits can also be given for each of these. or per labour day. If a public/private partnership is envisaged. many gradations exist depending on how close government works come to the farmer’s plot).
Treatment is likely to be partly reassuring (“. there may be some spill-over into macro-economic questions which the government would need to attend to if subsectoral developments of the sorts indicated are to become realities.how could this be made attractive to them and how should transfer from public authorities be organised? Assuming that the full cost of O&M is recovered. strategic proposals are in line with government’s thinking.. privatisation of the supply of production inputs and materials. protecting or monitoring environmental impacts. and arrangements for agro-processing and marketing. such as inter-sectoral and longer-term allocations of water. as opposed to government agencies? Topics to cover may include extension and research. machinery services..”) and partly a matter of foreshadowing the issues which should be . what levels of capital cost recovery should be aimed for and how should recovery be made? Third. Having clarified the principles which it is suggested should guide future strategy. recovering urban wastewater for agricultural use. and riparian rights.. institutional. contracted agencies.eg improving extension.. organisational and fiscal issues of the sub-sector. or encouraging more local manufacture of irrigation equipment. bearing in mind past success/failure of this kind of assistance. research or training. sustainability (of aquifers and land use). production support and marketing: what should be done by the private sector. collecting more water charges... it may seem appropriate then to flag the main topics to which government should give attention . credit. sorting out the credit system. promoting and “nursing” WUAs. system operation and maintenance: how should costs and responsibilities be divided in future between the various public and private interests involved? If changes are proposed . The final section of the strategy chapter will often compare the strategic suggestions just given to the present policies and plans of the government.. associations or individual producers... A fourth general principle to clarify is the broader guardianship of the public interest: this normally devolves to government but concerns subsectoral matters which are often inadequately attended to. water users’ associations or individual irrigators . suggestions here should be founded on earlier references to the main legal. Whether or not to go into details on specific government services in the strategy chapter is an open point.for instance for greater participation of communities. as elucidated at the concluding workshop . entrepreneurs. or to contract out to the private sector for these services? Second. Fifth. upgrading the quality of scheme O&M.Guidelines for Planning Irrigation and Drainage Investment Projects 108 external technical assistance to strengthen its capacity.
credit overdues. for instance through making changes in macroeconomic or pricing policy. Immediate needs may be for technical assistance funds rather than investment finance. • It may be possible to make proposals for practical interventions which transcend individual locations and span the sub-sector.”). for example to re-cast research and extension on irrigation to respond to an oncoming need to generate more production from a now fully-used water supply. however.would. market opportunities. Again. extent of waterlogging.. • It may be possible to pinpoint specific.. then proposals may give priority to the studies which are needed before further progress can be made . farmer attitudes and motivation. • If the team has found so few reliable data that it has been able only to make provisional strategy suggestions based on broad estimates or working hypotheses.. fiscal reforms. groundwater reserves.. existing... imply consistent application of laws on water abstraction and strengthening of present environmental protection/enforcement capacity . or perhaps on budgetary allocations which better reflect an important current contribution of irrigation to the national economy and development goals.. the profitability of different forms of irrigation.for instance progressive rehabilitation of works serving the favoured types of producer in areas of comparative advantage.Guidelines for Planning Irrigation and Drainage Investment Projects 109 picked up at the end of the report (“. . institutional performance. content will depend greatly on circumstances. institutional changes or enacting new laws.. or a national campaign for improved operation and maintenance of existing facilities based perhaps on higher cost recovery. or perhaps suggest an investment programme of . the present condition of existing works. DEVELOPMENT PROPOSALS (1 TO 4 PAGES) Here the team should present its ideas on specific actions which the government could take in support of the strategy which has been proposed. In this case the team’s proposals may focus on the government creating the pre-conditions in which the development of the subsector could be expected to accelerate largely on the basis of private initiatives. it may have been concluded that sub-sectoral progress is impeded mainly by macro-economic or other trans-sectoral issues. relationships between irrigation and rainfed farming. • Finally.for instance of surface water resources. project ideas which can be taken up forthwith because they match the proposed strategy. the easing of which may often have few cost implications of any sort for the government. etc.. etc.
external technical assistance. Where possible and appropriate. Issues. scale. and the previous chapter will probably contain a miscellany of recommendations or ideas ranging from specific physical interventions. within a reasonable time. according to the strategy proposed. or small/quick versus larger/slower increases in output of certain commodities. to studies or institutional and policy changes. Alternative scales or development scenarios can be discussed. location and timing. To this end the chapter should establish sequences or priorities among the various proposals given earlier. Overall.Guidelines for Planning Irrigation and Drainage Investment Projects 110 Frequently there will be proposals under several of these general headings. IMMEDIATE ACTIONS AND FOLLOW-UP (1 TO 3 PAGES) A strategy formulation team is likely to have raised local expectations. Insofar as either path requires external assistance. others can be locally funded and for others the cost to the government may be political rather than monetary. however. or a sectoral approach may be suggested with a view to identifying a project to finance a time-slice of government’s irrigation investment programme and to concentrate on capacity-building. others will be slow. through strengthened services. needs and possible sources should be suggested and spelled out. followed by costs. .eg technical efficiency versus equity. Some will be quick. may be best left until later (Chapter 11). likely needs for internal and external financing. The purpose of this chapter should be to show the government and potential financing agencies that the strategic proposals can lead. and • prepare for further irrigation and drainage development over the longer term. particularly if they can be used to illustrate different trade-offs between objectives . and possible sources of these external ingredients. to action and tangible subsectoral benefits. the paths which it sets out should help the government to do two things: • improve on existing subsectoral performance in the short term. Some of these may require external finance or assistance. proposals should be amplified to indicate in outline their possible components.
it should always be indicated by whom. world market trends. Agro-ecological Zones and Land Use 2. how and by when decisions need to be taken. floods.Guidelines for Planning Irrigation and Drainage Investment Projects 111 ISSUES AND RISKS (1 TO 2 PAGES) The final chapter should summarise the issues and risks associated with the proposed strategy. FLOW CHARTS AND LOGIC DIAGRAMS Using simple graphics software (such as that included in word processing. spreadsheet or data base packages) flow charts and logic diagrams can be prepared and presented to help the reader. etc. Hydrological Zones and Rainfall Isohyets 3. Existing Irrigation Database 2. The team should: • list the major subsectoral issues requiring decisions either by the government or potential financing agencies. Basis of Estimates of Typical Irrigation Costs 3. Marketing and Prices of Agricultural Products 4. Typical Crop Budgets for Irrigated Crops 5. Groundwater Potential 4. Financial and Economic Viability of Irrigation BIBLIOGRAPHY . disputed riparian rights.). MAPS Maps included might be: 1. if the development strategy or options proposed by the concluding workshop are to be implemented (it may be appropriate to give preferred alternatives if the concluding workshop has not resulted in consensus). • list the main externalities or risks to which the development strategy or different options could be subject (macro-economic factors. Location of Existing and Proposed/Possible Irrigation Development ANNEXES Annexes might include: 1.
the main text of the project document should be no more than 60 pages long and preferably less than 50. . read in conjunction with Investment Centre Technical Paper 7 . may have been performed independently of other work. to be consulted as necessary by planning teams in the course of documenting the proposal and to give direction and purpose to the overall planning process described in Part II. and any other local weights or measures that need explanation. FAO. Any inconsistencies between the various annexes or working papers should therefore simply be acknowledged and explained in the main text. the various annexes may not necessarily be fully consistent with each other. even though every effort should have been made to achieve this. repetition of earlier report writing should be avoided. However. 1 The main text of a final project document or dossier may have up to eleven chapters. in view of the trend towards these. If appropriate. no attempt should be made to rewrite them unless this is essential for clarity or is requested by the financing institution.Guidelines for Planning Irrigation and Drainage Investment Projects 112 ANNEX 2: Outline of a typical project document or dossier This annex. It is intended to be used as a checklist. Depending on its complexity. Some of the investigations. or international consulting firms. in the interests of streamlining the planning and appraisal process. Note that the layout described is adapted to project-specific investments. local consultants or consulting firms. Investment Centre missions may also have been involved. but alternative presentations are suggested where necessary to allow for the case of subsectoral or programme investments. 1: Investment Centre Technical Paper 7: Guidelines for the Design of Agricultural Investment Projects. Rome (1993). such as engineering feasibility studies carried out by consulting companies. a list of acronyms and abbreviations. The inside of the front cover should usually contain details of currency equivalents. anticipated environmental impact and the implementation arrangements for the proposed investment. The annexes may have been prepared by local planning groups (LPGs). nor with the main text. As a result. seeks to cover the great majority of the topics likely to be dealt with in planning any irrigation or drainage investment. including university groups. selected country statistics may also be given. plus annexes that may be bound into the document or left as separate working papers.
from subsectoral strategy formulation. when and by whom (eg LPGs. with one paragraph for each chapter of the main text.Guidelines for Planning Irrigation and Drainage Investment Projects 113 SUMMARY AND CONCLUSIONS (2-4 PAGES) The main report should be preceded by a summary which briefly describes: • the proposed project. The summary can usually only be written after the main report has been completed. • the reasons for its selection. • the implementation plan. . whichever is the shorter. BACKGROUND (3-6 PAGES) The background chapter should refer the reader to other published reports (eg the irrigation subsector review and strategy paper . • any adverse social and environmental impacts. • the proposed organisation for implementation and subsequent O&M. • the arrangements for fiscal sustainability. its location. individuals and/or FAO Investment Centre missions) the project has been prepared. consulting firms. and the implications for existing institutions. INTRODUCTION (1 PAGE) This chapter is administrative and should state the purpose of the report and to whom it is addressed. However. a well thought out and presented background chapter is essential to establish the framework for the project rationale and the planning considerations described in later chapters. It should also state the origin of the project. • estimated costs and disbursement period. • the main issues to be resolved before appraisal. • the people who will use the project and the expected impact on their incomes.see Annex 1) as far as possible. or from previous examination of the available options. • the expected economic results. ie whether in a national development plan. size and main components. and its relation to government policies and plans. It should indicate how. The summary should normally cover topics in the order in which they are treated in the main text of the document. It should not exceed four pages or ten percent of the length of the main report.
otherwise on other available reports and data. Recent changes and trends should be highlighted. for example on the scale of irrigation development. or those in the pipeline. that plan should be explained. taking account of competing demands. and constraints to overall development. area utilised. organisation and management. From water resources investigations and water resources management strategies already defined. Specific treatment of market prospects is desirable where these might have an important bearing on project planning. macroeconomic distortions and other features of economic development that have a bearing on the project. The Agricultural Sector The main characteristics of the sector should be summarised. cropping intensities and patterns. The Economy This should describe the contribution of agriculture and irrigated agriculture to GDP. balance of payment considerations. farm size and land tenure. If the project is a part of an overall river basin plan. Present and future estimates of supply and demand for specific commodities and the country’s comparative advantage for their production should also be briefly mentioned. The Irrigation Subsector This section should be included in the case of project-specific investments only: for subsectoral investments the irrigation subsector should be accorded a chapter in its own right. adequacy of revenue to meet recurrent funding requirements. . exchange rate adjustments. past and present performance in terms of command area developed. Other on-going irrigation developments. production. C. broadly following the content of the irrigation subsector strategy paper. input availability and utilization. It should briefly describe the location. and average yields achieved. assuming one has been written. In any case it should draw heavily on the strategy paper. B. its historical development. should also be noted. as well as that for the basin in which it will be situated. inflation. indebtedness. The scope for further irrigation development should then be described. dominant farming systems. national dependence on particular imports and exports. including brief references to main forms of land use.Guidelines for Planning Irrigation and Drainage Investment Projects 114 It usually includes the following: A. water use for irrigation should be placed in the context of the country’s overall water availability and usage. public investment programme. per caput income. extent and nature of existing irrigation and drainage.
Guidelines for Planning Irrigation and Drainage Investment Projects
The social and environmental impacts of previous developments, including resettlement, health, erosion and sedimentation, waterlogging, salinisation, pollution or depletion of surface or groundwater supplies, and measures taken to mitigate them should also be briefly referred to. The lessons learned should be highlighted. Similarly, any other problems which have a direct bearing on the project should also be highlighted, such as cost recovery and O&M or water rights agreements for international rivers.
D. Income Distribution and Poverty
These topics should be given special mention when the project is intended to benefit a particular target group of the rural poor, and should discuss related indicators (eg access to land, water or services, nutrition, health etc.), and the factors contributing to differentiation that might have affected the decision to select the particular project or region.
E. Government Subsectoral Policies and Plans
Again drawing on the subsector review and strategy paper, government priorities and plans should be reviewed in terms of what government sees as the main national aims and benefits of irrigation - whether these be food self-sufficiency, export earnings, employment creation, income distribution, poverty alleviation or some other. Subsectoral objectives for food and fibre supply, exports, social equity, targets for rural income, nutritional goals and so on may be mentioned. In particular, government policy regarding water pricing and cost recovery, in what form (eg direct water charges, betterment levies, land taxes, agricultural product taxes and price controls) and how effectively this is implemented, should be reviewed, as should the appropriateness of environmental policy.
F. The Financing Institution’s Previous Operations and Experience
This should summarise the financing institution’s previous lending operations in the country, with particular regard to irrigation and drainage investments and the lessons learned. It should give details of the numbers and amounts of previous loans to the subsector, their completion dates and achievements in terms of new or rehabilitated hectares irrigated and numbers of users. It should also describe any problems or difficulties encountered, such as local funding constraints, lengthy procurement procedures, poor performance of contractors, poor planning, poor O&M and so on. The lessons of experience that need to be taken account of in planning future investments should be listed.
Guidelines for Planning Irrigation and Drainage Investment Projects
THE PROJECT AREA (3 TO 6 PAGES)
This chapter will only be required for project-specific investment in new irrigation or drainage. It should be replaced with a detailed review of the subsector in the case of subsectoral investments, or a suggested alternative Chapter 3 for project-specific investment in rehabilitation (see Chapter 3(a) below). Together with its supporting annexes and maps, this chapter should describe the features of the project area that have implications for the planning of the proposed investment. It should evaluate the development opportunities and potential as well as the limitations, focusing throughout on the investment which is being proposed. It is likely to contain the sections described below.
A. Location and Natural Resources
This section should summarise the location of the project area and its land and water resources, highlighting any physical constraints that would have to be overcome (eg soil erosion and reservoir/canal sedimentation, poor drainage). The reliability of data (eg scale of soil surveys, length of rainfall or streamflow records) should be assessed and the need for any further data collection (eg for additional surveys, tests or hydrological observations) before construction should be mentioned. Detailed technical data should be consigned to annexes. Topics to be covered should include the following: Location. The location of the project in relation to important features (the capital, provincial/state capital, administrative boundaries, major rivers, and transport connections to main markets). The project area might be a province/state, watershed, the command area of a dam, or a combination of these. The relevant features should be shown on maps. Geology, Soils and Land Capability for Irrigation. Land in the project area should be described with reference to topographic, geological, soil or land classification surveys and maps. Limiting factors should be highlighted. The degree of detail required in land evaluation surveys will vary between projects depending on the characteristics (soil variability, salinity problems, etc.) of the project lands: guidelines are available in the FAO Guidelines: Land Evaluation for Irrigated Agriculture1 (see also Appendix 1 to the main text of these Guidelines). The use of remote sensing methods and geographic information systems to evaluate the
1: FAO, Rome (1985). FAO Rome (1979).
See also FAO Soils Bulletin 42: Soil Survey Investigations for Irrigation,
Guidelines for Planning Irrigation and Drainage Investment Projects
resource base, monitor trends (for example in the irrigated/cropped area over a number of years) and to produce maps can also be considered1 . Climate. The purpose here is not to describe the climate in detail but to demonstrate its influence on and importance to the project concept. It should deal with the main climatic features2 affecting irrigation requirements and system design: ie rainfall (monthly, annual and its probability) temperature, sunshine hours, humidity and wind, as well as reference evapotranspiration. Data should be summarised in tables, with detailed analysis consigned to an annex. This section should summarise the agronomic justification for irrigated, as opposed to rainfed, cropping. Any serious climatic hazards (eg frosts, hail, typhoons) should be noted. Water resources. Surface and underground water resources should be described, with reference to hydrological data, geophysical studies and simulation models. Reliable long term hydrological records normally will be required if the project involves surface water diversion or storage, and these should annexed. Where hydrological records are inadequate, it may be possible to carry out a correlation of rainfall with run-off to extend or in-fill the record, by employing proprietary hydrological models. In justifying minor works a synthesis of rainfall, catchment area and assumed run-off coefficients may be acceptable. Evidence on the nature, recharge and sustainable yield of aquifers will be necessary if groundwater development is envisaged. Water quality should be examined and any aspects that could limit its use for irrigation should be highlighted. Water resources should be dealt with on a region or basin-wide basis, to demonstrate the sectoral context of the existing scheme. The present utilisation and future demand for surface and underground water, and the prospects for other developments within the same catchment that could affect water availability for the project, should also be discussed.
B. The Economy and People
The Local Economy. What can be achieved by a project is strongly influenced by the immediate local environment in which it is set. A brief overview of the economy of the project area should be presented, focusing on the importance of agriculture relative to other activities. The emphasis should be on those aspects that would influence the planning of the project: for example urban population and income growth expectations,
1: See FAO Remote Sensing Centre, Remote Sensing and its Application to Investment Project Identification and Preparation: A Study With Special Reference to the FAO Investment Centre, FAO Rome (1993). Modern computer graphics packages, such as CorelDraw, used in conjunction with flatbed or even hand scanners can be most useful. 2: Long term data for many climate stations throughout the world are available in FAO's computerised CLIMWAT database (FAO Irrigation and Drainage Paper 49, 1993), but these can be updated with the most recent data if necessary.
distinguishing between the roles of the household (and members within it). petty trading and remittances. and the responsibilities of husband and wife as family providers.Guidelines for Planning Irrigation and Drainage Investment Projects 118 their impact on demand for basic foods or horticultural crops. ethnic origin and their occupations. particularly those who could be displaced. The People. their types of settlement. The relative power of different groups and the extent of influence on individual behaviour and resource management exercised by traditional leaders should be examined. the extended family. control of crops and income from their sale. . particularly gender relations as they influence disaggregation of labour. or the emergence of competing demands for water for urban and industrial uses that could reduce availability for irrigation. Special emphasis should be given to analysing income and wealth distribution and to explaining the causes of differentiation1. labour and capital. Particular attention should be given to identifying any people whose way of life could be disturbed by the proposed project. FAO Rome (1992). for example families in areas to be flooded by the construction of a dam. different ethnic groups and the community as a whole. Any conflicting or competing demands for labour should also be identified. An explanation should be given of the way in which resources are at present managed in the project area. The description of the socio-economic situation should give special attention to those aspects that could affect the rate at which the target population for the project will accept changes. time available for crop and livestock production and other activities . Intra-household dynamics should be discussed in detail.should be described. the effects of growth in the industrial sector on the demand for labour and the extent to which this affects labour availability and wage rates in rural areas. Special mention should be made of any cultural or political factors which could impede the acceptability of the project proposals. For IFAD-funded projects aimed deliberately at reducing poverty. 1: For methods of Rapid Rural Appraisal see FAO Investment Centre Technical Paper No 9. The report should provide information on the number of people in the project area. targeting usually receives special importance and a separate chapter on the target group justifying their selection will be necessary. Sociological Analysis in Agricultural Investment Project Design. The household economy .alternative sources of income from off-farm employment. The people of the project area should be described and their expected reaction to the project should be assessed. access and control over land. on-farm production.
. such as population growth. performance and state of maintenance of any existing irrigation schemes.Guidelines for Planning Irrigation and Drainage Investment Projects 119 Factors that might affect the community’s response to the project or the strategy to be adopted should also be reviewed. should be summarised. and conclusions drawn on their implications for project planning. farm size. The full findings of the studies may be presented in an annex. methods. Sustainability of Land Use. should be rigorously analysed. excessive ground or surface water abstraction. as well as the extent. erosion and sedimentation. such as waterlogging and salinity problems in irrigated areas. This should describe present land use. In particular. the construction of new roads. or between irrigators and urban users. The existence of irrigated experimental stations and demonstration centres in the area should be mentioned. These might include nutritional standards and food security. if this has been carried out as part of the planning process. C. Areas affected should if possible be quantified. Any spontaneous development of irrigation or other local initiatives that indicate the potential for farmers’ commitment to a possible new irrigation development should be assessed. pollution. their findings on people’s aspirations. It should point to any particular areas of environmental concern. and their programmes and results summarised. Existing Agriculture. Of particular importance is the identification of the underlying causes of any degradation. The performance of farmers in development schemes similar to those proposed should be described. any experience of group activities within the area (eg for marketing and input supply. Land Use and Land Tenure Land Use and Farming Systems. current farming practices. The socio-economic studies that may have been conducted in the project area. crop varieties. should be noted and the effectiveness of any existing regulatory measures discussed. This should focus on the sustainability of land use in the project area. especially the extent of farmer interest in the project. as an indication of potential yields and production under the project. land tenure arrangements. for instance between irrigators and pastoralists. or pricing and subsidy policies. irrigation system O&M). climatic deterioration. the economic and social cost assessed (if this is feasible) and trends identified. groundwater depletion. Much of the above information could come from a SEPSS. and so on. Competition for natural resources. that might have a bearing on the potential for future cooperation in scheme organisation and management and O&M. yields and use of inputs. farming systems and practices. land tenure and the availability of labour during the various seasons of the year.
This should briefly describe and evaluate the local activities of extension. for supplying inputs and marketing farm produce. and special institutions (such as NGOs) operating in the project area. Any particular impact of government agricultural policies (price supports. type of tenure. Infrastructure. Any other initiatives towards communities’ management of their own affairs and resources should also be mentioned. savings and credit clubs. as well as of the presence. to the extent that these are relevant to the project. Administration. redistribution or consolidation be necessary and practicable?). particularly from the viewpoint of their relevance to the supply of farm inputs and the marketing of output. etc. railways.) in the project area should also be described and evaluated. increasing fragmentation. should be highlighted. that could form the basis of future WUAs. capacity and current utilisation of agro-industries. should be summarised. subsidies on inputs. etc. The rules or customs for land tenure should be described. Note should be made of the adequacy of distribution and storage facilities. Marketing and Processing. customary or otherwise. and the lessons learned. and their impact on the accessibility of the project area should be examined. Support Services and Farmers’ Organisations. The situation should be evaluated in terms of development opportunities and obstacles (eg would land titling. and reliability of the figures should be given with reference to cadastral surveys and maps. Successes and failures. as perceived by farmers. The respective roles of the public and private sectors in input supply and marketing should be examined. Rural Institutions. including WUAs. Dynamic factors in the situation (trends in tenure arrangements. D. proportion of owner and tenant-operated farms. etc.) should be described. airports). Special attention should be given to evaluating farmers’ organisations. marketing and supply cooperatives and/or local systems of village administration. the system of local government administration. Support Services and Infrastructure Input Supply. degrees of fragmentation.Guidelines for Planning Irrigation and Drainage Investment Projects 120 Land Tenure. . consolidation. research and credit services. Availability of electricity (especially for powering pumps) should be noted. The extent and state of communications infrastructure (roads. Attention should be given to the arrangements and their effectiveness. taxes on products. The size and distribution of properties and farms. The basis for.
A. • intended cropping patterns and means of disposal of output (ie local markets. these should be described under a separate heading later in this chapter. Water resources should be dealt with on a region or basin-wide basis. etc. It should for example explain the reasons for water shortages or poor O&M. C. Description of Existing Facilities This should summarise the development history of the existing system (when and by whom planned. supported by maps and figures. operated and maintained). except that the description of the people should.) • intended and actual land tenure arrangements A brief technical description of the existing water supply. except that if the existing scheme has resulted in any significant adverse environmental impacts. rather than simply stating that these problems exist. together with a description of the on-farm irrigation technology. constructed. The actual sequence of subchapters will depend on the circumstances involved. conveyance and distribution facilities should be given. if appropriate. to demonstrate the sectoral context of the existing scheme. such as waterlogging and salinisation. export. to cater for an investment in the rehabilitation and upgrading of an existing scheme. • intended and actual settlement patterns and numbers of beneficiaries.Guidelines for Planning Irrigation and Drainage Investment Projects 121 THE (NAME) IRRIGATION SCHEME: PRESENT STATUS (3-6 PAGES) (ALTERNATIVE CHAPTER 3 FOR REHABILITATION PROJECT) The following describes the typical contents of an alternative to Chapter 3 above. and thereby point the reader towards possible solutions to be taken up in the planning of the investment. Location and Natural Resources This section should be similar in content to that in Chapter 3 above. B. The Economy and People This should be similar to the corresponding section in Chapter 3 above. . and compare its original objectives with reality in terms of: • intended and actual command area. distinguish between those people of the project area who are involved in irrigation on the areas to be rehabilitated and those who are not. The chapter should be diagnostic in its approach.
• any conflicts or competing demands for labour. intra-household dynamics (gender relations. Infrastructure and Farmers’ Organisations This should contain much of the information listed in the corresponding section in Chapter 3 above. compared with the original project concept. F. especially the extent of farmer interest in the project and implications for project planning. Present Condition of Irrigation Facilities This section will also be important. Depending on the scale of the project and the extent of operational data available. health and nutrition. since it should review the present agricultural performance of the scheme. Rural Services. . labour and capital.Guidelines for Planning Irrigation and Drainage Investment Projects 122 The analysis will in some cases be based on a diagnosis of the existing situation carried out as part of a SEPSS. This may have included an examination of the impact of the project on the local economy. E. on farmers’ aspirations and felt needs. Present Irrigated Agricultural Production This will be one of the most important parts of a project document for a rehabilitation/upgrading proposal. based on the use of FAO’s computer model CROPWAT2 and its computer 1: FAO's forthcoming computer model SIMIS (Scheme Irrigation Management Information System) will play an increasingly useful role in such work. • the reasons for any decline in areas planted or yields obtained. if resources have allowed the latter to be performed. now or for the proposed rehabilitation. FAO Rome (1992). should be highlighted. 2: FAO Irrigation and Drainage Paper 46: CROPWAT . Group activities for O&M should be dealt with in a later subchapter. but any experience that is relevant to farmers’ participation in the scheme. it should summarise the results of detailed surveys and diagnostic operational studies that should have been carried out on the existing system1. D. disaggregation of labour. • past and present cropping patterns and yields and current trends. • problems and constraints from the farmers’ perspective. access and control over land. on household incomes. It should examine water availability and demand for the originally intended cropping pattern. It should preferably be based on detailed diagnosis from a SEPSS. control of crops and income from their sale). It should cover: • on-farm irrigation practices.A Computer Program for Irrigation Planning and Management. and an explanation for any differences.
It should lead the reader to conclusions on what must be taken into consideration in the project planning. These should. G. as derived from an environmental impact assessment of the scheme which would normally have been made earlier in the planning process. and practical recommendations given for making O&M self financing. The efficiency of water use and the condition and design of the existing facilities should be described with a view to demonstrating the scope and opportunities for improvements through rehabilitation and possibly modernization. Present Arrangements for O&M and Cost Recovery The present arrangements for O&M and cost recovery should be described and their effectiveness assessed. EXISTING INSTITUTIONS AND PROJECT IMPLEMENTATION CAPACITY (3-6 PAGES) This chapter should highlight any institutional gaps or shortcomings that may form a constraint to implementation.Guidelines for Planning Irrigation and Drainage Investment Projects 123 database CLIMWAT1 (or an alternative locally developed method of estimating crop water requirements if this is appropriate). • private sector organisations and NGOs. and the present use of the available water. focus on measures that facilitate O&M by farmers and achieve more efficient and equitable water distribution and use. in particular. Causes of decline in the operational condition of the scheme should be listed. H. Environmental Impact of the Existing Scheme Significant adverse impacts as a result of the scheme should be summarised. • traditional authorities and farmers organisations (possibly including WUAs on existing schemes). Relevant institutions are likely to include: • central government institutions. • local government institutions. . FAO Rome (1993). 1: FAO Irrigation and Drainage Paper 49: CLIMWAT for CROPWAT.
Based on the information already given in the background sections of the report. late release of funds. . whether they are still valid or whether there is a need for redefinition (eg through new legislation) or reorientation. taking account of the requirements of the project. It is the part of the project document which is most likely to repeat arguments developed first when the project was being conceptualised. • The performance of the institutions in fulfilling their objectives in a timely and efficient manner. justification and feasibility of the project proposals that are to be made can be appreciated. should have established: • The goals and objectives of the institutions concerned. This should therefore lead into the project rationale and design considerations covered in the next Chapter. and the proposals for project organisation and management. and whether there are areas of weakness. O&M and institutional capacity building which follow in Chapter 6. and anticipation at this point should be avoided.Guidelines for Planning Irrigation and Drainage Investment Projects 124 An institutional capacity analysis. its purpose is to complete the explanation of why an irrigation or drainage investment is needed. The analysis should in particular have resulted in an assessment of the capacity of the institutions concerned to implement the proposed project. and indicate what kind and scale of project would be best suited to the existing circumstances. physical facilities and budget. and planning the proposed investment. • The resources of the concerned institutions. and whether there are any significant operational problems. problems over procurement of goods. It may briefly refer to options that were discarded or adjusted at earlier stages. imbalances and inconsistencies. in terms of staff. PROJECT RATIONALE AND PLANNING CONSIDERATIONS (3-6 PAGES) This chapter leads to the point at which the overall needs. However it is not the purpose of this chapter to present the actual project proposals: that function is left to Chapter 6. The analysis may also have resulted in conclusions that affected the choice of project concept or scale. define its overall objectives. but modified and deepened to reflect the findings of further thinking or studies. for example delays in decision-making. carried out earlier in the planning process and detailed in an attached annex or working paper. and so on. As a result it should have led to recommendations to achieve sustainable improvements in existing capacity that will enable the institutions concerned to successfully implement. cost recovery. operate and maintain the proposed project. but should then explain the reasons why the particular project concept which is now being brought forward for financing was chosen.
but without whose influence the project might nevertheless not succeed. and the constraints imposed by existing institutional capacity or fiscal arrangements. As indicated in Part II of the Guidelines. • the justification for a programme approach. for example targeting small farmers in a project proposed for IFAD financing. Project Rationale Against the background of the previous chapter. the criteria which have led to the selection of the type (eg subsectoral investment. needs special treatment). It may also explain how the proposed project meets the financing criteria of the financing institution. attention needs to be directed to defining the specific form that it should assume and to explaining this to the reader. should be built into the project. it should address questions such as : • selection of the target population for the project and any special targeting measures required to ensure that the project really does benefit these people (the complex issue of how to prevent project resources bringing undue benefits to persons outside the target group. construction and O&M. • the demand for the project. . design. B. new irrigation.Guidelines for Planning Irrigation and Drainage Investment Projects 125 A. drainage) and/or location of the project. In particular. • the commitment and capacity of government to implement the project. Planning Considerations Once the conceptual case for a project has been made under the section on project rationale. expressed in terms of demonstrable willingness of the potential users to commit themselves to contributing towards the capital cost and acceptance of responsibility for O&M. a review of the options for achieving these objectives and a progressive narrowing down of these options. This section on design considerations is the place to present the results of that process. This leads to decisions on the strategy which. rehabilitation. this should discuss the objectives of government’s strategy for the irrigation subsector. as a consequence. and in terms of markets for irrigated crops of sufficient value to justify the investment costs incurred by government and farmers. where the aim is build demand for subproject investments and to encourage participation in planning. focusing on the considerations which have led the concept outlined in the rationale to evolve into the project and its main components in their final proposed form. the process of project planning usually involves the establishment of broad objectives.
should be foreshadowed under planning considerations. economic and financial viability. to create a new organisation or to privatise it. Where flexibility is being sought. and it should be explained how the lessons learnt from their evaluation would be taken up in the planning of the later project. If flexibility is to be attained. reference should be made to the performance of previous phases. regulatory mechanisms. • the choice of technical strategy and technology to match O&M capacity (eg upstream versus downstream control. • the scope for achieving efficiency gains at low incremental cost by rehabilitating and upgrading existing irrigation systems. In the case of repeater projects. for instance. and the managerial and supervision arrangements.) and/or traditional water rights and methods of distribution (eg division structures that maintain traditional rights and farmers’ operational preferences). This is also the place to mention to the need to build flexibility into the project. the technical and economic criteria to be used in approving releases for subprojects. whether WUAs should be built on existing structures. • the selection of organisational arrangements for the project: for example whether to reinforce the existing entity to run the project (on financially autonomous lines).for demanddriven development . and to say how this could be done in ways which are consistent with the funding practices of the financing agency. the strategy for eliciting and sustaining the commitment of the intended beneficiaries to the project.so that these can readily respond to new information or opportunities that arise in the course of implementation. a very important element of the section on planning considerations should be a discussion of the possible mechanisms to be used to provide it and of the safeguards to prevent its abuse. to accommodate capacity-building measures. including traditional irrigation systems. environmental concerns and risk exposure.Guidelines for Planning Irrigation and Drainage Investment Projects 126 • the appropriate scale for the project: this should give special importance to an analysis of the scale and success of any precedents. but there are many advantages in planning “soft” projects . and • the need for any ancillary adjustments in laws. traditional or other. automation etc. to assessments of institutional capabilities and to matching the project scale with these. There is often little scope for flexibility in “hard” projects centering on. by the creation of a Development Fund. though dealt with in detail in subsequent sections of the report. • the appropriate time frame for the project and phasing within this. . particularly the means of securing their effective participation in project management and costs through WUAs and/or apex organisations. the construction of major civil works. as is often the case. policies and institutions. it should also examine the implications on project size of market possibilities.
Box 2-1 .550 ha distributed among 14 existing schemes.550 ha of existing irrigation schemes previously operated as state farms. • farm development. for each objective or component of a project there are likely to be several categories of expenditure. and expenditure categories on the other (see Box 2-1). maps and figures. including equipment for surface and sprinkler irrigation.Project Objectives. and so derived a project rationale and objectives. Components and Expenditure Categories A project normally has specific objectives that can be expressed in relatively simple terms. . • capacity building of irrigation subsector institutions • research and extension • project management and implementation Expenditure Categories (known as summary accounts in COSTAB terminology) are used to classify the items against which disbursements will be made under the project. costs and how they will be financed.Guidelines for Planning Irrigation and Drainage Investment Projects 127 THE PROJECT (OR PROGRAMME) (5-10 PAGES) The previous chapters will have set the framework of constraints and opportunities for investment. greenhouses and seasonal inputs. • to build the capacity of government and private institutions involved in irrigation development. such as: • to restore to full productive capacity around 1. Components. In describing the project it is convenient to distinguish between project objectives and their related components on the one hand. for example could include • rehabilitation of 1. • to develop irrigated crop production technologies adapted to smallholders. • to form water users’ associations (WUAs) and to train farmers in operation and maintenance of irrigation systems and irrigated crop production. their phasing. with considerations for planning. smallscale farm machinery. Thus. and to identify and promote new irrigated crops. and its supporting annexes. defines the project works and activities. This chapter. such as: • • • • • Civil Works (with users’ contributions separately shown) Equipment Technical Assistance Training Incremental Operating Costs (with users contributions separately shown) Each of the above may in turn be broken down into a series of items and ultimately into a set of detailed specifications for goods and services.
Although the cost estimates are only presented in detail in Section F of this chapter. farm drains. financing agencies prefer each component résumé to end with brief reference to the field level implementation arrangements.). It can often be quoted more or less intact in the Summary and Conclusions at the beginning of the Report. The section usually contains a separate résumé for each of the project components. etc. agricultural machinery for hire. (workshop equipment. on-farm canals. it often helps to note in brackets at the start of the component description its total cost and the percentage of project base cost which this represents. • On-farm works (land clearing. vehicles for extension staff. engineering design details and cost estimates should remain in annexes or working papers. packing and processing plants. Increasingly. levelling.). The nature and scope of project actions should be described in sufficient detail for the general reader to appreciate their relevance and technical soundness. • organisational arrangements for implementation and subsequent O&M. also. • Provision of equipment for operation and maintenance. which generally should be no longer than one page. wells and pumps). • its location and size (if a project-specific investment). . quantifying the main physical items that are proposed for financing. stores. B. feeder roads. General Description This section. presents the reader with a brief overview of the proposed project or programme. workshops. tubewells. major structures. The usual content is: • a brief description of the project or programme’s overall and immediate objectives. specifications. Detailed Features The aim of this section is to describe the project in more detail so that the reader acquires a fuller understanding of each of its components and the inter-relationships between them. grouped under expenditure categories if appropriate. leaving the description of the broader (not component-specific) institutional arrangements for section C of this chapter. • a brief summary of each main component. market facilities. Component résumés might cover the following: • Main civil works (dams. • costs and phasing. • Ancillary works and buildings (offices. etc. experimental farms. canals. houses for project staff. drains. power distribution lines). pumping stations. warehouses. but lengthy descriptions.Guidelines for Planning Irrigation and Drainage Investment Projects 128 A.
ie whether project specific. specialised processing plants or main roads. Level of Detail Required. • The provision of training and expatriate technical assistance (eg consulting firms). Detailed site investigations are normally required. such as dams. or programmatic within a subsectoral project. • Measures to improve the agrarian setting (changes in land tenure or ownership. and treatment will depend on the nature of the investments. and at least preliminary designs and specifications should be completed to a sufficient degree of detail to demonstrate that they should not need appreciable alterations at a later design stage. such as research. and to permit the significant engineering work quantities to be estimated to an accuracy of some 15% as a basis for cost estimates of the same order of accuracy. agricultural implements and machinery.Guidelines for Planning Irrigation and Drainage Investment Projects 129 • Farm equipment (the provision of farm facilities. extension and training. • Rehabilitation and modernization of existing irrigation schemes. • The credit programme required to enable the private components of the project to be financed. working papers or separate studies. However. to which reference should be made. • Land acquisition. . All multilateral financing agencies have strict procedures to be followed in engineering studies and designs for major dams and for major resettlement of people displaced by reservoirs or other major works (see Parts I and II of the Guidelines). for subsequent management transfer. A summary of the extent of detail and degree of accuracy appropriate at each step in the design is given as Appendix 1 (at the end of Part II). land settlement and land consolidation). Project specific investments may be considered in three broad groups: • Important major works. resettlement and rehabilitation. for the main implementing institutions as well as for supporting services. • Institutional development. While only a summary description is required of each component in the main text of the report. the level of design required for appraisal of civil works and machinery is a matter of engineering judgement. For a sectoral project the components may include some of the above as well as: • Technical assistance for diagnostic studies of existing irrigation schemes. which should always be consulted. main canals. this must normally be derived from more detailed specifications and estimates given in annexes. • Environmental studies and actions • Institutional development assistance for government institutions and WUAs. livestock and the establishment of permanent crops).
estimates can be derived from standard type designs. except that the World Bank requires that “by the time of appraisal/negotiation. construction and O&M is envisaged it is usually undesirable to complete investigations and cost estimates for each subproject prior to appraisal. If participatory planning. and. detailed sample topographical surveys are needed to calculate quantities. levelling and farm drains. investigation and engineering design of subprojects that are to be carried out during the project. subsectoral investment projects often involve numerous subprojects that might be widely distributed throughout a given region or country. etc. . in all cases. Where a significant amount of land levelling is required.Guidelines for Planning Irrigation and Drainage Investment Projects 130 • Relatively homogenous repetitive works. A properly designed land classification can do much to help estimate costs of land clearance. for the main canals or storage structures of an irrigation project. Typical designs should be prepared for the main farm or land types. In the absence of specific instructions from the financing agency. • For minor works. For these it is necessary to complete surveys and prepare detailed designs and quantity estimates for representative sample areas. Nevertheless. such as tertiary and quaternary irrigation channels and drains. In contrast. where the degree of accuracy of the preliminary estimates is difficult to determine because of lack of adequate engineering or survey data. rather than the level of engineering work that has been completed. Total quantities and costs for the whole component can then be derived by extrapolation. engineering work (field investigation and detailed design) should be well advanced so that bidding documents are available about the time of Board approval. On-farm works are usually adequately designed on a “model” farm basis. to facilitate tendering. This is often the case. In this case it is usually acceptable to specify design criteria and per hectare cost ceilings. although in areas of irregular topography it may be necessary to design on the basis on large-scale sample surveys.and particularly in respect of those projects with borderline economic rates of return . for the area to be covered in the first year of the project. or where the extent of possible error is greater than that considered tolerable . to shorten the project cycle and provide accurate project costs”. These govern subsequent selection. such as small structures. farm access roads. In this case it is the clear definition of the rules and procedures for the selection process that is important at appraisal.it normally would be necessary to commission detailed engineering studies. for example. Most financing institutions accept that preliminary design standards form a satisfactory basis for appraisal. engineering designs should not proceed beyond the point of completing the work and studies necessary to provide an adequate basis for appraisal..
A distinction should be made between long. finance and motivation to undertake their respective functions. In any case provision for credit should take account of the repayment capacity of the farmers in relation to the terms and conditions suggested for the loans. Where deficiencies in any of the foregoing respects have been noted in earlier background material. etc. it is necessary to give. C. and previous response to credit facilities. Should any new institution have to be created for the management of the project. as well as for subsequent operations. Management and Coordination The entity or entities which will be responsible for the various aspects of project execution should be identified. structure. and the proposed loan would directly finance the capital and annually recurring costs of construction equipment. and the type of loan and purpose. How they would carry out their responsibilities should be explained. medium and short term credit. the size of loan. extent to which subject to political directives. that they have the powers. . If the entity is not a government department. and that there are satisfactory arrangements for coordination between (or within) entities responsible for each of the various project activities. how appointed. the equipment should be justified and itemised. Longer term credit needs should be assessed from investment models. Project Organisation. for purchase of machinery and equipment of for annual operations. If farmers require credit for on-farm development. pumps and so on. according to whether the loan is for fixed improvements. equipment. For short term credit.Guidelines for Planning Irrigation and Drainage Investment Projects 131 Where works are to be constructed by a government agency rather than by contractors. These should be in the form of a lending programme with estimates yearby-year of the numbers of loans to be made to farmers. the requirements should be estimated. operating procedures. staffing and budget. internal organisation. usually in an annex. particulars should be given of its legal charter (basic law) and direction (Board of Directors. requirements per farm should be estimated on the basis of data presented in crop budgets and farm models. functions and powers. that they are capable of carrying them out effectively. the changes and improvements which the project would introduce to overcome them should be stated clearly and prominently. details of its proposed legal status. The aim should be to show that they are the most appropriate bodies to assume the particular assignments. staffing. In some cases it may be necessary to consider reductions in project scope to conform with institutional capacities.) and any special provisions concerning its funding.
As it is likely that the project will involve devolution of at least some responsibility for O&M to the users. Often there are executive and non-executive entities at various levels . on the other hand. with well defined targets over the disbursement period. The responsibilities. staffing and annual operating budgets required for each should be defined. distribute assignments between different participating entities. budgets. approve plans. A distinction should be made between policy. Cost Recovery and O&M This important section should identify overall institutional responsibility for O&M in the short. including autonomous or semi-autonomous irrigation agencies. advisory or coordinating bodies. particularly if these are new or changed and have not been fully addressed in the description of project components. Proposals should be made for the formation or strengthening of all institutions involved or likely to be involved in O&M. for instance. The steps to be taken to privatise or divest activities previously performed by government would also be appropriately described here. accounts or reports. or if modified organisational measures were to be incorporated in the project with the aim of improving on-farm water management in irrigation schemes. commissions and committees. or hire and fire top-level staff. it may be useful to supplement the overall description of organisational arrangements with a more detailed treatment of the specific aspects which are critical for project success. and in field activities should be described. WUAs or combinations in joint management. the extent to which this is expected and over what period of time should be clearly explained. to O&M plus a .on which to exercise these responsibilities. and those with executive powers. Executive bodies. Estimates should be presented for water charges for a range of cost recovery scenarios. from full cost recovery of all capital and O&M costs (taking account of any contribution from the farmers). if a new system for participative planning was to be developed and introduced under the project. they then implement their decisions and report back on results. D.Guidelines for Planning Irrigation and Drainage Investment Projects 132 If there is more than one entity involved in project management (such as a project authority. supply the former entities with the basis . a government department and a credit institution). medium and longer term. Bodies in the former categories may decide or make recommendations on overall policy. together with any related measures to improve the overall environment for an expanded private sector role. arrangements for coordination in such areas as joint representation boards. authorise major expenditures or contracts.for instance national. This would be the case.usually information . regional and in the field. For projects for which significant changes in organisation are required.
In a sectoral programme institution building often forms a component in its own right.and the duration of training. the numbers of staff to study for an MSc degree. Practical procedures for collection of water charges should be described. Recommendations should then be made for setting an appropriate water charge that is affordable. Similarly the intended location of all project staff and the expected duration of their assignments should be clearly indicated. E. in terms of staff recruitment. since the objective is to build capacity that will continue to be available for subsequent developments once the present project is completed. . giving numbers of trainees. for further example. Institutional Capacity Building This section should present proposals for building capacity to implement the project. If technical assistance is proposed. equipment. numbers expected to be involved in practising their new skills and their location.of equipment be clearly identified. perhaps involving a pilot scheme initially to test the proposed system.Guidelines for Planning Irrigation and Drainage Investment Projects 133 percentage of capital costs.and place of use. as well as for good project management. As an aid to subsequent supervision and evaluation missions. Mechanisms by which government can replace all equipment once its useful life has expired and the project has been completed should be spelled out. it should be explained how it would be phased out and how the functions would be subsequently assumed by regular staff. Clear targets and performance indicators should be set. The minimum qualifications for candidates should be defined as precisely as possible. or. such as the completion of engineering designs. scarcity value and opportunity cost of water which should have been presented in the subsector review and strategy paper. vis-à-vis the cost of supply. training. objectives. and supply of office. draft terms of reference (see Annex 3) should be given and functions. Training or re-training arrangements should be described in detail. The initiation of such mechanisms should if possible be incorporated in to the project. If the technical assistance is not for the completion of a finite task. to O&M only. measurable performance indicators and reporting arrangements specified. yet covers the cost of supply to the extent required by policy and induces efficient water use. technical assistance. their expected place of training . and their expected work locations on completion of this training. such as numbers of staff to be trained at certificate level in water management. it is essential that the intended use .which may be at home or overseas . the practical experience to be acquired afterwards. for a project or programme extending over more than one region . These should be crossreferenced to the considerations of water pricing. and possibly construction.
incurred during the disbursement period specifically for the implementation. • Interest during construction: some financing agencies are prepared to consider as a project cost interest payable during the disbursement period of the loan. related to specific project components such as “project management”. if these have been financed by reimbursable loans from the financing agency. Amounts. both overseas and local. • Technical cooperation.Guidelines for Planning Irrigation and Drainage Investment Projects 134 F. Projects have long ceased to be regarded as vehicles for financing capital investments only. • Engineering costs and fees that would be incurred during the disbursement period. Costs of major equipment items are normally based on recent quotations from potential suppliers. management and monitoring of the project. Costs of on-farm development may be drawn from an aggregation of representative farm models but it should be clearly indicated whether or not these include cash or non-cash contributions (eg in the form of family labour or locally available materials) by farmers. Estimates should include all capital costs and incremental operating costs incurred by government during the disbursement period and for the subsequent operation of the project. either foreign or national. Project Costs The importance of sound cost estimates cannot be over-emphasised: they provide the basis of determining the project’s economic and financial viability and also its funding. for instance under the World Bank’s Project Preparation Facility. derived from preliminary designs and justified unit rates. aimed at increasing the capacity of concerned institutions to implement the project. • Training. but usually training aimed at more general institutional strengthening also qualifies for project financing.ie. . Cost estimates for the main civil engineering works should be based on bills of quantities. Most financing agencies have broadened the definition of eligible cost items to include such items as : • Incremental operating costs . aimed at improving staff capabilities: most frequently training is related to meeting the staffing requirements for implementing the project. rather than as a project component in its own right. however. can only be calculated once a financing plan has been finalised. Note that such technical assistance is often treated as a category of investment expenditure. In principle the engineering cost estimates should include all incremental goods and services required to complete the planned works. recurrent costs over and above the “normal” running costs of the concerned agencies . • Feasibility study and project planning costs. This may not be the case however if capacity building becomes one of the major objectives.
Items conventionally excluded from project costs are: • Sunk costs: costs which have been incurred prior to the commencement of a project (eg in constructing a dam prior to a project which wold complete the irrigation water distribution network) are conventionally excluded from project cost estimates. classified by component and expenditure category. Up to five summary project cost estimate tables can usefully be included in the main report. additional cost tables are required to show a cost breakdown which separates out direct support to farmers (eg. are appended to this Annex. • A project cost summary by expenditure category. inputs) from funding for government institutions . prepared using PC-COSTAB. for example by a new dam. but the amounts already invested should be noted if these are known. • A summary breakdown of project costs. except in cases where a significant area has to be acquired by government for project implementation purposes (eg for construction of main canals in an irrigation system or for siting of a wholesale market). • A project cost summary by component and year of disbursement. • Land: the value of the farm land required for the project is normally excluded from project costs. showing the proportion of total costs attributable to each category. Project Costs. resettlement and rehabilitation costs. • A project cost summary by component. credit. rates and amounts should be indicated so that appropriate adjustments can be made in the economic evaluation. • Taxes and duties: duties and other taxes on imported goods are usually excluded from project cost estimates. especially if the government has agreed to waive these. where substantial numbers of people are displaced. • Land acquisition. For projects being prepared for financing by IFAD. expressed in local and foreign currency. Should they be included. The text of the main report conventionally refers to the total costs implied by the project proposal (ie to all incremental expenditures which should be incurred during the course of the proposed disbursement period). expressed in local and foreign currency equivalents.Guidelines for Planning Irrigation and Drainage Investment Projects 135 • Working capital. from the PCCOMPASS suite of programmes. • A project cost summary by expenditure category classified by year of disbursement. to cover the projected incremental operating costs required to bring a project-funded enterprise to the point at which it reaches steady-state operation. Examples of the above.
as follows: • Physical contingencies are included in the project costs to allow for uncertainties and to compensate for possible inaccuracies in the estimates of work quantities. Nor should they be added to give a project greater flexibility. • distinguish between capital costs and those recurrent costs (eg for training) which have been treated. as investment costs. and an analysis of the cost per farmer of each component (or the cost per household of each credit module to be taken up by farmers). • explain assumptions on physical and price contingency rates. The text of this section of the document is usually “written around” the tables. It should : • indicate the sources (and dates) of unit costs from which the estimates are derived. • highlight the importance of any major elements. the imported elements of locally-assembled pumps).Guidelines for Planning Irrigation and Drainage Investment Projects 136 (vehicles. Special problems arise when preparing cost estimates for projects in countries which suffer from rapid inflation and regularly devalue their currency. operating costs). for civil works. commonly lies between 10 and 15 percent by the time the project dossier is completed. Contingencies should be added to the base-line costs at rates specific to each category of expenditure to determine total project costs. An indication should be given as to the accuracy of the cost estimates and how these have been derived. • provide an estimate of the total costs of the foreign exchange component of project costs: this includes both the outlay on fully imported items and the estimated import content of goods and services paid for in local currency (eg. Estimates should all relate to the same date. be treated as a miscellaneous category of costs to cover items either overlooked by the planners. buildings. The rate of physical contingencies to apply varies according to the degree of confidence placed in the estimates but. Here it is advisable to “freeze” all unit values in local currency at an indicated date and exchange rate. and from then on quote all values in US dollar equivalents. . In the latter case. if the costs of any payable taxes and duties are included. for the purposes of estimating project costs. the value should be clearly identifiable. the amounts allocated should be identifiable (eg. Assumptions should be explained. They should not. giving an indication of their accuracy. as an “unallocated” component). Under exceptional circumstances it may be greater if local conditions preclude accurate estimates. however. which should be specified and is usually around the time of the compilation of final project dossier or appraisal. a cost breakdown which allows IFAD to distinguish the percentage of the base cost which goes to targetable versus untargetable components. salaries. Baseline costs are expressed in market prices in constant terms.
however. but estimates of the annual cost based on a percentage of the capital costs are sometimes appropriate. It may be desirable to comment on the government’s capacity to continue to meet the implied financial commitments. For projects that lead to substantial increases in recurrent costs to be borne by government. rates of inflation tend to be matched with corresponding devaluations of the currency. running costs of pumping plant. Operating Costs.Guidelines for Planning Irrigation and Drainage Investment Projects 137 • Price contingencies may also be estimated (on phased base-line costs plus physical contingencies) to demonstrate the probable escalating effect of inflation on project costs and hence the magnitude of financing required. both for the economic analysis of the project and also for setting water charges. a table projecting operating and replacement costs after the close of the disbursement period should be prepared. The table should show by categories the continued cost of running. • where applicable. Maintenance costs should be calculated in detail wherever possible. • running costs of O&M vehicles and plant. and the cost of operating services at the levels necessary to achieve project objectives. and on any steps that would be taken to improve fiscal sustainability. stores and housing. • costs of special repairs. It should be noted. The economics staff of financing agencies are usually in a position to provide project analysts with forecasts of inflation in borrowing countries. . Assumptions on price contingency rates (which may be different for foreign exchange and local costs) should be noted. • maintenance of buildings. offices. such as increased cost recovery from beneficiaries or privatisation of services. Annual cost estimates. maintaining and replacing the assets created by the project. that in countries which operate floating exchange policies. so as to avoid possible over-financing in dollar terms. should include inter alia the following: • salaries and allowances of O&M staff. together with those on the assumed period between the date of the base-line cost estimates and project effectiveness. as well as standard assumptions on international rates. probable countervailing movements of the exchange rate should be taken into account in establishing the dollar equivalent of domestic inflation. In such cases. Typical values for developing countries are given below.
implementing agencies (from their own resources).in cash or kind . may need to be justified. eg extension services. underground) Buildings Electric powered pumps Diesel powered pumps Night storage reservoir Piped distribution systems Portable pipes and sprinklers Field canals and structures Land grading Fences Drains (sub-surface) Drains (open) Annual Maintenance Cost as Percentage of Initial Capital Cost 1. G. in the form of a table. credit institutions and beneficiaries. Other annual recurring costs may include the incremental annual costs of other public services. the government.5 2. would indicate for each main expenditure category the amount proposed for financing by external financing agencies. and in any case it is the prerogative of the financing agency to determine what it will or will not finance. Particularly for disadvantaged groups.to project financing may need discussion.0 1.0 2. Financing Some financing agencies. however.0 2. but not the World Bank or IFAD.0 Replacement costs are forecast for the year in which they are expected to occur.0 1.0 1.0 6. but using constant prices. Assumptions on the beneficiaries’ contribution . More frequently.5 2.0 5. Assurances of government capacity to meet its proposed share of project costs should be sought. expect a preliminary financing plan to be proposed by the country submitting the project before appraisal. especially for projects in countries which have a record of failure to meet counterpart funding obligations in earlier projects.0 0. ie similar to those used in the initial capital cost estimates.0 2. . care must be taken not to imply a commitment of the agencies to the proposal. the proportion of incremental capital and recurrent costs which they are assumed to meet from either their own resources. Such a plan. Since the final plan will be a matter for negotiation between the financing agencies and the country concerned.5 3.Guidelines for Planning Irrigation and Drainage Investment Projects 138 Type of Works Diversion structure/weir Main canal (unlined) Main canal (lined) Pipelines (AC and PVC. a proportion of local costs may also be financed.0 1. unofficial borrowing or from project-funded credit. It is perhaps pertinent to point out that some financing agencies restrict financing to the direct and indirect foreign exchange component of the project.5 1.
AGRICULTURAL PRODUCTION AND RESULTS (4-6 PAGES) The purpose of this chapter is to describe agricultural development and production proposed under the project. the landless or other disadvantaged groups). with particular attention being given to the technological changes which would be introduced by the project. and to ceilings and conditions for financing. of the impact on the output and income of typical participants. Each of the proposed irrigation categories or types should be briefly described. the terms and conditions under which loans would be made to farmers and other borrowers should be given. Special note should be made if any of these differ significantly from standard loan terms in the country. For projects with a substantial credit element. and their impact on input requirements and yields. interest rates in both nominal and real terms. . Agricultural Production The chapter usually starts with a review of the cropping patterns it is assumed will be introduced. especially for farm outputs.Guidelines for Planning Irrigation and Drainage Investment Projects 139 For all projects an explanation should be given either here or in Chapter 11 as to how funds would flow and be monitored. In turn. The proposals should be supported by reference to research data and the actual performance of farmers. the behaviour of costs and prices. B. arrive at estimates of the overall impact of the project on farm development and output. and how reimbursements would be made. may respond to changes in the supply and demand situation. This chapter should review the market prospects for the products on which the viability of the project is most dependent and justify the price assumptions used in financial and economic analyses of the project. A. It should explain the assumptions made on the rates at which yields and cropping intensities will rise and. Reference should be made to eligibility criteria (including any special measures for improving access of women. sub-loan periods. Market Prospects and Prices The financial attractiveness to farmers of the proposed developments normally depends on the relationship between the input costs and the prices for the commodities which they intend to produce. drawing on crop budgets and farm models. followed by an assessment. grace periods. provided that this is not masked by the presence of price controls or subsidies. derived from these and the models. and the expected results.
there would be a shortfall in production vis-à-vis demand at the assumed prices in the target market. In many cases. assess the extent to which the assumed prices are likely to be sustainable and. a careful review of market prospects and of possible means of improving these (eg lengthening of production season). no market problems exist. The report should demonstrate that market openings exist or can be opened up (at the financial prices assumed) for the incremental output expected to result from the project. packaging materials) and infrastructure (eg. should explain the nature of any key factors affecting price formation. adjusted for transport costs and traders’ margins. however. as is usually the situation for non-perishable staple foods in grain deficit countries. ITC and other agencies of the world market prospects. eliminating the effects of inflation which are implicitly assumed to affect input and output prices equally. which must be clearly stated. for highly specialised products. The analyst. farm models or agribusiness enterprises. It is usual to make projections of prices in constant money terms. A main purpose of this review is to demonstrate that. Occasionally. some specific market research may have to be carried out as part of the planning process. if there are doubts on this. In such situations there is no need to dwell in the report on market issues. For most major traded commodities. and of assessments of income elasticity of demand. . Consequently it is important that all prices and costs refer to the same point in time. However. is an essential element in project planning. It is conventional practice to use prevailing. or alternatively that the project area (or country) is competitive in serving the market vis-à-vis other potential suppliers. in the absence of the project. The adequacy of back-up services (eg availability of transport. roads) also needs to be examined. Growth in domestic demand can be estimated on the basis of projections of population and income. Prices. reviews have been made by FAO. test the sensitivity of the models to price changes. where the viability of a project depends on access to export markets or on sales of perishable commodities or of items of particularly high unit value.Guidelines for Planning Irrigation and Drainage Investment Projects 140 Markets and Marketing. normal input and output prices in the financial evaluation of crop budgets. and reference should be made to these and their conclusions. Farm-gate prices for farm-level analysis are usually derived from interviews with farmers or from wholesale and retail market price reports. Financial price assumptions for the main inputs and outputs should be summarised in a text table.
and for forecasting their debt service obligations. while at the same time also holding prices constant.. or in some cases. communities. cash expenditure. or in some cases tenure status. If. and the technical strategy by which it is intended to open these opportunities to them. cubic metre of water etc. Earlier sections should have indicated the nature of the constraints and needs faced by each type of producer. Impact on Individual Producers This section should show. largely through reference to farm models. unless there is any special reason to depart from such assumptions . if the expected output from the project would be big enough to depress product prices. it is appropriate to adopt the real rate in calculating debt service obligations. The results summarised at this point should focus on the same strategy and opportunities but express the expected results in financial terms. Only after it is clear that all activities amongst the building blocks of models are financially viable is it justified to proceed to an analysis of a financial model of the complete farm or enterprise over time. 1: Chapter X.for instance. Models should be developed for each major beneficiary type. what would be the expected impact of the project on the income and welfare of typical individual producers. or through household models if non-farm income is significant. labour. an attempt being made to ensure that each model represents a typical situation in terms of farm size. as is the case in inflationary situations. Farm models also provide the basis for estimating the likely long and short term credit needs of project participants. without and with the project. FAO Rome (1991). Financial models should assume constant financial unit costs and prices over the period of analysis. In practice however.Guidelines for Planning Irrigation and Drainage Investment Projects 141 C. . FAO Investment Centre Technical Paper No 8 Financial Analysis in Agricultural Project Preparation. using estimated prices justified in Chapter 9 or an attached table or annex. The cost and return implications derived from the financial analysis of the crop or enterprise budgets can usefully be summarised in a short text table which may also compare financial return per unit of land. The basic models that are analysed in annexes and summarised in the main text should aim to represent average situations. the opportunities for increased production. there is a major discrepancy between nominal and real interest rates. A further summary table or tables should be given for the key results from the analysis of the annexed financial models. Particular care needs to be taken by the analyst in estimating working capital requirements and the means by which these can be financed1 .
labour or risk. Tests for Sensitivity. The variants may also be used to assess the implications for project participants of alternative pricing policies or market scenarios. For such reasons. The results of any financial model must be interpreted with considerable care. a series of variants on the basic financial models may need to be run to demonstrate the extent of their sensitivity to risk or changes. It is for this reason that. a balanced cash flow or the financial return on equity capital may be the critical parameters. Additional tests for risk and sensitivity which can be applied in financial analysis are discussed below. fluctuations in water supply should be simulated for the period of intended economic analysis. 2: FAO Investment Centre Technical Paper 6 The Design of Agricultural Investment Projects: Lessons from Experience. so that resources can be freed for more profitable (perhaps off-farm) use. where available data permit.Guidelines for Planning Irrigation and Drainage Investment Projects 142 results are likely to vary significantly from one year to another. yield per hectare (or return per cubic metre of scarce water) may be the most important criterion to examine. FAO Rome (1989). in Branscheid V. For a small-scale farmer the most attractive opportunity may be to earn more per day of family labour. see Paper 81 A Methodology of Irrigation Water Budgeting.or ideally have been shown through diagnostic studies . Some simple tests can be made on the financial results of enterprise budgets or farm models summarised earlier. On the other hand for large-scale commercial farming or processing. Irrigation Water Management Briefs: 100 Collected Papers. For the specialist vegetable grower who is restricted to a small irrigated area. The mere calculation of an attractive financial rate of return on investment should not be taken to imply that the proposed technical changes would necessarily capture the interest of all farmers. For small farmers. FAO Investment Centre. Rome 1989. concerns over the risks implied by innovation are particularly likely to affect the response to project opportunities. . net production cost per ton. or perhaps to generate more of the family’s needs for subsistence food with less cash outlay. The overall aim of 1: For details of possible techniques. often because of variations in water availability.to be those most relevant to the people whom the project is intended to benefit. The purpose of these variants is to show whether or not the project’s technical strategy is robust enough to sustain project beneficiaries through misfortunes such as a series of consecutive years of unfavourable weather or a drought falling in the first year of their project participation. the FAO Investment Centre Design Study2 suggests that many cases of under-performance could have been anticipated if these analyses had been made. The analysis should always be made in those terms which are thought . Such financial examinations of risk and uncertainty are now relatively easy to run using computer programs such as the FARMOD module of PC-COMPASS. or of partial adoption of technology. rather than simply assuming that the 80 percent exceedance probability flows would be available in all years1.
regardless of whether the project is rated as Category A. on endangered wildlife. the probable effects on the depth and quality of the aquifer should be noted. A similar aggregation approach is possible if farmers are already present on the land to be developed but. The text of this final section of the chapter should indicate briefly the approach to aggregation which has been used. and a forecast should be given in the report of the principal changes expected to take place. and raising the demand for credit. or if the existing irrigation practices are to be upgraded as new main works benefit their farms. output and input demand streams should start at zero and can be readily calculated by aggregation of one or more standard models using FARMOD. . and on the prevalence of water-borne disease. SOCIAL AND ENVIRONMENTAL IMPLICATIONS (2-4 PAGES) As a reflection of the seriousness with which environmental issues are regarded. plus their financial values where appropriate. where a predictable number of farmers is assumed to move into a formerly virgin project area each year.Guidelines for Planning Irrigation and Drainage Investment Projects 143 such tests should be to confirm the plausibility of the planning team’s assumptions on technological change.. are expected to change progressively from rainfed to irrigated production. increasing demand for items such as seeds. Particular care should be taken to identify any effects on downstream fisheries. Clearly the entry pattern must match assumptions elsewhere on the rate at which works would be built and become operational. For a new irrigation scheme. B or C according to the World Bank or similar classification (see Box II-2 in Part II). The necessary calculations can be made using the FARMOD Programme. This chapter should therefore describe all adverse environmental impacts. from the producer’s point of view. Irrigation and drainage projects usually have a substantial effect on the ecology of the area in which they are located. It is important to avoid over-optimism on the pace of entry. Impact at Project Level The remainder of this chapter should briefly summarise the aggregate impact of the project over time in generating extra output. equipment etc. for example. machinery. For groundwater irrigation schemes. creating new employment. the environmental impact of the project should be described in a separate chapter. D. Short text tables should then summarise estimates of total and incremental physical quantities for inputs and outputs. for instance malaria or schistosomiasis. Tests should therefore be made only on the parameters previously identified as being crucial to the decision-making of the operators.
Action plans for mitigation. 1: For guidance see Dixon J A et al. especially nutrition. It should also illuminate the strengths .of the project. as measured by the rate of return on capital employed. London (1994). within the same country. are consistent with the economic and fiscal policies of the government concerned and compatible with the funding policies of the intended financing agency. for example. The costs of such action plans should be presented. but economic soundness alone. the proposed irrigation or drainage investments are also justifiable in the broader context of national resource availability. the numbers of beneficiaries and any losers should be indicated. Convention requires that considerable weight be given to demonstrating the economic viability of the proposed actions. and details given of their “with” and “without” project incomes. Economic Analysis of Environmental Impacts. from a national point of view. education and the role of women. Under social implications. such as resettlement and rehabilitation plans or special designs for structures. is seldom a sufficient justification for going ahead with a project. All negative impacts identified should be highlighted in the text. as should estimates of the environmental costs1 for inclusion in the economic analysis of the project.Guidelines for Planning Irrigation and Drainage Investment Projects 144 The above information can be presented using the ICID checklist. .and reveal any weaknesses . Thus. The point must also be emphasised that economic analysis should not be used simply to provide a proof of project viability.on the poor should be described. disadvantages and risks of embarking on the proposed project. opportunities for producing the same level of output at a lower cost from rainfed farming. This chapter should seek to show that. Changes in access to productive resources that could have an impact . apart from being economically viable in their own right. Earthscan Publications. Reference should also be made to expected effects of the project on other factors affecting living standards. it is not enough simply to demonstrate that an irrigation project would generate satisfactory economic rate of return if there are.positive or negative . ECONOMIC JUSTIFICATION (3-6 PAGES) This chapter is intended to provide decision-makers in the government and potential financing agency with an appreciation of the advantages. The use of sensitivity analysis techniques is important in showing the nature and extent of risk to which the project is exposed and to point to possible means for improving robustness. Rather it should be used as a tool in the planning process to arrive at the option that is likely to produce the best all-round results from all the choices considered. should be briefly described.
It may be useful to include an introductory section which summarises the broad justification for the project in qualitative terms and guides the reader on the approaches adopted in analysing its expected impact. care should therefore be taken to avoid jargon and the use of excessively complex analytical techniques which may confuse rather than illuminate the basis for decision making. Cost streams should include the capital costs of the project (including physical . compromises and trade-offs have to be made: for instance. should be expressed in economic prices. A. as they accrue each year during the life of the project. The economic benefits stream should include the value of the incremental output of the project. consisting of the net incremental value of production attributable to the investments being financed by the project. The nature of such trade-offs and the extent to which they have been captured in the analysis which follows should be explained. an explanation must be given of the assumptions underlying the forecasts of economic prices used in project evaluation. they should also include the operating costs incurred by the farmers. the cost of providing agricultural support services may rise substantially in response to a policy decision to increase the proportion of poor farmers amongst the project beneficiaries. or immediate potential benefits may be foregone in the interests of long term sustainability. In the planning of any project. The table constructed to calculate the economic rate of return should be given in an annex and should show the forecast streams of incremental costs and benefits. maintenance and replacement costs of project works expressed in economic prices. as well as in providing services and running the project’s management system. .Guidelines for Planning Irrigation and Drainage Investment Projects 145 In writing this chapter it is important to bear in mind that the people who have to take decisions on whether or not to fund the project may not be trained economists or technicians. and it should be made clear whether distortions in the pricing of foreign exchange have been compensated for by the use of a shadow exchange rate or by the application of conversion factors to the price of non-traded goods. The distinction must be made between traded and non-traded goods. What is required is a clear and objective appraisal of all those factors that should be taken into account in arriving at well-informed decisions on the future of the project. For those inputs which could have a significant bearing on the viability of the project. Economic Costs and Benefits The project’s economic benefits.but not price contingencies) plus the operating. and the resulting incremental net balances.
Risks of an environmental nature however should be described in Chapter 8. These might include changes in access to drinking water. health. but it should be made clear that the net foreign exchange gains are not an additional benefit over and above those taken into account in the calculation of ERRs or NPVs (if these use a correct shadow price for foreign exchange). the aim has been to maximise the number of beneficiaries subject only to each component exceeding a minimum ERR. this should also be explained. and if possible.Guidelines for Planning Irrigation and Drainage Investment Projects 146 B. Thus the impact of irrigation development on the balance of payments should be mentioned only as a favourable side effect. Beyond these specific analyses any more general impacts that the project may have on the poorer members of the rural population should be mentioned. The point to illustrate here concerns the relative weight which has been given to social versus economic criteria in deciding on the balance between components. nutrition and education. the chapter should provide the reader with estimates of the without and with-project income distribution situation and any other indicators of the project’s expected impact on rural poverty. If the overriding consideration in project planning has been economic return on investment it should nevertheless be shown that. The costs per beneficiary and the expected earnings of the beneficiaries vis-à-vis wages in other sectors would also be relevant measures. these benefits should also be highlighted. It is usually sufficient simply to indicate the annual level of net receipts once the project has reached full production. D. . for countries where this would be a particularly attractive feature. Risk and Sensitivity Analysis The report should systematically examine each major potential source of risk to which the project is exposed and explore its possible impact. For projects aimed explicitly at alleviating poverty. If the project is intended to bring special benefits to women. the option has been chosen which is also best able to spread benefits widely and equitably. C. the chapter should include a review of its impact on the national balance of payments. in contrast. If. quantified. Impact on Income Distribution and Poverty Alleviation The relationship between the anticipated impacts of irrigation development on income distribution and poverty alleviation and the policies and priorities of the government and the lending agency should be discussed here. among outcomes giving a high ERR. Effect on Balance of Payments To the extent that irrigation development has import substitution or export goals.
action for environmental protection. Those concerned should be alerted to problems which . levels of subsidy on inputs. Fiscal Implications and Cost Recovery This is the place to explain assumptions on cost recovery rates and mechanisms (eg contribution of free labour for construction or irrigation water charges) and the extent to which they would cover the capital and operating costs of the project. It is equally important.Guidelines for Planning Irrigation and Drainage Investment Projects 147 The above should of course be consistent with statements on the project’s overall objectives made earlier under Project Rationale and Planning Considerations in Chapter 5. interest rates on loans to farmers. various problems or issues usually arise which need to be resolved by decisions of the government and/or the financing institution. pricing arrangements for farm outputs. water rights. an issue of the former type might concern the need to endow an agency with the necessary powers to manage the project.of scale. implementing agency. Later in the process. At the early stages of the planning process main issues frequently concern choices . . water pricing. with an advance payment in cash or kind to demonstrate commitment. Issues As a project moves through the planning process to appraisal and negotiation. especially if they could have a major bearing on the feasibility of the eventual project. Other issues of a similar nature which arise frequently in irrigation investment planning relate to criteria for screening and selection of subprojects. however. E.would delay or materially influence the successful implementation of the project. land acquisition and land resettlement plans. issues tend to be related either to preconditions for project success or to points of possible incompatibility between the project proposals and the funding policies of the financing agency. not to overload this section with trivial matters which can be readily resolved in the normal course of appraisal and subsequent project processing. Thus. It is most important to bring such issues out into the open as early as possible in the planning process and to encourage their rapid resolution.if not resolved in due time . ISSUES AND SUGGESTED CONDITIONALITIES (1-2 PAGES) A. compensation for oustees. technology and so on which have a bearing on the project concept. Amongst the latter issues could be the requirement of the financing agency that full costs of operating and maintaining public irrigation systems be recovered from the users. To gloss over fundamental issues in the hope that they will disappear may simply raise false expectations.
Policy changes of direct relevance to irrigation and drainage investments typically concern such issues as : • land tenure. it is useful to explain: • the nature of the intended reform and its objectives.. it is useful to : • explain in simple. In other cases policy adjustments may be of a broader sectoral or macro-economic nature and not specific to the project. • cost recovery levels and mechanisms. • enabling legislation for the formation of water users’ associations. Commitments and Suggested Conditionalities Increasingly. • indicate the process by which the issue might be resolved . the introduction of changes in government policies. either before the launching of the project or during its implementation. and means of ensuring the users’ involvement in design and construction. Policy changes may be aimed at addressing specific problems (identified in the Background and Rationale chapters of the report) which would otherwise prevent the successful operation of the proposed project. . through meetings between various involved parties etc. • the respective roles of the public and private sector in development or the provision of services. • point out alternative solutions (to the extent that these exist) and outline the probable consequences of each course of action. • propose a timetable for arriving at decisions on the issue. In reporting on issues which remain to be resolved. direct terms the substance of what is at issue.for example. In this case the interdependence of the project and the policy adjustments should be made explicit. fragmentation and consolidation. the planning team may indicate which it considers to be the most desirable solution. B. and by whom a final decision would need to be made. projects are associated with. It is therefore important to explain any changes in policy which the Government is committed to introduce. • the role of NGOs in relation to public sector services. or at times predicated on. by collecting and analysing additional pertinent information. For each main policy change of this sort.Guidelines for Planning Irrigation and Drainage Investment Projects 148 legislation for water users’ associations. • management and scheme ownership transfer. but nonetheless essential prerequisites for its success. if appropriate.
now facilitated by project management computer software. their careful consideration during project planning will assist those responsible for appraisal and implementation to approach their respective tasks in a state of readiness. for example for community animation or support to WUAs. redundancy in state enterprises. the intended timetable. is recommended for the preparation and monitoring of an overall implementation schedule. • possible side-effects of policy changes (eg. planning must now be increasingly focused on matching proposals for investment in irrigation and drainage with capacity for implementation. • the level of present commitment to the proposed change. Although conditionalities are usually the prerogative of the concerned financing institution. • preparation of a list of qualified consultants and contractors for civil works. This should list all steps that have to . • appointment of auditors. and the organisational responsibility for bringing it about. should be annexed to the report. This final chapter should provide a clear statement on how the project can be effectively implemented. It is a crucial part of the investment proposal. • opening of a Special Account. The use of formal scheduling tools such as critical path analysis. • appointing specified senior project staff. and careful thought is required in its drafting. Overall Implementation Schedule For most irrigation projects there is considerable interdependence between activities and components. From the above. if available. the functions of which have been privatised) and measures adopted to mitigate these. • preparation of the necessary documentation for inclusion of the project in the government budget. • preparation of a draft agreement with NGOs. conditionalities might include: • preparation of a draft timetable for introducing new legislation or changes in administrative procedures. A.Guidelines for Planning Irrigation and Drainage Investment Projects 149 • the measures through which the policy change would be adopted : in some cases these might simply involve changes in procedures (for example. in approaches to consulting farmers on irrigation system design) while in others changes in legislation may be required. draft legislation. IMPLEMENTATION (3-6 PAGES) As discussed in Part I.
• identify the individuals required to perform the necessary tasks. • hence define the earliest date for project start-up. C. contract negotiation. Whenever possible they should have been defined and agreed at a workshop with the intended implementers during final planning. they should be discussed at a subsequent review of the draft project dossier. bid evaluation. construction plant and equipment. Invitations to bid and bidding. B. identify the critical activities. and possibly temporary site accommodation. • define the time required to achieve these. consulting companies (for engineering design work). . bid evaluation and award of contracts. list demands on management staff or skills in potentially short supply and note other potential constraints or risks. annexing brief responsibility and job descriptions. If not.Guidelines for Planning Irrigation and Drainage Investment Projects 150 be taken to execute the main components of the project. before this chapter comes to be written. • Preparation of procurement packages for project vehicles. Activities for Completion in Project Year One This section should identify and bring to the government’s attention all the essential tasks to be undertaken during the first year of the project. and earliest and latest start/completion dates. The following are tasks that often fall within the first project year. With the aid of the overall implementation schedule it should: • identify the tasks to be completed in order to satisfy the suggested loan conditionalities. and their listing in the project document can be of great assistance in getting the project off to a flying start. place them in operational sequence. • explain the need for and approach to preparation of annual work plan and budget. or at a startup workshop as soon as the loan has been negotiated. award of contracts and mobilization of staff. • Preparation of terms of reference for technical assistance services from NGOs (for demand animation or training of WUAs). These activities usually form the subject of the first annual work plan and budget. training and research institutions (assistance with training and extension programmes). Invitations to bid and bidding. Activities to Achieve Loan Effectiveness This section should provide crucial information for the gearing-up process for the project implementers.
• Detailed engineering designs and cost estimates for subsequent year’s construction work. . However. • Preparation of bidding documents for aerial photography and mapping. the principle of competitive bidding will still apply for local purchases or the use of local contractors. This should be reflected in the overall implementation schedule and phasing of the project costs. World Bank and Inter-American Development Bank.Guidelines for Planning Irrigation and Drainage Investment Projects 151 • Initiation of information campaigns and animation procedures for demand-driven development. • Initiation of a staff training programme. • Cadastral surveys. An estimate should also be given of the likely time requirements to undertake the various procurement procedures for the main project items. The major financing institutions usually require that borrowers obtain goods above a certain value and contract major civil works through international competitive bidding (ICB) open to suppliers and contractors in all of their member countries. • Six-monthly interdepartmental review/planning workshops. an assessment of local capacity to supply different categories of goods or services. • Initiation of farmer training and extension programmes. Invitations to bid. Whatever the expected procurement procedures they should be summarised here. if appropriate. • Negotiation of agreements with communities on their labour or other contributions to project implementation and subsequent O&M. Programmatic work consisting of many small scattered subprojects is not generally attractive to international companies and does not usually require ICB. Under prescribed conditions preference may however be permitted for local and regional manufacturers and. (1985. bidding. where appropriate. 1986). • Additional site investigations and topographic surveys. 1: See. Sample Bidding Documents: Procurement of Goods and Procurement of Works. bid evaluation and award of contract. with. for example. Procurement Most multilateral and bilateral financing institutions have their own requirements for procurement that are set out in guidelines issued for borrowers1. local contractors. D. These should be referred to and their applicability to the items to be procured under the project should be explained. • Participatory planning with farmers for irrigation water delivery/distribution systems and in-field works.
1. and analysis and design for upgrading. including details of expected improvements to operational hydrology. figures. 5. TABLES AND ANNEXES Appended to the report should be the maps. Management and Institutional Development Plan Social and Environmental Impact Assessments (for Category A projects. A typical set of annexes for a project document covering a new irrigation investment project might be: Sociological Analysis and Definition of the Target Group Soils and Land Capability Climate and Water Resources Water Rights and Land Tenure Irrigation Agronomy (including crop water requirements) Irrigation and Drainage Engineering Marketing and Input Supply Rural Financial Services Roads and Other Infrastructure Development Institutional Capacity Assessment Organisation. 6. 4. Detailed Project Cost Tables 15.Guidelines for Planning Irrigation and Drainage Investment Projects 152 E. For example. FIGURES. Annex 6 should contain a detailed diagnosis of the existing system. Accounting. Implementation Plan (containing GANTT/critical path analysis charts) The list of annexes required for a rehabilitation project would be similar to those above. 2. Financial and Economic Analysis 14. 8. Annexes should. to the extent possible. 10. 11. Annexes 1 to 9 should describe the existing situation. frequent cross-referencing should be made to the annexes in the main text. 12. but the scope and content of some of them will be different. but 4 to 9 should also describe proposals for improvements. Audit and Reporting This section should explain the arrangements necessary for establishing and keeping project-related accounts and their annual audit. be organised along similar lines to the main text to facilitate extraction of information. 7. 3. tables and annexes needed to give the detailed background to the main text and to assist the appraisal team and project implementing agencies. Mitigation Plan for Category B) 13. . 9. MAPS.
in addition to those required for background for such topics as those above. 2. 8. Operational Regulations (including investment selection criteria) Institutional Development Plan Action Plan for Rehabilitation and Transfer of Irrigation Schemes Cost Recovery Action Plan Environmental Action Plan Investment Costs and Disbursement Schedule Bidding Packages Implementation Plan (containing GANTT/critical path analysis charts) . 7. 5. would cover the operation of the proposed project in detail and could include the following : 1. 3.Guidelines for Planning Irrigation and Drainage Investment Projects 153 The annexes required for a sectoral investment project. 4. 6.
2 2.4 4.095.8 2.308. Processing and production diversification 2.0 1.1 853.844.2 937.0 433.8 1.6 393.8 651.0 2.8 417.352.4 261.6 875.0 6.803.3 430.7 32.419. Sustainable Agriculture 2.1 400.4 13.069.297.089. Institutional Strengthening 3.697.2 995.694.697.3 662.7 16.668.0 12. Support Services Technology Transfer Research Subtotal Support Services E.Example: Project Cost Summari by Componet Local 3.6 1. Economic Rural Infrastructure Rural Roads Rural Marketing Infrastructure Subtotal Economic Rural Infrastructure Subtotal Poverty Alleviation Activities C.409.648.2 2.7 94. Studies Total BASELINE COSTS Physical Contingencies Price Contingencies Tolaal PROJECT COSTS .1 560. Natural Resources Management 1.2 9.0 6.098.7 432.7 1.1 337.160.3 385.0 32.3 2.016. Technical Assistance Services 2.4 4 5 16 25 18 9 9 2 4 2 30 3 4 3 (Pesos Million) Foreign Total Local Total (US$ ‘000) Foreign % Foreign Exchange % Total Base Costs 29 14 1 44 15 6 1 7 22 3 3 3 9 6 13 19 3 2 100 3 103 A.0 880.0 423.3 118.4 3.7 45.3 239.7 1.0 401.0 103.6 347.127.2 880.3 221.5 1.0 127.8 1.2 975.4 94.7 116.4 4.6 1.2 33. Training Subtotal Technical Assistance and Training D.2 274.972.4 1.4 4.0 31.728.9 323.8 2. Project Technical Unit F. Small Irrigation Schemes 3.8 5.7 316.4 240.844.7 10.6 4.217.4 6.765.641.100.372.3 262.4 3.9 39.100.470.057.8 712.5 158.6 345. Poverty Alleviation Activities 1.1 7.709.409.6 4.352.2 14.233.797.0 347.8 12.135.2 1.0 4.0 12.0 1. Technical Assistance and Training 1.123.9 1.295.5 5.5 800.6 40.2 12.077.726.7 422.7 712.4 1.948.7 1.5 769.535.8 167.693.297.694.860. 1.4 37.3 100.2 26.803.3 2.0 4.844.5 1.1 94.282.0 300.668.9 4.0 1.5 21.9 8.6 1.646. SIGMA Subtotal Natural Resources Management B.4 12.7 779. 1.081.8 108.5 14.
1 183.7 99.2 207.4 1.001.3 133.3 199.9 1.295.0 158.0 555.726.4 108.1 7.6 545.0 7.4 1.3 933.8 76.1 219.2 1.5 80.172.1 174.5 168.998.7 31.0 7.8 3.972.4 120.0 522.639.7 408.8 361.9 1.1 644.217.937.8 387.127.0 92.874.3 2.7 229.322.9 179.1 532.0 523.6 254.2 3.7 206.4 192.4 1.100. Economic Rural Infrastructure Rural Roads Rural Marketing Infrastructure Subtotal Economic Rural Infrastructure Subtotal Poverty Alleviation Activities C.6 779.2 126.8 234.0 7. Sustainable Agriculture 2.9 629.3 561.7 1.0 423.0 612.3 120.0 561.5 24.098.4 155.948.0 2.954.7 345.2 937.2 461.492.6 771.7 712.6 1.6 303.7 981.6184.108.40.206 837.4 332.6 31.4 927.0 2.6 1.8 475.8 1.1 220.9 601.5 366.6 167.158.352.7 33.9 215.663.933.9 3.9 365.5 7.7 118.049.409.8 72.5 7.9 80.3 62.7 475.016.4 85.7 80.332.081.6 875.8 1.938.647.0 1.1 158.8 330.9 798. Project Technical Unit F.5 2.4 54.0 221.561.7 66.5 2.2 1.4 68.1 A.8 769. Technical Assistance and Training 1. Studies Total BASELINE COSTOS Physical Contingencies Total PROJECT COSTOS Taxes Foreign Exchange .2 523.5 2.4 274.2 2.1 80. SIGMA Subtotal Natural Resources Management B.7 316.7 3.860.6 1.3 210.017.3 3.2 8. Natural Resources Management 1.7 13.0 34.9 341.4 25.6 4.5 347.5 62.0 487.967.297.6 158.0 366.8 256.5 14.646. Processing and production diversification 2.5 145.9 1.0 80.0 1.797.497.233.089.0 213.9 4.478.4 90.844.6 31.362.5 1.5 187.0 80.9 1.372.7 1.8 1.184.3 276.4 1.2 164.4 62.6 1.0 6.7 2.9 47.406.0 215.2 455.924.4 584.7 1. Small Irrigation Schemes 3.9 65.8 394.6 90.6 31.4 2.437.4 174.4 1.3 251.4 765.0 916.073.0 880.169.3 425.8 139.0 401. Technical Assistance Services 2.0 1.7 168.6 506.1 108.8 32.803.7 101.6 414.6 50.5 5.8 52.9 326.0 80.Example: Project Cost Summari and Year 1995 214.6 390.161.0 343.1 1.7 2.4 4.9 62.0 1.0 274.9 84.1 3.952.4 204.095.4 154.3 12.0 46.3 452.2 141.5 544.593.4 31.3 127.717.8 1.1 559.959.9 3.5 2.569.7 144.9 242.828.791.027.2 194.6 229.7 826.709.5 1.0 2.3 334.5 341.6 31.1 109.563.0 168.6 846.0 28.0 7.0 1.5 800.7 82.3 320.697. Institutional Strengthening 3.6 161.2 119.925.1 62.4 55. Poverty Alleviation Activities 1.2 7.5 131.2 Base Cost (Pesos Million) 1996 1997 1998 1999 Total 1995 1996 1999 Base Cost (US$ ‘000) 1997 1998 Total 9.6 157.4 68.2 2.3 7.4 619.381.8 135.3 1.8 144.0 1.421.0 1.844.0 33.4 2.6 650.277.6 865.694.6 426.4 24.1 2.6 617.9 526.1 400. Support Services Technology Transfer Research Subtotal Support Services E.4 430.523.7 13.3 865.203.3 368.6 2. Training Subtotal Technical Assistance and Training D.0 56.021.8 206.404.5 433.5 178.8 87.9 137.2 543.7 432.9 11.4 305.5 9.
727.694.0 1.7 12.2 511.2 537.2 891.0 16.).2 701.2 37.360.9 343.127. Technical Assistance (external) E.4 537.2 679.7 Mill.039.0 94.1 1.5 94.9 405.861.3 31.0 157.0 805.085.Example: Project Cost Summari by Expenditure Category Local 823.0 1.372.807.5 75.388.6 1.0 9.160.3 799. Off-farm Investment I.2 221.6 27.1 352. Studies G.7 4. Vehicles H.3 37.217.1 4. Operation & Maintenance O&M Works O&M Equipment Subtotal Operation & Maintenance B.7 12.027.7 1.693.2 487.0 10.8 12 90 1 30 17 4 62.3 799.2 10.3 41.0 401.2 31.5 45.5 10.3 4.4 4.3 3.7 192.726.5 79.213.7 25.4 57.4 57.5 22.9 40 1 3 4 3 2 4 6 2 2 1 12 100 3 103 A.5 30.6 1.1 679.361.5 Mill.). Equipment B.682.1 1.4 28.9 135.2 33.525. Gasoline G.5 1.3 385.4 268.8 32.0 95.2 4.0 800.5 105.3 2. pasture and livestock improvement (US$ 3. Supplies D.697.8 6.0 1.1 190.1 10.775.9 135.0 240.2 25.0 315.7 2.9 Mill. and forestry (US$ 2.016.798.7 192.5 22.3 3. Staff E.3 3. Supplies J.5 1.4 12.5 76.2 202.4 4.3 3.2 9. Investment Costs A.098.1 1.6 899.0 315.039. .512.0 355. Research K.259.308.5 2.682.2 1. Training F.2 487.7 32. On-Farm Investment /a Total Investment Costs II.6 7.6 1.694.7 11.828.697.352.057. Civil Works C.8 3.4 12.0 433.8 190.242.).3 12.259.6 30.0 560.9 3.8 316.7 16.0 417.4 1.6 18.297.1 701. Travel Total Recurrent Costs Total BASELINE COSTOS Physical Contingencies Price Contingencies Total PROJECT COSTOS \a Includes: improved rainfed farming and on-farm erosion control (US$ 5.2 975.4 13.8 30.4 7 (Pesos Million) Foreign Total Local Total (US$ ‘000) Foreign % Foreign Exchange 7 14 13 3 2 6 1 13 29 88 % Total Base Costs I.5 2.352.135. Recurrent Costs 268. Technical Assistance (local) D.6 40.500.775.297.0 75. Vehicles O & M C.2 885.4 805.5 1.360.9 343.233. Other F.0 1.
5 24.4 1.2 F.0 11.7 D.6 107.2 523.057.9 5.647.6 7.3 59.1 175.9 158.213.2 466.492.0 856.2 423. Recurrent Costs 37.0 4.144.0 272.0 2.7 71.3 135.1 30.2 487.3 368.1 184.3 511.4 150.6 33.4 107. Other 34.5 433.5 227.3 Total PROJECT COSTOS 3.0 332. Technical Assistance (external) 17. and forestry (US$ 2.694. Technical Assistance (local) 336.6 I.717.590.073. Off-farm Investment 12.8 330.1 5.7 109.3 10.8 6.6 29.7 O&M Equipment 5.9 19.).0 16.727.0 0.1 183.5 92.1 Base Cost (Pesos Million) 1997 1998 1999 Total 1995 1999 Total Base Cost (US$ ‘000) 1996 1997 1998 Foreign Exchange % Amount 1995 I.5 737.7 4.9 41.9 206.1 4.3 69.6 240.8 19.1 805.6 22.2 1.5 1.5 1.3 7.0 837.127.0 1.4 401.6 316.3 62.6 268.1 15.937.8 190.2 31.217.7 33.4 10.0 75.288.4 272.185.2 90.5 192.2 141.0 1.6 43.8 601.2 180.7 21. Operation & Maintenance O&M Works 17.9 42.6 6.0 145.2 455.6 K.3 1.8 814.8 2. Gasoline G.5 45.2 397.0 15.7 1.2 3.959.5 2.6 400.8 2.536.172.380.5 701.0 105.2 80.8 23.9 368.9 81.9 679.4 852. Equipment 552.1 6.7 109.8 3. Research 650.6 1.0 272.0 194. Studies 131.9 76.5 355.6 B.2 44.0 272.7 66.184.0 16.4 Total Recurrent Costs 244.9 Mill.0 167.8 11.3 30.0 1.3 799.0 68.5 2.1 59.9 576.8 338.7 15.9 149.242.9 343.4 537.0 1.1 227.7 1.925.512.948.039.4 2.Example: Project Cost Summari and Year 1996 62.406.4 Subtotal Operation & Maintenance 125.9 137.0 Taxes 221.1 190.0 72.1 B.3 3.253.6 377.0 95.520.001.4 57.0 7.1 15.828.0 280.7 316.2 24.6 254.5 7. Supplies D.4 107.3 2.7 6.1 2.1 40.0 4.4 1.0 120.5 Mill.0 9.5 56.4 308.0 174.0 225.404.2 885.5 144.5 7.4 6.4 109.5 H.259.122.9 II.9 15.7 68.0 644.523.3 53.3 86.2 299.924.7 1. .4 Physical Contingencies 101.1 175.8 Total BASELINE COSTOS 2.5 92.1 19. Vehicles O & M C.277.2 28.8 461.0 15.663.169.8 30.4 7. Vehicles 37.7 13.5 2.8 32.0 30.4 184.210.0 15. Travel 36.569.0 111.2 11.7 561.0 451.0 800.6 40.9 3.013.8 3.9 - 107. Investment Costs A.828.).680.420.4 233.4 321.6 76.967.3 74.9 7.603.998.2 619.1 189.1 168.8 769.2 2.3 425. Staff - 43.3 54.5 107.352.0 10.5 69.9 194.2 E.8 72.2 543.233.9 24.0 2.0 1.6 1.1 C.016.6 7.7 7.8 366.6 1.1 G.7 80.7 168.0 443.0 2.5 30.3 276.7 Mill. Civil Works 495.9 \a Includes: improved rainfed farming and on-farm erosion control (US$ 5.6 151.775.0 215.0 74.1 J.1 933.8 234.9 4.098.4 1.0 1.2 873.4 1.027.2 47. pasture and livestock improvement (US$ 3.4 509.8 Total Investment Costs 2.4 2.9 2.3 315.4 13.372.360.1 - A.0 0.017.).639.5 2.0 899.7 88.0 6.9 110.5 76.6 1.0 F.697.098.437.4 31.3 7.8 94.3 60.2 5.0 466.6 7.0 6.3 1. Training 157.874.9 757.7 179.7 62.4 619.726.027.2 25.5 32.0 174.7 272.3 37.4 28.6 1.1 6. Supplies 75.388.3 12.8 256.7 94.7 43.7 1.0 591.4 3.398.0 62. On-Farm Investment /a 214.5 107.682.0 1.8 E.4 7.6 85.161.0 157.787.3 4.5 95.0 1.3 291.297.5 7.7 Foreign Exchange 206.4 780.0 3.0 576.
4 41.9 25.694.4 12.5 5.0 1.609.4 II.3 - 62.514.8 10.9 12.582.591.2 316.7 53.0 805.2 315.3 3.0 113.7 1.6 1.7 11.2 15.3 3.2 612. Exch.8 120.1 1.2 315.3 4. Local (Excl.0 771.3 3.1 4.5 6.5 1.0 315.7 192.5 Mill.7 3. Other F.317.6 41.3 35.1 22.6 12.1 336.9 111.727.1 1.3 1.6 102.0 135.2 421. Equipment 3.3 3.4 10.3 387.8 703.6 4. Vehicles H.6 13.1 10.8 176. Research K.5 390.7 102.3 3.127.3 268.5 3. Staff E.5 0.0 3.2 316.7 192.6 31.2 0.7 65. Technical Assistance (local) D. and forestry (US$ 2.8 4.694.2 24.4 30.3 0.5 268.2 43.213. Supplies D.726.3 E.3 25.4 37.2 0.5 75.387.694.9 11.1 1.5 1.2 8.4 396.694. Vehicles O & M 12.4 769.2 537.5 701.3 3.3 53.697. Operation & Maintenance O&M Works O&M Equipment Subtotal Operation & Maintenance B.0 39.0 37.6 86.2 0.7 10.1 1. Exch. Local Currency For.2 310.4 805. Supplies J.2 1.9 483. Duties & Taxes) Taxes For.Example: Breakdown of Expenditure Categories.694.1 401. Off-farm Investment I. on Cont. .4 805.9 63.532.).6 268.4 948.1 63.4 1.5 355.5 5. Training F.4 725.2 48.867. pasture and livestock improvement (US$ 3. 62.2 B.1 102.3 1.0 37.8 G.512.3 341.9 135. Cont.214.1 1.2 86.1 1.768.4 219.2 537.6 11.195.391.3 70. 885.8 135.7 316.7 8.2 10.9 192.6 1.8 168.7 192.6 30.5 16.3 433.7 11.6 1.1 3. (Excl.726.2 35. Recurrent Costs 12.3 3.6 75. Civil Works 202.0 315.8 22.3 69.4 1.697.5 75.1 113.9 94.7 192. Duties & Exch.4 12.).3 I.6 483.5 70.727.7 Mill.8 139.5 Base Cost Local (Excl.6 Physical Contingencies Local For.8 0.8 18.697.2 1. Duties & Taxes) Taxes Physical Cont.5 355. On-Farm Investment /a Total Investment Costs 405.0 5.9 Mill.682.9 12. Studies 94.1 1.5 0. Gasoline G.0 C.1 352.9 11.697.1 7.697.4 \a Includes: improved rainfed farming and on-farm erosion control (US$ 5. Total 885.3 3.9 62.5 13.5 0.6 8.7 1.2 140.2 1.5 1. Technical Assistance (external) 37.7 1.5 18.3 762. Investment Costs A.517.8 221.2 Total 712.5 43.).9 48.4 6.6 219.7 537.7 703.7 11.0 6. Plus Base Costs Price + Price Cont.2 35.1 396. Travel Total Recurrent Costs 12.5 337.4 41.1 0.1 50.5 22.213.924.3 1.6 8.0 5.2 655.2 221.3 0. Taxes) Taxes Total Total Incl.7 767.9 139.5 698.3 1.5 11.5 701.1 401.2 214. on Physical Base Costs Cont.2 0.4 A.6 1.512.0 Total 417.682.7 77.1 C.0 315.7 140.5 4.
6 32.6 679.3 0.388.6 1.0 258.5 799.2 304.9 128.3 1.775.388.3 258. Training F.0 1.9 32. Technical Assistance (external) 94.8 177.1 800.8 1.3 10.5 105.297.224.477.0 1.9 220.127.116.117.9 354. Civil Works 511.3 799.2 160. Other F.5 Mill.0 95.217.6 10.8 1.2 2.6 25.029.8 218.4 4.660.0 H.0 61.1 57.2 A.003.2 136.5 29.4 39.0 G.0 560.2 105.1 30.3 799.9 3.3 0.2 679.7 C.0 98.242.8 16.6 157.5 556. Investment Costs A.5 76.931. Plus Base Costs Price + Price Cont.360.522. Off-farm Investment I.2 1.4 57.1 4.7 196. Equipment 7.9 Physical Contingencies Local For.2 25.511.8 799.802.3 1. Supplies D.2 4.5 79.9 865.3 40.8 190.7 Mill.352.5 17.5 21.066.2 487. Exch.3 3.0 9.7 76.2 89.224.4 176.4 47.4 4.4 1.9 160.5 2.6 29.4 22. Duties & Taxes) Taxes For.953. Supplies J.4 4.0 899.0 9. on Cont.5 1.6 8.1 II.074.).297.039.8 1.2 3.352.4 1.5 2.4 287.4 20.5 679.259.8 3.3 3.1 47.003.5 63.0 20.0 9.5 C.4 Total 1.8 354.9 343.0 0.8 799. Total 2.360.5 136.). 158.0 95.7 30.4 980.2 488.5 1.4 I.334.4 286.2 4.5 E.0 1.7 343. Duties & Exch. On-Farm Investment /a Total Investment Costs 1.5 \a Includes: improved rainfed farming and on-farm erosion control (US$ 5.098.8 122.6 8.297.4 3.828.0 33.6 260.7 8.2 488.7 0.2 31.7 447. (Excl.8 4.352.9 3.6 0.259.3 B.0 9.039.9 1.9 352.5 851.9 Mill.3 28.392.6 8.2 854.8 190.727.352. US$000 For.242.401.372.8 122.8 1.781. Research K.0 7.6 110.767.9 542.828.8 1.4 190.3 10.6 560.948.5 352.4 1. Vehicles O & M 30. 2.0 65.3 26. on Physical Base Costs Cont.3 4.0 9.5 158.4 57.8 31.322.9 12.8 94.).372.016.8 4.7 3.550. Local (Excl.9 29.6 17.8 4.2 3. Duties & Taxes) Taxes Physical Cont.2 14.4 1.1 4.2 105.360.297.9 787.039.943.0 989.Example: Breakdown of Expenditure Categories.8 1. Travel Total Recurrent Costs 30.781.027.775.5 29. Gasoline G.1 4. Staff E.4 0.2 800. Taxes) Taxes Total Total Incl. Technical Assistance (local) D.2 800. Recurrent Costs 32. .352.6 3.0 0.7 3.8 165.4 109.057.3 13.5 Total 1.5 10.4 4.8 1.0 899.9 10. pasture and livestock improvement (US$ 3.841.2 487. Cont.187.665.3 33.833.016.0 3. Vehicles 16. Operation & Maintenance O&M Works O&M Equipment Subtotal Operation & Maintenance B.3 89.811.5 240.8 89.8 556.8 2.2 Base Cost Local (Excl.9 12. Studies - 240.1 282.1 25.1 0.7 28.1 425.3 4.9 177.9 218.5 891.5 343.0 1.0 1.8 9.4 1.2 1. Exch.297.2 3.5 25.0 1. and forestry (US$ 2.9 487.
although it may refer briefly to many topics (eg the country and sector situation. either as an ideal. and indicates the intended outcome. who should be stimulated to provide additional thoughts of their own and to guide the team towards relevant reference material. As such. including social and environmental issues. both inside and outside the team. past project lending experience. committing thoughts to paper encourages more focused and deeper thinking. . potential and constraints. The PPB is thus a document which the team leader uses mainly to pick the brains of others and to ensure that team members have a common starting point.Guidelines for Planning Irrigation and Drainage Investment Projects 160 ANNEX 3: Other documentation THE PRELIMINARY PLANNING BRIEF As a prelude to the planning process and before commencing any studies or field work. Background material. highlighting any initiatives or precedents relevant to the planning of the project: • a concise summary of the highest priority tasks or issues. a PPB may be little more than a listing of tasks which the team leader might in any case note informally before departure. social and environmental issues. or the current status of project elaboration). needs to be highly selective and should be limited only to that which is strictly relevant. The content of the PPB is likely to cover: • a brief background to the forthcoming field work. • an indication of outcomes which the team should aim for. existing irrigation development. policy. • the team leader’s views on how these should be addressed and the implications for staffing the team. institutions. to be dealt with. It should relate directly to the tasks. explains how it is proposed to tackle them. or any second-best or fallback positions that could still be accepted if the ideal proves unattainable in practice. ephemeral document covering the main topics or issues that the forthcoming work is expected to address. questions or issues to which the team proposes to give priority. and allows the sharing of ideas with others. However. The PPB is a short (3-5 page). The team leader should be both the author and the ultimate judge of what the PPB should contain. it will generally be found useful to produce a preliminary planning brief (PPB) as an aid to focusing the team’s thinking on the tasks that await it.
and clearly stated as being subject to subsequent agreement. THE AIDE MÉMOIRE Before leaving a country it is routine for an external planning team to prepare. The PPB should be drafted as early as possible before the team commences work. sufficiently far in advance of the team’s departure to allow adjustment of objectives. discuss and leave with its counterpart institution an aide mémoire. As a result. If resources allow. list the topics. and explain possible follow-up actions. must be provisional. plans and maps1. It will also be useful to seek comments on the PPB from the financing institution. field programme. The PPB may also contain a list of background documentation. and in particular the commitment of further resources to follow-up action. in giving government staff advance notice of the team’s objectives and in setting up administrative and logistical arrangements. In these cases the PPB is likely to be a more substantive document. 1: This may be aided through bibliographic searches using FAO's AGRIS (International Information System for agricultural Sciences and Technology) or other computerised bibliographies.Guidelines for Planning Irrigation and Drainage Investment Projects 161 Draft terms-of-reference (TOR) for the work should be attached to the PPB. The content of the TOR and the proposed allocation of work among team members should be fully consistent with the PPB. indicate the main features or outcomes as they appear at that time. Such a visit can be helpful in generating up-to-date information. The aide mémoire should briefly summarize the stage that project planning or strategy formulation has reached. In some respects it resembles the back-to-office report (see below) which Investment Centre missions issue after their return to base. but with two important differences: • An aide mémoire is the team’s own view. in most cases it is advantageous for the team leader to make a brief visit to the concerned country prior to preparing the PPB. Ideally. questions or issues which next require attention. so that it can be discussed with other colleagues with relevant experience or knowledge. or even its composition if this is considered necessary. this should be prepared following a workshop arranged to reach consensus on the team’s findings and should reflect this consensus. and does not represent an official position of either the government or the external assistance organisation: this is inevitable for a document written under time pressure in the field and without consultation with the organisation’s management. . views presented in the aide mémoire. and may serve as a useful basis for subsequent discussions with the government and financing institution.
indicating the sort of outcome considered most likely to be endorsed by the prospective financing agency. and point to required decisions or follow-up commitments on the government side. this may be a description or comparison of strategic options.Guidelines for Planning Irrigation and Drainage Investment Projects 162 • An aide mémoire is targeted only at the government. problems or issues which still have to be resolved before project planning can advance further. further planning. although slanted to address the information requirements of the Investment Centre management. • A clear indication of follow-up (what remains to be done. organisational arrangements and likely benefits. or contracted for. It is not appropriate to include much background information in an aide mémoire since this should usually be known to the government. The main points to cover in an aide mémoire are likely to be: • A brief recapitulation of the team’s terms of reference. what it did and an expression of thanks for courtesies extended to the planning team. hence should always stress the specific information which the government and its affiliates need. Steps to be taken to mobilize funding for follow-up work. some alternative project concepts. BACK-TO-OFFICE REPORTS The back-to-office report (BTOR) is the vehicle through which Investment Centre teams present their broad findings to their own management and the concerned financing institution within a few days of their return to headquarters. to the extent that this is appropriate or possible. and serves to attract comments from a peer review. if required. • Who the team worked with or met. • A résumé (preferably no more than three single-spaced pages) of the current status of work. where it went. by when) for the government and any other individuals or institutions with a role in. should be listed. or an outline of a single possible project giving provisional costs. Depending on the stage reached in subsectoral review or the planning of specific investments. • A listing of the main questions. by whom. but should be broadly similar to that of an aide mémoire. While still in draft. focusing mainly on those aspects which are the responsibility of the government and. The BTOR also informs other staff of work which may be relevant to their assignments. Where detailed terms of reference and schedules for further work have been prepared. The content of the BTOR will vary according to the type of assignment. the BTOR provides the written material on which the team’s debriefing is based. . these should be attached as annexes to the aide mémoire.
on specialised surveys. components and approximate costs. If the work concerned is simply an expansion of the tasks of a local team which an external team is assisting. • requirements for external technical assistance during project implementation. noting its location. • brief national background information. however. . If no other reports are to be issued by the team. duration. relationship to other activities. the terms-of-reference will become the technical specification underpinning the legal agreement. its timing and manpower requirements. and need to be carefully worded. All BTORs should also include a brief section which explains how the mission has examined and addressed the possible social and environmental impact of the project.Guidelines for Planning Irrigation and Drainage Investment Projects 163 As a rule it should cover: • the purpose of the work undertaken. • summary of the team’s findings: as in the case of the aide mémoire. content should depend on the stage of strategy formulation or investment elaboration. • issues still outstanding and the solutions proposed by the team. or by someone else for example local or international consultants or a locally-contracted university team. if a new group is to become involved and the individuals concerned are unfamiliar with the project or with the aims of the specific assignment. on whether they will be done by people with whom the project planning team will work directly. it may cover alternatives or concepts. in particular. TERMS-OF-REFERENCE FOR FEASIBILITY AND OTHER STUDIES Institutions or individuals will often need to be contracted to work under the general guidance of government or its LDG. to place the project in context. mapping or engineering designs which provide the detailed supporting data needed to define investment options or specific projects. more comprehensive terms-of-reference will be needed. or it may summarise the justification for a specific proposed project. team composition. • the scope of follow-up work. and written instructions may be kept brief. BTORs should be succinct and generally not more than four pages in length. main contacts. On the other hand. The degree of detail to be given in the terms-of-reference for such studies will depend. a BTOR may not have such a restriction on its length. much can be achieved by verbal briefing before the team leaves the country. If a legally binding contract is to be made. • the status of strategy formulation/project planning so far achieved and issues resolved by the team.
1: Further guidance on preparation of terms of reference may be found in The Investment Centre and Consulting Firms: A Guideline. quantification of components. be up-dated at various times. documentation. with interim review or reporting dates if appropriate. operational documents. when a planning team has reached the stage of reporting on project options and issues on which feedback is required. maps or designs.g.Guidelines for Planning Irrigation and Drainage Investment Projects 164 Comprehensive terms-of-reference for further studies1 are likely to cover the following aspects: • background and objectives: the main objectives or concept of the investments or specific project being planned and principal components. quantities to be estimated. results to be generated. They may. • particular points to receive attention in the work (e. • the supporting services. are used as a convenient form of communication at any stage of investment planning. proposals to be elaborated. They summarise the status reached and the actions to be taken or decisions to be made to complete the planning process. training of national staff) and how they are to be approached. IPBs are relatively short (10 to 15 pages). INTERIM OR INITIAL PROJECT BRIEFS Interim or Initial Project Briefs (IPBs). as well as indications of the length of any textual material. costs to be calculated. scales of final presentations. and so on.. minimum qualifications or experience of key individuals to be involved. the ownership of equipment after completion of the studies. materials and facilities to be provided by the government. benefits. • the level of detail. therefore. • manpower and other inputs or equipment to be used to complete the work. FAO Investment Centre. • deadlines for delivery. • the disciplines. when progress reporting is necessary. costs. issuesoriented. format. • specific information to be provided or gathered. or during various stages of execution of a programme of work including feasibility studies. Rome (1983) . for example. etc. costed if appropriate. the general means by which data should be collected and the expected level of accuracy. the elaboration of project ideas. • contribution expected from the work to be done: how the work covered by the terms-of-reference is to contribute to the provision of base data.
FAO Investment Centre. with the emphasis changing as work moves towards final project planning. 1: Investment Centre Technical Paper No 7: Guidelines for the Design of Agricultural Investment Projects. and financial and economic returns. As a general rule. but they should generally be briefer. it should consider writing a project brief instead. rather than the content. Project briefs are usually aimed at keeping the responsible task managers or project controllers in the financing institution informed of progress. Working papers or annexes attached to a project brief tend. However it is the intended audience and the tone. to fuller details of the project itself . implementation arrangements. Since a degree of prior knowledge can generally be assumed. At such a stage it may be a more cost-effective use of reporting time. . they therefore aim more to respond to the management question “Where have you got to?”. They are also intended to allow management to respond to the planning team’s question “Are we on the right track?”. Rather than building the logical case for a project brick-by-brick for a wide audience. the IPB may be compared with the Identification Report of the conventional planning process. similarly. which may be expanded and completed later. the focus should shift from a review of options and a summary of the next steps. perhaps eventually becoming attachments to a final project document or dossier. When prepared at the stage of completion of conceptualising and comparing the investment options. A suggested format is given in Investment Centre Technical Paper No 71.Guidelines for Planning Irrigation and Drainage Investment Projects 165 The content of a project brief varies according to the stage of strategy formulation or project formulation. costs. to be interim statements. Rome (1993). and quicker to write. and to focus on facts and issues as they are understood at the time. which principally distinguishes the project brief from other planning documents.components. if the planning team has reached an in-between stage in its work and is thinking of issuing a “preliminary” or “interim” report. although the IPB will be much briefer. rather than leaving these to the end of the stage concerned. when it may be inconveniently late to take account of other views. Project briefs should involve the planning team in just as much careful thought as a final project document. as suggested in Part II. As planning is nearing completion. background information and scene-setting can usually be much truncated.
Rome) Irrigation Investment Briefs.Guidelines for Planning Irrigation and Drainage Investment Projects 166 References and Bibliography Ahmad. Paper prepared for the 1994 World Bank Water Resources Seminar.. Irrigated Rice Culture in Monsoon Asia: The Search for Effective Water Control Technology. Clive. Irrigation Planning with Environmental Considerations: A Case Study of Pakistan’s Indus Basin. Irrigation in Sub-Saharan Africa: The Development of Public and Private Systems. 1992. Shawki and Guy Le Moigne 1990. 1993). World Bank Technical Paper Number 123. World Bank Technical Paper No 171. Rome) Brown. V. Masood and Gary P. Paris) Branscheid. (FAO Investment Centre Division. Baudelaire. Irrigation Water Management Briefs . World Bank Technical Paper No 166. 771-789. . Guide to the Economic Evaluation of Irrigation Projects (Revised version) (OECD. Peter Hazell and Roger Slade 1982. (Johns Hopkins University Press) Bergmann. 1989. Water Users’ Associations in World Bank-Assisted Irrigation Projects in Pakistan.100 Collected Papers. and Robert Nooter 1992. Barghouti. World Bank Technical Paper No 173. Successful Small-Scale Irrigation in the Sahel. Project Evaluation in Regional Perspective. World Development XXI (May. Bell. Ellen P. Kerry J. J-P 1994. Structured Irrigation Systems in India. Kutcher 1992. R. Hellmuth and Jean-Marc Boussard 1976. Burns. (FAO Investment Centre Division. 1993. Byrnes. 10 Collected Papers.
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7) Using data processing tools for preparing agricultural development project.Vol. FAO. 00100 Rome. 1986 (Multil) Irrigation in Africa south of the Sahara. Viale delle Terme di Caracalla. 2.Multilingual *Out of print **In preparation The FAO Technical Papers are available through the authorized FAO Sales Agents or directly from Distribution and Sales Section. 1989 (E* F S*) Guidelines for the design of agricultural investment projects. 1993. (E F S) Financial analysis in agricultural project preparation. 1991 (E) Guidelines on sociological analysis in agricultural investment project design (E F) Agricultural investment to promote improved capture and use of rainfall in dryland farming. 1986 (E) The project cycle. Italy. 1986 (E F) The design of agricultural investment projects lessons from experience.Vol. 1996 (E**) Availability: April 1996 Ar Arabic CChinese EEnglish FFrench PPortuguese SSpanish Multil . . 1986 (E) Design and operation of the irrigation systems for smallholder agriculture in South Asia . 1. 1995 (E) Guidelines for planning irrigation and drainage investment projects. (E F S) Guidelines for the design of agricultural investment projects. 1995.Guidelines for Planning Irrigation and Drainage Investment Projects 175 FAO Technical Papers FAO INVESTMENT CENTRE PAPERS 1 2 3/1 3/2 4 5 6 7 7 Rev 1 8 9 10 11 Preparing agricultural investment project. 1985 (Ar C E F S)* (Now replaced by No. 1985 (E) Design and operation of the irrigation systems for smallholder agriculture in South Asia .
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