56th IEC Meeting and 19th Congress of the International Commission on Irrigation and Drainage (ICID)

Workshop Proceedings on Design and Implementation of Capacity

Development Strategies

Beijing, China

14 September 2005

Final report

IPTRID SecretariatFood and Agriculture Organization of the United Nations

Rome

The designations employed and the presentation of materialin this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or

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All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibitedwithout written permission of the copyright holders. Applications for such permission should be addressed to the Chief, Publishing ManagementService, Information Division, FAO, Viale delle Terme di Caracalla, 00100 Rome, Italy or by e-mail to copyright@fao.org

© FAO 2006

iii

Acknowledgements

The present publication refl ects the result of a twelve-month effort from professionals of the water,

irrigation and the Capacity Development sectors. The International Programme for Technology and

Research in Irrigation and Drainage (IPTRID) would like to give special thanks to all those professionals

that have made possible this publication. First, to the International Commission on Irrigation and

Drainage (ICID), the Organization that has allowed the Programme to hold the event, especially, the

Working Group on Capacity Building, Training and Education (WG-CBTE) and the Chairperson, Tom

Franks. Then, professionals from recognized institutions and other international organizations such as the

International Water Management Institute (IWMI), Acción Contra el Hambre (Spanish NGO), the Tsinghua

University in China, the Scientifi c Information Center of Interstate Commission for Water Coordination

in Central Asia (SIC-ICWC), UNESCO-IHE, Alterra-ILRI and other independent consultants. They all

devoted their expertise to participation in the workshop on “Design and Implementation of Capacity

Development Strategies” held in Beijing in September 2005 during the 19th ICID Congress with the

support of IPTRID-FAO. Their contribution to the event was essential for its success. The IPTRID

Programme, in collaboration with these water and Capacity Development professionals, will continue

working and sharing experiences which will contribute to developing capacities for agricultural water

management for the benefi t of all.

v

Abbreviations

ACH Acción Contra el Hambre (Spanish NGO)

ADB Asian Development Bank

AGLW Water Resources, Development and Management Service of FAO

ANGRAU Acharya N.G. Ranga Agricultural University in India

BWOs Water Organizations

CB Capacity Building

CCD Convention to Combat Desertifi cation

CD Capacity Development

CDCS Centre for Development Cooperation Services

CIDA Canadian International Development Agency

CoPs Communities of Practice

DFID UK Department for International Development

ESPIM Evaluation Study of Paddy Irrigation under Monsoon Regime

FAO Food and Agriculture Organization of the United Nations

FEW Frontline Extension Workers

FIs Farmer Innovators

GEF Global Environmental Fund

GNP Gross National Product

GoI Government of Indonesia

GWP Global Water Partnership

ICID International Commission on Irrigation and Drainage

ICT Information and Communication Technologies

IEC International Executive Council

IFAD International Fund for Agricultural Development

INBO International Network of Basin Organizations

ISRD South African Government’s Integrated Sustainable Rural Development programme

WRC Water Research Commission of South Africa

IWEM Water and Environmental Management

IWMI International Water Management Institute

IWRA International Water Resources Association.

IWRM Integrated Water Resources Management

KM Knowledge Management

LDA Limpopo Province Department of Agriculture

MDG Millennium Development Goals

NEPAD New Partnership for Africa’s Development

NQF National Qualifi cations Framework

NRM Natural Resource Management

PFI Promoting Farmer Innovation

PRC Peoples Republic of China

vi

RESIS Revitalisation of Smallholder Irrigation Schemes programme

RRA Rapid Rural Appraisal

SIC-ICWC Center of Interstate Commission for Water Coordination in Central Asia

SPFS Special Programme for Food Security

SWC Soil and Water Conservation

SWOT Strengths, Weaknesses, Opportunities and Threats analysis

TWU Thematic Working Units

UN United Nations

UNAG National Farmers Union

UNDP United Nations Development Programme

WG-CBTE Working Group on Capacity Building, Training and Education

WISMP Water Resources and Irrigation Sector Management Programme

WRIM Water Resources and Irrigation Management

WUAs Water User Associations

WWC World Water Council

vii

Contents

Acknowledgements iii

List of abbreviations v

Summary ix

1. Design and implementation of Capacity Development strategies

in irrigation 1

2. A collaborative knowledge network as an instrument for Capacity

Development in Indonesia 17

3. Capacity Development for food security in Nicaragua 27

4. Lessons from promoting farmer innovation in East Africa 37

5. The creation of Capacity Development of interstate water collaboration

in the Aral Sea Basin 49

6. Design and implementation of Capacity Development strategies.

A South African case study 67

7. A general review of the Capacity Development for agricultural water

management in China 89

8. Capacity building for improved water management in Andhra Pradesh 99

9. Knowledge networks for capacity building: a tool for achieving the MDGs? 113

ix

Summary

Capacity Development (CD) has been of central interest to IPTRID for the past three years. Two recent

events have shaped the Programme’s direction on this subject.

A workshop held in Montpellier in September 2003 led by the Water Resources, Development and

Management Service (AGLW) of the Food and Agriculture Organization of the United Nations (FAO)

and the ICID on “Capacity-Building in irrigation, drainage and fl ood control: issues, challenges and the

way ahead”. The event was held during the ICID 54th International Executive Council meeting. It brought

together a range of case studies from different parts of the world in order to demonstrate that capacity

development should be a central focus of future strategies on irrigation and drainage. Proceedings of the

event were published and can be found and/or ordered at the web page of the AGLW Service:

http://intranet.fao.org/offsiteframe.jsp?uu=http://www.fao.org/WAICENT/FAOINFO/AGRICULT/

Default.htm

As a follow-up and given the success of the Montpellier event, IPTRID decided to support a second

workshop which was held in Moscow in September 2004. IPTRID-FAO and ICID through its WG-CBTE

sponsored the workshop on “Capacity needs assessment for agricultural water management”. The event

drew attention to the importance of conducting a capacity needs assessment as a starting point to be able

to design and implement a capacity development programme or strategy. A suitable methodology for

assessing the capacity needs was presented at that time. Five strategic phases of capacity development

were identifi ed:

1. The fi rst phase is an assessment to defi ne present capacity within the system - where are we

now?

2. The second phase looks ahead to the future desired state, the vision of what capacity is required

in the future - where do we want to go?

3. The third phase compares the present situation and future desired state, identifi es the capacity

gaps and plans strategies and actions designed to fi ll these gaps and to reach the desired goals

– how do we get there?

4. The fourth phase is the implementation phase, fulfi lling the strategies and undertaking the

planned capacity development activities in order to meet the defi ned objectives – what actions

do we take?

5. The fi nal phase is monitoring and evaluation to feed back experiences into the planning phase

– how do we stay there?

The workshop in Moscow essentially covered the fi rst three phases presented above and provided

general recommendations in order to set up a Capacity Development Programme. The proceedings of

the workshop were duly published and can be found at the following link: ftp://ftp.fao.org/agl/iptrid/

moscow_icid.pdf

x

Workshop, Beijing, September 2005

In early 2005, IPTRID-FAO committed its support to one more year of collaboration with the WG-

CBTE to conduct another event titled “Design and Implementation of Capacity Development Strategies”.

This workshop was held in Beijing, Republic of China, during the 19th ICID Congress in September

2005. It primarily covered phases three and four of the CD process and was built on the outcomes of

previous events in Montpellier and Moscow already mentioned. The objectives of the workshop were

as follows:

• First, to present a general overview on how Capacity Development activities are being practised in

developing countries, including steps followed when deciding to invest in capacity development

programmes and how to translate the theory into practical terms and concrete actions.

• Second, to provide some guidance for successfully engaging in the process of designing and

implementing a capacity development strategy, presenting some real case studies in developing

countries.

• Third, to provide a platform for further collaboration and networking in the fi eld of capacity

development for agricultural water management.

The workshop opened with a keynote paper presented by IPTRID. This was followed by a series of case

studies from Nicaragua, South Africa, Uzbekistan, Kenya, Indonesia, India and China which refl ected real

fi eld examples on design and/or implementation of Capacity Development Strategies. An additional concept

paper presented by UNESCO-IHE, Institute for Water Education, introduced the theme of the forthcoming

4th World Water Forum, namely, “Capacity Building and social learning”. Discussions after each presentation

with a fi nal plenary discussion allowed in-depth analysis and review of the issues that surround the design

and implementation of Capacity Development strategies. A brief description of each presentation is provided

in the following paragraphs.

The IPTRID keynote paper looked at defi ning a principal approach towards designing and implementing

an integrated Capacity Development Strategy in developing countries. It was suggested that some

preliminary questions related to government goals and priorities, policy implications as well as availability

of human and economic resources have to be cleared before embarking on a CD Programme. The paper

also discussed the concepts, steps involved in the process and some of the diffi culties and challenges

when passing from theory to practice. Some concrete examples are given as a reference to start the

design of a CD strategy.

Since 1999, major responsibilities to provide public services by the Government of Indonesia have

been devolved to regional governments which imply the delegation of authority and responsibilities

from central to regional governments. Yet, it seems that the regional capacity to perform in this new

role is insuffi cient at regional level for all sectors including the water resources in general and irrigation

in particular. The paper describes a University based Network of water professionals that has been

established in order to provide sustained capacity development services to this sector.

xi

Since 2002, Acción Contra el Hambre (Spanish NGO) is implementing a project in Madriz, Nicaragua,

with the reduction of poverty as the strategy of intervention. Rapid Rural Appraisal (RRA) was the main

systematic approach to assessing the needs, establishing the priorities and making decisions regarding

the planning and development of the project. The RRA made by the NGO, together with the efforts

of the extension workers in the region, have demonstrated to be a useful methodology to address the

different stakeholders and determine their real needs.

Promoting Farmer Innovation (PFI) was a project implemented in Kenya, Uganda and Tanzania

with the basic objective of improving rural livelihoods and ecosystem dynamics. The extension

services in the past were government owned and controlled. As a consequence the frontline extension

services were weak and its structure has therefore been one reason for the poor development of

agriculture in the region. The PFI approach drew its strength from knowledge and experiences

latent within communities and from the recognition that farmers are better able to learn and adopt

new ideas when they can see them practised by others who have similar resources of land, labour

and capital.

The integration of water resources management of the Central Asian States (Kazakhstan, Kyrgyzstan,

Tajikistan, Turkmenistan and Uzbekistan) is based in two principal rivers of the Aral Sea basin. These

States organized a strong Partnership for common management and development of transboundary

water resources immediately after independence from former Soviet Union in September 1991.

The creation of an Interstate Coordination Water Commission has facilitated activities dealing with

Capacity Building (CB). In this connection there have been activities in three broad areas: those

dealing with cooperation, those dealing with regional organizations and those dealing with national

organizations.

The South African National Guidelines on Agricultural Water Use describe government policy to

transfer the management of smallholder irrigation schemes to farmers and to broaden opportunities for

multiple agricultural water uses to rural communities. The Limpopo Department of Agriculture has taken

the lead in the implementation of this policy. The Water Research Commission Guidelines “Developing

Sustainable Small-Scale Farmer Irrigation in Poor Rural Communities” were expanded and tested as

a means to increase the accessibility of meaningful training and capacity building where small-scale

irrigation forms part of integrated sustainable rural development initiatives.

A general review of the capacity development for agricultural water management in China was

presented. The average water use effi ciency in China is reported as around 45 percent. This low fi gure

can be subsequently linked to the on-going institutional transition of irrigation management from the

agencies to the farmers in China. In order to ensure food security, reduce poverty and improve farm

livelihoods, the Chinese Government is reforming its management policy on agricultural and water

resources. Some measures for this purpose were presented as well as some basic data on current

agricultural conditions in China.

xii

Due to the limited availability of water since 2000, water management has become an important issue

in recent years in the State of Andhra Pradesh, India. The Acharya N.G. Ranga Agricultural University

has initiated a project aimed at improving water management having capacity building as an important

element. Activities such as participatory research for capacity building are being undertaken at both

the individual level (farmers, technical staff of departments and universities involved in training, study

tours, workshops and seminars to enhance awareness, knowledge and skills) and the organizational level

(Water User Associations, Departments of Agriculture, Universities, NGOs, etc.).

After the presentations, a fi nal theoretical concept paper dealing with analysis of the way knowledge is

acquired and shared was presented. Other important defi nitions were also analyzed and discussed such as

knowledge management and generation, networking and social learning. The objective of this particular

paper was, among other things, to link the experiences of the case studies presented at the event with

the forthcoming 4th World Water Forum to be held in Mexico in March 2006. The Forum will focus

on “local actions for a global change”. IPTRID, in collaboration with UNESCO-IHE, will participate

in a two-hour workshop on the cross-cutting perspective of “Capacity building and social learning”.

The workshop titled “Capacity Development Strategies and social learning among stakeholders for a

sustainable irrigation and drainage sector” will provide an opportunity to derive lessons learnt from CD

exercises that have taken place so far.

The Beijing workshop concluded with a plenary discussion meant to support the process of establishing

guiding principles for water and irrigation professionals who work in the capacity development sector. As

explained in the previous paragraphs, a wide range of issues dealing with this theme were brought forward

during the general discussions. These key issues focussed on:

• How to stimulate demand for CD, particularly in view of the numerous other constraints on the

time of farmers, agency staff and other actors.

• How to establish successful WUAs, taking account of the known diffi culties of initiating and

supporting community-level processes.

• How to monitor and evaluate the effectiveness of CD programmes. This requires a focus on

assessing the impact and outcomes of programmes, rather than simply quantifying outputs

(organizational structures designed, people trained, etc.).

• How to upscale successful programmes to reach larger numbers of actors, whilst still keeping in

view the need for context and location specifi c actions.

IPTRID-FAO intends to support a third and fi nal workshop which will constitute phase fi ve on

“Monitoring and evaluation of Capacity Development programmes”. This event will be held during

the 57th International Executive Council meeting in Kuala Lumpur, Malaysia, in September 2006.

This exercise would complete the sequence of steps in the Capacity Development process during

these series of events.

1

1. Design and implementation of Capacity Development strategies in irrigation

by

Wilfried Hundertmark, Senior Water Management ConsultantandSonia Tato, Technical Offi cer, IPTRID/FAO

Introduction

On the occasion of the 55th IEC Meeting of the International Commission on Irrigation and Drainage (ICID) held in Moscow in 2004, the ICID Working Group on Capacity Building, Training and Education (WG–CBTE) organized a half-day workshop on capacity needs assessment in agricultural water management led by the International Programmeme for Technology and Research in Irrigation and Drainage (IPTRID). The event succeeded a workshop organized a year earlier in Montpellier, which focussed more broadly on capacity development in irrigation and drainage. A progressive approach appeared to be the right move towards more clarity of a concept that is widely discussed among development agencies involved in the water and other sectors, but hardly practised in irrigation and drainage management.

It is now increasingly recognised that capacity development in irrigation and drainage must be done strategically, in order to adequately respond to a rapidly changing environment both within and outside of the irrigation sector. It is also recognized that strategic planning and the implementation of capacity programmes must be aligned to a wider holistic strategic planning approach of the water sector, of which irrigation is an important part in most developing countries.

The very need for increased capacity in the fi eld of water, irrigation and natural resources management was clearly recognised by the Ministerial Declaration of the 2001 Conference on Freshwater held in Bonn. Accordingly, increased capacity and technology transfer in developing countries, as well as education and training should be demand-oriented, participatory and hands-on. It should make use of information and communications technology, distance learning and institutional twinning. Training should bridge gaps between the disciplines and include participatory methods and the realities of the lives of the poor (Bonn, 2001).

The objective of this paper is to defi ne a principal approach towards designing and implementing an Integrated Capacity Development Strategy in developing countries. The challenge is to propose a “how to” methodology rather than theoretical defi nitions and tools which are frequently repeated in similar documents. However, the task is less straightforward than one would expect. The nature of capacity development suggests that it evolves as an organic process of growth, promotion and organizational change which involves interaction with stakeholders and a change of attitudes, perceptions and behaviour of peoples (Kay et al. 2004). As the paper proceeds, diffi culties and challenges will be discussed when passing from the theory to the practice. Eventually it is expected that the paper will contribute to the creation of an innovative draft of guidelines that will serve as an IPTRID methodology for successive engagements in Capacity Development (CD) in the developing countries.

2

Strategic capacity planning

Policy issues

International experience suggests that governments should ask some fundamental questions concerning irrigation capacity needs before launching a broad Capacity Development initiative. In fact, national authorities from developing countries should receive the support needed to create the adequate combination of goals, policies, strategies, investment commitments in order to make sure they are prepared to address a Capacity Development Programme. The extent to which capacity in irrigation and drainage development is needed depends largely on sector development priorities set by governments. Clearly, the existence of a functioning legal and regulatory framework appears to be a key institutional issue in the state’s ability to guarantee good service delivery. The following policy issues need to be addressed by governments in order to identify priorities and allocate resources accordingly and more effi ciently:

a. What is capacity needed for? Capacity must have a purpose for which it is required. It is critical to clearly identify goals and priorities which should arise through a consensus among stakeholders and benefi ciaries. This will determine the stakeholder ownership and support. Thequestion looks ahead to the future desired state of the irrigation sector, it describes the vision of what capacity is required in the future and what segments, namely, types of irrigation systems, scale and geographical coverage are to be developed and within what time scale. The question looks towards the macro policy level and captures the importance of irrigation and drainage development relative to the water sector as a whole. Only if a clear purpose is identifi ed should planners proceed with the development of a Capacity Development strategy.

b. What is the future role of the state? What tasks need to be undertaken within the public sector and what can be done by the private sector or non-profi t organizations? For a long time, the governments were seen as the main source for development which is no longer the case. The role of the state is being reviewed and the responsibility is being given to the private sector and the civil society. In the meantime, governments are taking the role to facilitate this development process by creating policies and a suitable environment to decentralise their functions and responsibilities. In irrigation and drainage the question is highly relevant where governments decide to turn over management responsibility to water users. While policy-making and regulatory functions are likely to remain within the domain of government, some services or tasks may be best performed by “contracting out” to private sector providers or become the responsibility of the water users (DFID, 2002a).

c. Is an irrigation sector strategy in place? Is it linked to a broader water sector development strategy? The Capacity Development Programmes must be integrated into National Development Programmes. This is the only way to assure sustainability in the long-term. National execution of a capacity development programme creates the sense of ownership needed to make stakeholders and benefi ciaries feel they are contributing for their good. Although many Capacity Development programmes are initiated by external agencies, consultation processes through participatory events such as workshops, desk studies, consultations and logical framework analysis are essential for the national ownership. External inputs must be integrated into national priorities and processes. Much irrigation takes place in water-scarce countries where the pressure on the resource is high. This is why a Capacity Development strategy in irrigation should be aligned to a broader water and/or irrigation sector strategy.

3

d. Is the government in question able to restructure the way irrigation functions are performed? Can quality standards in service provision be met by the private sector? What are the constraints to effective private sector involvement in irrigation? It is more and more common to create partnership for Capacity Development programmes among governments, civil society and the private sector together with the external development partners such as development agencies and other international organizations. Experience with private irrigation service provision in Africa has shown that private sector involvement does not necessarily lead to the delivery of quality services (IWMI, 2003). However, collaboration with the private sector indicates that benefi ts can be gained from public-private partnerships in functions such as extension services.

e. What role does the educational system play in ensuring a constant supply of qualifi ed individuals, being suffi ciently trained and fl exible? Clearly, not all skills will be obtained from the publiceducational system, but learned through the informal system [apprenticeships and on-the-job training, etc. (UNESCO)]; what policies and systems are in place regarding the supply of and demand for knowledge and skills in the sector? In African countries the demand for skilled irrigation and water management staff is often limited. Relatively poor salaries of government staff do not provide suffi cient incentives for young professionals to join.

Planning framework

The design of a strategy and its formulation is a long process which involves a phased and multi-faceted approach. It implies that organizations involved realign their goals and policies, revise expected results, and adjust strategies and action programmes, as the Strategic Plan is implemented.

Strategic planning usually does not lead to a rigid plan but aims to create the conditions for a continuing fl exible response. A strategy can be defi ned as a long-term plan of action which is designed to achieve a particular goal. It also involves the defi nition of objectives and resources allocation which are required in order to implement the plan. A widely applied approach in strategic planning is to examine the strengths, weaknesses, opportunities and threats of the organization or system where a Capacity Development process is going to be developed.

For the development of a capacity development strategy, Kay et al. (2004) distinguished a fi ve-phased approach which is presented as non-linear; its phases are interlinked and overlapped, and they form a continuing cycle of development and change according to the prevailing circumstances. In each step a fundamental but simple question is asked: Where are we now? Defi ning the present capacity within the system: Where do we want to go? Looking ahead to the future desired state, the vision of what capacity is required in the future in order to do the job: How do we get there best? Comparing the present situation and future desired state; identifying the capacity gaps and strategies and actions designed to fi ll these gaps and achieve the desired goals: What are the priorities? What actions do we take? Fulfi lling the strategies and undertaking the planned capacity development activities in order to meet the defi ned objectives: How do we stay there? Monitoring and evaluation to feed back experiences into the planning phase.

The analytical process embraces a series of steps which set the foundation for the formulation of a comprehensive capacity development strategy.

4

Figure 1. Principal steps for the development of a capacity development strateg

Capacity needs assessment

It is now well established by the world’s leading agencies engaged in Capacity Development, that the capacity needs assessment process involves three main dimensions. First, the enabling environment in which capacity is needed. This refers primarily to the policy framework, laws and regulations, and the institutional arrangements in the water and irrigation sector. Second, the organizations which are responsible for policy development, planning and project management. Typically, government agencies are organised across administrative boundaries and hydrological units, reaching from national to provincial and local levels. Organizations other than government organizations include international and national NGOs, the private sector and private-public partnerships, all of which provide valuable services to the irrigation development. Third, capacity needs of the individuals, which implies that individuals are being identifi ed and grouped into homogeneous professional categories. Altogether, the assessment of capacity needs embraces a whole range of different administrative and organizational levels, functions and geographical dimensions.

As a part of their services for non-profi t organizations, Mc Kinsey (2001) developed a generic matrix for organizational capacity assessment (grid). The grid can be adapted with some modifi cation to the other two dimensions as shown in Table 1. The grid asks the reader to score the enabling environment, the organization or the individual by selecting the text that best describes its current performance. The grid may be used by managers, staff, board members and external capacity builders with the following objectives:

• To identify those particular areas of capacity that are strongest and those that need improvement.

• To measure changes in the capacity over time in an environment, an organization or an individual.

A: Purpose (sector strategy)

B: Capacity needs assessment

C: Programme formulation

D: Programme implementation

E: Monitoring & evaluation

Principal stages

1: What is capacity needed for?

2: Where are we now?

3: Where do want to be?

4: How do we get there best?

5: What actions do we take?

6: How do we stay there?

Principal steps

Strategic Planning for Capacity Development

5

• To draw out different views within any dimension regarding its capacity; different responses to the grid among staff and members of governing bodies, for example, can be a valuable discussion starter within an organization.

Table 1. Capacity needs assessment

Capacity Benchmarks

Capacity Dimension(1) Clear need for increased

capacity

(2) Basic level of capacity in place

(3) Moderate level of capacity

in place

(4) High level of capacity in place

ENABLING ENVIRONMENT

Policy framework

Legal and regulatory framework

Educational system

Pay/incentive systems

Technical assistance

Networks

ORGANIZATION

Aspirations

Strategy

Organizational skills

Human resources

Systems and infrastructure

Organizational structure

Culture

INDIVIDUAL

Job skills and needs

Values/attitudes/motivation

Performance/incentives

Relationships/interdependence

Communication skills

Cultural sensitivity

Team spirit

Language skills

Each component is described by four benchmark statements, which correspond to a capacity category which defi nes the capability to operate of an individual, organization, etc. according to the strategy:

(1) Strategy is either non-existent, unclear, or incoherent (largely a set of scattered initiatives); strategy has no infl uence over day-today behaviour

(2) Strategy exists but is either not clearly linked to mission, vision and overarching goals, or lacks coherence, or is not easily actionable; strategy is not broadly known and has limited infl uence over day-to-day behaviour

6

(3) Coherent strategy has been developed and is linked to mission and vision but is not fully ready to be acted upon; strategy is mostly known and day-to-day behaviour is partly driven by it

(4) There exists a clear, coherent medium to long-term strategy that is both actionable and linked to overall mission, vision and overarching goals; the strategy is broadly known and consistently helps to drive day-to-day behaviour.

Enabling environment

The analysis of the enabling environment for capacity in irrigation establishes how the transformation of society and the country’s place in the world impact on the irrigation sector. The development of data, information and communication technology is an example for such external factors that have potential impact on the development of capacity. The needs assessment of the enabling environment involves further judgements on economic, social and other trends, and speculation on emerging threats and opportunities. It leads to the formulation of national goals, strategic directions and expected results which together guide the formulation of a capacity development strategy.

There are numerous examples on the impact of changing environments such as the creation of linkages between people and institutions across the world, and exchange of information and knowledge within networks and virtual discussion groups. Networks themselves have become powerful tools for capacity development of individuals and institutions around the world, in developed as well as developing countries (Cap Net, 2002).

As a baseline for the formulation of a capacity development strategy, a methodology known as institutional mapping, has attracted the interest of practitioners in irrigation and drainage. Institutional assessment seeks to draw a picture of an institutional landscape of organizations involved in the development of a sector. Institutions relevant to the irrigation sector are being identifi ed, described and their performance assessed. Grouped by functions, a matrix depicts the functional and spatial coverage in the provision of services and functions (Mahmoud, 2004). IPTRID is currently carrying out an institutional mapping study under the project ESPIM (Evaluation Study of Paddy Irrigation under Monsoon Regime) which analyses the capacity needs at the organization level involved in irrigation related to paddy production; this will allow identifi cation of both strengths and gaps of the existing capacities at the institutional level and set the stage for a full assessment at the national level.

Organization

By far the most diffi cult and complex capacity dimension concerns organizations and institutions. However, over the past twenty years or so much conceptual work has gone into the development of tools suitable to assess the capacity needs of organizations (DFID, 2002; DFID, 2003; and Horton, 2002).

The above matrix can be used as a tool to help non-profi t organizations to assess their organizational capacity. Conceptually, the grid is based on seven elements of organizational capacity and their components, known as the Capacity Framework. The elements account for the organization’s aspirations, strategy, organizational skills, human resources, systems and infrastructure, organizational structure and culture. Each capacity element is further broken down into several components. For example,

7

components coming under “aspirations” include mission, vision clarity, vision boldness and overarching goals. Each component is described by four benchmark statements, which correspond to one of the four capacity categories described in Table 1.

Individual level

Individual capacities may include but not be restricted to job skills and needs, values, attitude and motivation, performance incentives, relationships, communication skills and team spirit (Kay et al., 2004). It is suggested that benchmarks are being developed based on existing job descriptions and needs.

While assessing the performance of individuals working within an organization, particular attention is to be given to motivation and the incentive systems in place. Experience from developing countries suggests that insuffi cient payment of civil servants involved in irrigation and drainage, and insuffi cient funding for operations and service provision are the most important constraints to good performance and job satisfaction.

Prioritization of capacity gaps

An important step in capacity needs assessment is the determination of what capacity is needed most in order to meet the desired purpose. Usually planners would develop a set of criteria which are suitable for identifying priority capacity needs, and which allow estimates of possible impact on the sector performance. The existence of a functioning legal and regulatory framework is the key capacity need for accelerated sector development. One indicative criterion may be poverty reduction and food security, the way natural resources are managed and the environment is preserved. Capacities which ensure the provision of fi nancial and social support services would be another criterion for prioritization (Hundertmark 2004).

Programme design and formulation

General actions

The design and formulation of a capacity development strategy require clarity on fundamental actions involved in the proposed process, methodology and approach. Such elements include the following:

a) A set of guiding principles and main approaches. Clarify an overall strategy and provide the vision for capacity development.

b) Identify the objectives, outputs and concrete activities to be undertaken in order to address the capacity needs and constraints identifi ed in the assessment report. Set a mixture of short, medium and longer-term objectives:

Enabling environment Ë Objectives Ë Outputs Ë ActivitiesOrganization Ë Objectives Ë Outputs Ë Activities

Individual Ë Objectives Ë Outputs Ë Activities

8

c) Explore linkages with other reforms and integrate them into national plans.d) Assign responsibilities and general roles to the key players and stakeholders to defi ne their involvement.

Link the activities to specifi c responsible parties or combination of responsible parties.e) Allocated budgets: include resources mobilization plan.f) Identify instruments/tools such as workshops, desk studies, consultations and logical framework

analysis, participatory approach, etc.g) Include an implementation schedule: set a time horizon for the reform process.h) Include a strategy for monitoring and evaluating the capacity development implementation process.

The vision

It is now a standard approach in project and programme management that a vision statement forms the starting point of a programme strategy development exercise. A vision statement describes in graphic terms where you want to be in the future. An effective vision statement is clear, unambiguous and it involves aspirations that are realistic. A vision should also be driven by the needs of benefi ciaries and aligned with the organization’s values and culture involved.

Developing a coherent basis for strategic choice

During the stage of capacity assessment we have established a range of priority needs at the various levels of analysis. However, the knowledge that capacity needs do exist does not automatically lead to possible strategies for capacity development. In many situations there are reasons other than identifi ed which may constrain the development of capacity. Possible examples are restricted resource allocation, insuffi cient donor coordination, corruption and poor governance. In order to address the right issue within a capacity development strategy it is suggested that capacity assessment be combined with an in-depth problem and constraint analysis.

Capacity constraint analysis

It is a well-established approach in programme management to convert the identifi ed elements of a problem tree into a set of related objectives (objective tree). In its simplest form, the objective tree uses exactly the same structure as the problem tree, but with the problem statements (negatives) turned into objective statements (positives). In this regard, stakeholders may provide some indication of what their priorities are. In a prioritization process, the identifi ed problems can be ranked against four criteria: the geographical scale (local, provincial, national, international); its level of concern (low, medium and high); the ability to adequately address the issue (low, medium and high); and priority ranking (one to fi ve with one being the most severe).

Analysis of alternative strategies (options)

There is no blueprint available which would be suffi cient to fi ll a capacity gap. For example, technical assistance (TA) comes in a number of forms; long or short-term advisory support, consultancy assignments, formal or informal training, on-the-job training, work placements or attachments and

9

mentoring (including long distance). The particular choice of TA instruments will be context specifi c. There are also choices to be made about how such TA is delivered. At the level of the environment, strategic options include policy reform, regulations, by-laws, educational system reform, etc. A recently presented study by UNESCO proposed a fi ve-pronged approach to meet the needs for water-related education and training focusing on: i) the formative years; ii) vocational training; iii) university education; iv) continuous learning; and v) research capacity strengthening. Also, full advantage is to be taken of contemporary methods, which ensure that education fulfi ls the following criteria: (a) be learning-based, demand-oriented, quality assured, participatory and hands-on; and (b) make use of information and communication technology, distance learning and twinning.

Analysing strengths, weaknesses, opportunities and threats

Strengths, weaknesses, opportunities and threats analysis (SWOT) is a standard methodology in strategic planning. It is a very useful tool for the assessment of organizations involved in the formulation of a capacity development programme. The SWOT analysis forms the basis of an in-depth investigation of the organizations and stakeholders. It should be mentioned that the output from the capacity assessment proposed in Chapter 3 can serve as an input for an indicative SWOT analysis. If we assume that opportunities and threats for the formulation of a capacity development strategy are mainly provided by the external environment whereas strengths and weaknesses refl ect the internal affairs of the sector and the organizations involved.

Strategic directions

Usually, a capacity development strategy is composed of a number of objectives, which fall under distinct strategic directions, which form more general areas or themes of a general nature and importance. For example, for priority enabling environment issues to be addressed under the level one 'enabling environment' assume four strategic directions: policy and legal reform, institutional reform and decentralization, reform of the educational system and support of informal training facilities. Specifi c objectives are being formulated in conjunction with each of the identifi ed priority issues objectives (see Table 2).

Table 2. Strategy formulation: strategic objectives for the enabling environmentStrategic Directions (Themes)

Level I : Enabling environmentPolicy and legal

reform

Institutional

reform and

decentralization

Reform of the

educational

system

Support of

informal training

facilities

Priority Issue Objectives

Policy and legal framework O1 O2 O3 O4

Legal and regulatory framework O5 ... ... ...

Educational system ... ... ... ...

Pay/incentive systems ... ... ... ...

Technical assistance ... ... ... ...

… … … … …

Networks

10

Programme implementation

Action-oriented approach

Up to this point, the paper has covered all the major steps in the strategic part of the planning process. It has dealt with the environment, the organizational and with the individual levels. It has shown a way as to how to draw certain conclusions about capacity gaps and issues and it has proposed strategic options and directions for dealing with them. As a result, we have proposed an integrated matrix which shows an action-oriented plan with the steps to be taken during the strategic planning process, the key actions, level of intervention, main actors, tools and resources (human and economic), time schedule and a defi nition of milestones to be accomplished.

Table 3. Action plan for the enabling environmentAction Plan

Level I : Enabling environmentKey

actions

Level of

intervention

Main

actors

Tools &

resources

Time

scheduleMilestones

Stage

Inception phase

Programme formulation phase

Programme implementation phase

Evaluation, monitoring

The identifi ed strategic objectives in Table 2 should correspond to the activities proposed for intervention which are displayed in Table 3 (action plan). Similar action should be expected for other dimensions according to the appropriate aspects to be examined.

Establishing a coordinating body

In order to implement a capacity development strategy it is of major importance that a coordinating body be established, either within or outside the main line agencies involved in irrigation. The body would be charged with the coordination of the strategy implementation process and oversee the specifi c actions at the various levels. The existence of the body will also be subject to the extent of the exercise. The body would help to focus on the priorities established according to the goals and mission of the Capacity Development Programme. Other responsibilities would include the facilitation of capacitydevelopment projects and their promotion to the interested funding agencies. Consequently, it would oversee activities that deal with the public domain, including donor relations, communications, as well as the involvement of stakeholders from both the irrigation community and civil society.

In practical terms the body would have to arrange for the elaboration of a detailed action and annual work plans in order to ensure that the right processes are being carried out and the right resources are available to effi ciently implement the strategic plan. An important role of the body would involve the establishment of a suitable evaluation and monitoring system based on a set of appropriate indicators, which are suitable to monitor the progress of programme implementation and its impact on the primary stakeholders and benefi ciaries.

11

Strategic partnerships

The implementation of a comprehensive Capacity Development Programme would not be possible without the knowledge and the expertise of specialized organizations from the international, national, non-profi t and non-governmental domains. International organizations in the fi eld of water management and irrigation such as IPTRID, IWMI, ICID and UNESCO, provide capacity development services to the benefi t of countries. At the regional level organizations such as NEPAD provide scope for regional integration of capacity development initiatives. Within countries, strategic partnerships may include public-private and public-non-governmental forms. Key to the success of a partnership is trust and mutual interest.

Funding

The main responsibility for resource allocation and proper funding usually lies with the government. However, given tight budgetary constraints of many developing countries, the implementation of a Capacity Development strategy cannot be done without the support of donors and other sources of funding. Donors usually provide technical assistance in the form of expertise in technical and process-oriented matters by taking on specifi c programme components. Increasingly, donors tend to provide budgetary support with limited interference in the technical domain. The critical elements of donor support of a Capacity Development strategy are trust, transparency and accountability of the actors involved in the process.

Evaluation and monitoring

The existence of functional and effi cient evaluation and monitoring systems is critical for ensuringsustained interest and commitment in a Capacity Development programme. Elements of such a system include performance and impact indicators, an established data, information and knowledge base and coordinated processing and interpretation procedures. The establishment of suitable capacity performance and impact indicators poses a formidable challenge. In a worked example of a log frame matrix, IFAD (2004) provides some ideas on how to express capacity development objectives and how to monitor them. Accordingly, performance indicators are put forward as a performance question, which is complemented by a set of indicators and targets. For example,

Output: Capacity strengthened of department of agriculture to support local development process.

Performance questions: How successful has the department of agriculture been in facilitating agricultural and economic development in the province? How satisfi ed are key clients with the service and support of the department?

Indicators and targets: All staff with revised job descriptions, performance targets and work plans; management structures, 75 percent of staff adequately carrying out their work plans and meeting performance targets.

Monitoring mechanisms: Activity and performance monitoring system established within department; interviews with key clients (farmers, businesses, NGOs); organization assessment of the department activity (baseline, mid-term, and three years after completion; participatory impact monitoring with farmers groups).

12

Assumptions: Department will play a key role in the development process; the department will be able to re-orient towards being client-oriented, and working in partnership with other stakeholders including the private sector.

It is expected that IPTRID will, once again, support jointly with the Capacity Building, Training and Education Working Group, another ICID international workshop. It will be held in Malaysia and will complement the past events by presenting the fi nal stage of the Capacity Development process titled “Monitoring and evaluation of Capacity Development Programmes”.

Conclusions

In this paper we focus on the design and the formulation of a Capacity Development strategy in the fi eld of irrigation. Capacity development initiative by nature requires a strategic approach which responds to particularities of the subject as being soft, long-term, multi-dimensional, multi–layered, dynamic incorporated and connected to other strategies of the water sector. The proposed approach is based on strategic planning, which is process and action-oriented. It is divided into six stages which form a logical cycle of capacity needs assessment, programme formulation and implementation to monitoring and evaluation. As entry point we suggest the clarifi cation of the purpose for which capacity is needed. Strategic alignment of a capacity development strategy is identifi ed, among others, as a fundamental issue that governments need to address. Other issues include willingness to reform and organizational change.

Within the proposed strategic planning framework we deal with the enabling environment, the organizational and the individual level capacity and show how to draw conclusions with regard to strengths and weaknesses, opportunities and threats. We propose a strategic planning matrix which is complemented by a pragmatic action plan matrix containing key actions at various levels and dimensions. The matrix is conceived as an innovative tool for guiding systematic and comprehensive capacity development interventions. Implementing a capacity development programme requires a coordinating apex body with oversight for the achievement of the objectives to make sure that everything is happening as expected, programmatic cohesiveness and adequate funding. Performance and impact monitoring systems are vital for sustaining the interest, support and commitment of both governments and donors in a successful Capacity Development Programme.

References

ADB (2004) Strategic options for the water sector (T.A. 2817-PRC); Draft fi nal report.

Bryson, John M. (1995). Strategic Planning for Public and Non-profi t Organizations: A Guide to Strengthening and Sustaining Organizational Achievement. San Francisco: Jossey-Bass. ISBN 0787901415.

Cap-Net (2002). Capacity building for integrated water resource management; the importance of local ownership, partnerships and demand responsiveness. www.cap-net.org.

DFID (2002a). Capacity development: where do we stand? Department for International Development, Governance Division .

13

DFID (2002b). Tools for Development: A handbook for those engaged in development activity. Performance and Effectiveness Department, Department for International Development.

DFID (2003). Promoting institutional and organizational development. A source book for tools and techniques. Department for International Development, London, UK.

GTZ (2003). Capacity development. Policy paper no. 1. Strategic Corporate Development Unit Policy and Strategy Section, Gesellschaft fuer Technische Zusammenarbeit (GTZ), Eschborn Germany.

Horton, D. (2002). Planning, implementing and evaluating capacity development. Briefi ng paper no. 50, International Service for National Agricultural Research (ISNAR), The Hague, The Netherlands.

Horton, D.; Alexaki, A.; Bennett-Lartey, S.; Brice, K.N.; Campilan, D.; Carden, F.; de Souza Silva, J.; Duong, L.T.; Khadar, I.; Maestrey Boza, A.;Kayes Muniruzzaman, I.; Perez, J.; Somarriba Chang, M.; Vernooy, R. and Watts, J. (2003). Evaluating capacity development: experiences from research and development organizations around the world. The Netherlands: International Service for National Agricultural Research (ISNAR); Canada: International Development Research Centre (IDRC), the Netherlands: ACP-EU Technical Centre for Agricultural and Rural Cooperation (CTA).

Hundertmark, W. (2004). Strategic options for capacity assessment in agricultural water management: design and management of the process. IPTRID/FAO Workshop proceedings on capacity development in agricultural water management. 55th IEC Meeting of the ICID, Moscow.

IFAD (2004). Managing for impact in rural development: a guide for project M & E. Annoted example of logframe matrix.

IWMI (2003). Irrigation management transfer: How to make it work for Africa’s smallholders? Water Policy Briefi ng. Issue 11, International Water Management Institute.

Kay. M.; Franks, T. and Tato, S. (2004). Capacity needs assessment in agricultural water management:Methodology and processes. ICID Workshop on Capacity Needs Assessment, Moscow.

Mahmoud, I.M. (2004). Institutional mapping to assess capacity needs for the development of water boards at district level in Egypt. In: Workshop proceedings on capacity development in agricultural water management, The 55th IEC meeting of the International Commission on Irrigation and Drainage (ICID). Final report; IPTRID/FAO, Moscow 2004.

McKinsey (2001) Effective capacity building in non-profi t organizations. Prepared for Philanthropy Partners by McKinsey & Company.

UNDP (1997) Capacity development. Technical advisory paper 2.

UNESCO: Towards a strategy on human capacity building for integrated water resources management and service delivery. http://unesdoc.unesco.org/images/0012/001262/126258eo.pdf

14

Annex 1. Strategic planning case from the Peoples Republic of China (PRC)

In the following a case from an ADB-funded strategic planning project in the People’s Republic of China is being reproduced, in order to demonstrate a real world approach in strategic water sector planning (ADB, 2004). The approach taken evolves in seven steps, one for the analysis of the external environment and six focussing on the internal sector environment. It comprises three main stages: First, an analysis of the context surrounding the water sector (the external environment) (Step 1); second, the analysis of the water sector itself (the internal environment, steps 2, 3 and 4); and third, representative outputs that simulate what the government might conclude if it was to adopt such a process in full (Steps 5, 6 and 7).

Figure 2. Strategic planning case for water sector (Source: ADB, 2004)

Step 1: Analysis of the external environment. The analysis of the external environment establishes how the transformation of society and the PRC's place in the world impact on the water sector. It involves judgements on economic, social and other trends, and speculation on emerging threats and opportunities. Taking account of the principles that must govern water management, it leads to the formulation of national goals, strategic directions and expected results which together guide the formulation of a water sector strategy.

STEP 6

Monitor implementation andevaluate performance and resultsof actions, programs and projects

Assess the external environmentand its implications for the watersector (opportunities & threats)

Assess the physical resource baseand trends in the water sector's

internal environment

Identify, analyze & understandissues and constraints facing the

water sector (strengths &weaknesses)

Define, analyze and reviewstrategic options that address the

issues and constraints in the watersector

Select preferred options, anddefine, recommend and adopt aparticular strategy for the water

sector

Define and implement time-based,measurable actions, programs and

projects for the water sector

Externalenvironmental

Internalenvironmental

Outputs of thestrategic

planning process

National Goals &StrategicDirections

Water SectorObjectives &

Policies

StrategicPlanning

Framework

Action PlanningFramework

AccountabilityFramework

ModifyS trategies

ReviewPolicies

STEP 7

STEP 5

STEP 4

STEP 3

STEP 2

STEP 1

15

Step 2: Assessment of the physical resource base. The analysis of the water sector's internal environment assesses its capacity to respond to events and issues that are identifi ed in the external analysis. It begins with an evaluation of the physical resource base, and documents trends and prospects in the use and abuse of the resource itself.

Step 3: Analysis of the internal strengths and weaknesses. Analysis of the internal environment goes on to identify strategic issues, and to analyse constraints and opportunities facing the sector. It focuses on structural, fi nancial, technological, legal, organizational, analytical and other capacities and potentials, leading to an evaluation of the sector's strengths and weaknesses, and to an initial formulation of sector objectives, policies and expected results.

Step 4: Defi ning strategic options. Strategic options that address these issues and constraints are defi ned and assessed taking account of international experience in comparable situations. Sector objectives, policies and expected results are adjusted in subsequent iterations.

Step 5: Prioritisation of options: Goal setting and analysis leads to the selection by decision-makers of preferred options that address each of the major issues, and a particular strategy is defi ned and adopted (summarized in the Strategic Planning Framework).

Step 6: Defi ning time-bound and measurable actions. The preferred strategy is translated into time-bound actions, programmes and projects that are measurable in terms of performance and results (summarized in the Action Planning Framework).

Step 7: Monitoring and evaluation. A programme for monitoring, evaluating and reporting on performance and results is prepared to be utilized during implementation (summarized in the Accountability Framework).

Strategic water sector planning stages normally evolves over several periods each comprising of planning activities at different administrative and hydrological levels (see Figure 3). The strategic planning phase, which is further divided into strategy development and formulation is followed by action planning stages.

Output:

• A Strategic Planning Framework for analysing the key issues in a manner that includes screening options and defi ning and recommending a particular set of strategies.

• An Action Planning Framework for translating the strategies into specifi c programmes and projects (activities) including establishing who will implement them and over what period of time.

• An Accountability Framework for assessing performance against stated goals and desired outcomes, and as a basis for deciding on revisions in the course of reiterations of the planning process.

16

Figure 3. Strategic planning in layer sectors and organizations

HydrologicalUnits

Period 1 Period 2 Period 3 Period 4 Period nAdministrative

Units

National

Provincial

Local

International

Inter-Provincial

Intra-Provincial

Strategy Approval Action Plan Approval

Action PlanningStrategic PlanningImplementationand Iteration

ExternalEnvironmental

Specific

General

17

2. A Collaborative knowledge network as an instrument for Capacity Development in Indonesia

by

Ferry J. Putuhena, Water Sector Capacity Building Specialistand

J.T.L. Yap, Team Leader Collaborative Knowledge Network Development Project

Abstract

Since 1999, major responsibilities to provide public services by the Government of Indonesia have been devolved to regional governments. The implication of this change is the delegation of authority from central to regional governments, and the responsibilities attached to it. Yet, it seems that the regional capacity to perform in this new role is insuffi cient. The same is true for the Water Resources and Irrigation sector. A new water sector reform policy endorsed in 1999 adopts a participatory approach to Water Resources and Irrigation Management (WRIM) in a sustainable manner. This requires capable institutions for management, capable individuals within the various organisations and an external environment that enables the institutions and individuals to perform according to stakeholders’ expectations. It involves assessment of existing manpower competence to perform their tasks and responsibilities, and the identifi cation of gaps in required knowledge, skills and attitudes at presentand in the future. Universities, Research and Study Centers, and other Knowledge Centers (Capacity Builders) have a strategic role to play as national human resources development instruments. However, most of the Capacity Builders are still following supply-oriented instead of demand-oriented practices in knowledge transfer. In addition, integration and cross sectoral concepts, strategic thinking skills, although not new, are still not systematically included in the national curricula. Consequently, capacity building to strengthen the Capacity Builders is an essential step to implement the capacity development in Indonesia. Taking into consideration the time constraints and the large coverage area of the country, the most effi cient instrument to address the capacity building needs is to set-up a collaborative network between the capacity builders in the country. Development in ICT introduces new ways of collaborating through the Internet at national and international levels. A network development strategy has been developed in order to provide sustained capacity development services to the water resources and irrigation sector. It includes short, medium and long-term plans of the network development. Constraints and problems related to Capacity Development Needs and Network Development are elaborated.

General context

In 1999, the Government of Indonesia (GoI) initiated political reforms by decentralizing part of the government tasks to the regions in favour of the previous centralized system. This change has been endorsed by Law No. 22 (1999) on Regional Government and Law No. 25 (1999) on Central Regional Fiscal Balance. The implication of this change is the delegation of authority from central to regional governments, and the responsibilities attached to it. Major responsibilities to provide public services have been devolved to regional governments.

18

The success of the implementation of this political reform itself depends largely on the capacities of regional institutional and human resources. Lack of institutional and human resources capacity leads to poor public service performance. Yet, it seems that the regional capacity to perform in this new role is insuffi cient at regional level.

The Water Resources and Irrigation sector condition does not differ substantially from the general condition above. A new water sector reform policy endorsed in 1999 adopts a participatory approach to Water Resources and Irrigation Management (WRIM). A Water Resources and Irrigation Sector Management Programme (WISMP) will soon be initiated with the main objective to establish institutional capabilities to manage water resources and irrigation systems in a sustainable manner. This requires capable institutions for management, capable individuals within the various organizations and an external environment that enables the institutions and individuals to perform according to stakeholders’ expectations.

Competency and task oriented training, development of local training capacity and adaptation of formal and informal educational programmes in local institutes and universities are key actions to accommodate the short, medium and long-term needs of the WRIM sector agencies. The modernity and strength of the local educational and training systems are strategic instruments in the future development of the public sector (including WRIM). Universities, Research and Study Centres, and other Knowledge Centres (Capacity Builders) as national human resources development instruments have a strategic role to play. Most of the Capacity Builders are still following supply-orientedinstead of demand-oriented practices in knowledge transfer. In addition, integration and cross-sectoral concepts, strategic thinking skills, although not new, are still not systematically included in the national curricula. Consequently, the capacity of human resources does not match with the new paradigm (demand-oriented) requirements. Tailor-made training to challenge the new paradigm is therefore required to strengthen the Capacity Builders as high priority intervention to produce short-term results. It involves assessment of existing manpower competence to perform in their tasks and responsibilities, and the identifi cation of gaps of required knowledge, skills and attitudes betweenpresent and future.

Taking the strategic role of capacity builders in Nation Building into consideration, it is obvious that the key is strengthening the capacity of Capacity Builders: Capacity development of the Capacity Builders. Capacity at the Learning Institutes to support the GoI’s capacity building initiatives to reform the water sector should be in place before the other programmes such as WISMP starts. Taking the time constraints and the large coverage area of the country into consideration the most effi cient instrument to address the capacity building needs is to set-up a collaborative network between the learning institutes in the country.

Development in ICT introduces new ways of collaboration through the Internet at national and international level. It is believed that creating and nurturing a dynamic network of capacity builders is the fi rst essential step towards a sustainable mechanism of knowledge generation, sharing and dissemination throughout the nation.

19

Building the network

The concept of the Network was formulated during an initial meeting in Bandung, Indonesia in July 2002, where the following National Universities in a Consortium agreed to establish a Collaborative Knowledge Network (CKNet):

Sumatra: Andalas University (UNAND) - PadangJakarta: University of Indonesia (UI) - Jakarta University Bina Nusantara (BINUS) - JakartaWest Java: Bandung Institute of Technology (ITB) - Bandung Parahyangan Catholic University (UNPAR) - BandungCentral Java: Diponegoro University (UNDIP) - SemarangYogyakarta: Gajah Mada University (UGM) - YogyakartaEast Java: Institute of Technology Sepuluh Nopember (ITS) - Surabaya Merdeka University (UNMER) - MalangSouth Sulawesi: Hasanuddin University (UNHAS) – Makassar

It is an open network and will ultimately consist of other local, regional and international institutes in order to strengthen and enhance capacity in training, education, information and knowledge dissemination, and research activities on topics and issues related to Infrastructure, Water and Environmental Management (IWEM) with water as the central theme.

In June 2003, the World Bank fi nanced a workshop on the Development of a Capacity Building Networkin Indonesia in the fi eld of Water Resources and Irrigation Management in Bandung. The UNESCO IHE Institute for Water Education was appointed to organize the workshop. During this workshop the idea to establish CKNet was launched and accepted by the Government of Indonesia through: the Ministry of Settlements and Regional Infrastructure; the private sector through the national professional associations; the Indonesian academic sector through representatives of the largest national private and state universities; the Capacity Building network (CapNet) and the World Bank.

Recently, in June 2005, a Collaborative Knowledge Network consisting of national Capacity Builders has been formally set up as an initial part of the continuing capacity development process, where the members can collaborate in supporting and providing future capacity building interventions in the regions. In this way allowing the knowledge and capacities to be decentralized to the regions through participation of regional capacity builders in a sustainable and dynamic way. It was agreed to name the new network Collaborative Knowledge Network Indonesia or CKNet-INA.

Collaborative knowledge network Indonesia (CKNet-INA)

The CKNet-INA members agreed to adopt and respect the following guiding principles, which form the Code of Conduct of the network:

1. Commitment, cooperation, and solidarity2. Communication based on respect. Trust and equality3. Transparency and accountability

20

4. Innovation5. Quality assurance

Mission CKNet-INA

To contribute to the welfare of the people in Indonesia and their living environment by combining the strengths of the members of the network through:

• providing a dynamic platform for communication, collaboration and knowledge networking;

• serving communities of practice in the fi elds of infrastructure, water and environmental management; and

• developing appropriate and demand-oriented knowledge for all stakeholders in the infrastructure, water and environmental management areas.

Vision CKNet-INA

To become a sustainable network of academics and professionals in building capacity in the infrastructure, water and environment sector where knowledge is shared and exchanged among members to enhance knowledge generation and dissemination activities in support of a decentralization and development programme in Indonesia.

The objectives of the Consortium and its Regional Centres

n To train and educate practising professionals, students and fi eld staff and to create awareness amongst decision makers about IWEM, specifi cally to promote the development of more appropriate curriculaat universities, polytechniques, academics, etc.

n To promote a multi-disciplinary approach, emphasizing socio-cultural, good government practices and institutional consideration in the planning, implementation, operation and maintenance of the systems.

n To collect, map, generate and disseminate knowledge and information through CKNet-INA and to undertake applied research and demonstration.

n To make available and share existing and state-of-the-art knowledge on IWEM to all stakeholders, both in the public and private sectors using CKNet-INA.

In the long-term programme, the most essential initiative for arriving at sustainable capacity building programmes is to:n Strengthen existing capacities of the national universities (National Capacity Builders) to deliver

capacity building services (education, professional training, on-the-job training, coaching, etc.) to the regions.

n Create collaborative partnership between the various capacity builders, fi rst national and later international, to cope with the need for a concerted effort to support the government policy to decentralize (part of) their responsibilities to the regions and to strengthen the local government institutes and their human resources.

21

The short-term programmes were formulated and consist of:n The creation of a collaborative knowledge network, where the national capacity builders can

prepare and work together to assist in the future capacity building programmes for the regions. The established network will allow cooperative development, information and knowledge sharing to promote synergy through common databases, ideas and experiences, library, software, research output and transparency. In this partnership, a strategy and action plan should be laid out leading to upgrading of the individual capacity of the institutions.

n Strengthening the capacity of the network partner to deliver professional oriented short training modules. This upgrading should be allowed to be broadly interpreted, in the light of the pressing local development problems. In some cases, it may focus on the obvious under- or post-graduate education programmes, but in other cases, it may appear that the university can best meet the demands by venturing into programmes with short, intensive recycling courses. In this way capacity to deliver professional oriented training modules is being developed.

Furthermore, the CKNet-INA members have come to an agreement for developing academic collaboration through three Thematic Working Units:

1. River Basin Management2. Coastal Zone Management 3. Urban Infrastructure Management

The Thematic Working Units (TWU) operates as decentralized units within the CKNet-INA structure. Communities of Practice (CoP) can be developed within a TWU by addressing specifi c issues of the main theme. A demand responsive knowledge product (e.g. training course) can be developed and offered as a tailor made programme by combining and merging expertise from within each TWU and from external sources,.

Each TWU will develop their own capacity through initiatives of the network members. They are expected to organize themselves as the needs arise, for example by initially setting up an ad-hoc secretariat, administration or coordinating unit, which may evolve into a more permanent form, if required. Eventually, a higher-level unit, the Network Secretariat, will coordinate the TWUs. The TWUs are part of the operational structure of the Network Secretariat. This structure is preferred as it is a real bottom-up approach, from CoPs as part of a TWU to the Network secretariat and fi nally to a Network Management Unit that only has a facilitating role.

The establishment of CKNet-INA has been fi nancially supported by NUFFIC–The Netherlands through a series of workshops, assignments, and fi nally a seminar where the rectors of the 10 participating universities signed a cooperation agreement or charter in Jakarta, Indonesia. The development process of CKNet-INA is presented in Figure 1. This development process and the coming strengthening activities (the short-term programme) are based on an assessment of the strengths and weaknesses of the consortium as presented in Table 1.

22

Figure 1. Building the Network

23

Table 1. Strength and Weaknesses

Strengths Weaknesses

Organization:

• Reputable knowledge centers in Indonesia• Basic facilities suffi cient to serve the need for

IWEM• National accredited in the highest rank• Motivated to support the government policy on

Decentralization and Water Sector Reform• Active participation in national and regional

development programmes• Eager to improve their services to the community

Learning System:

• The new law and regulations on higher education, allow more fl exible curriculum design

• The majority of the consortium partners have suffi cient possibilities for research where students can participate

• Interface with the external academic community through their study centers and community services units

• Students are encouraged to learn and participate in extra-curricular activities

Academic Staff & Lecturers:

• Hardworking and dedicated• Many have post-graduate degrees from abroad• Many are active in professional associations and

academic societies• Many are involved in projects and have

opportunities to bring fi eld experience into the classroom

• Many are active as advisors to the central and regional governments

Organization:

• Conventional Education System• Systematic defi ciencies of related Institutions• Status, Degree & Paper Oriented Culture• Weak Human Resources Management, incl. reward

system• Priority on Quantity rather than Quality of

graduates• Lack of systematic Quality Assurance System• Irrelevant or outdated long-term vision

Learning System:

• Theory & Knowledge of Facts rather than thinking skill

• Development is emphasized• In many cases “recipes” are learned to solve

examination problems instead of real life problems• Supply oriented education & training programmes• Focus on “What people must learn” instead on

“What people must do on the job”• “Learning for Activity” instead of “Learning for

Impact”• Does not address transfer of the newly learned skills

& knowledge onto the job• Academic culture that think that problems can be

solved by mathematics and computer software only• Still primarily geared towards outdated engineering

design and construction (hardware)• Life-cycle approaches is relatively new• Minor attention to Operation and Maintenance• Weak research capacity• Weak culture of knowledge sharing and archiving• Knowledge management concept is new

Academic Staff & Lecturers:

• One-way handbook teaching practiced, emphasis placed on knowledge of facts, handbooks and procedures

• Make little use of case studies• Lecturers tend to value scientifi c theory higher than

application• Weak conceptual & strategic thinking skills• Weak skill in problem identification and

formulation• Mainly single-sector orientated• Weak profi ciency in the English Language

24

Constraints encountered

During the development process, the main diffi culty encountered was the resistance of the participants to adopt a demand driven approach. As senior lecturers of the universities, they followed a typical supply oriented approach to development and implementation of training programmes. Current practices of training programme development focus on what the participants must learn which is unsuitable for professional oriented courses. Competencies based on what people must do on the job should be the lead during course development, based on a Training Demand Assessment. Current practice is mainly supply driven, decided by the lecturers. Moreover, the impact of such a programme is low, as these types of courses focus on learning of facts and knowledge only, instead of skills and change in attitude. So far, only a few of the participants appreciate the need for a different approach.

Understanding fi nancial sustainability for operating and managing the knowledge network is another problem. By offering knowledge products and other services to third parties following a cost effective approach, rational cost estimates and proper risk management may generate income for the network. The roadmap towards fi nancial sustainability is to follow an entrepreneurship strategy for the generation of income through the provision of demand oriented services to third parties. The generated income should include overhead to cover operational expenses of the network secretariat. Internal accountability is the key. The defi nition of sustainable in this context is that the network does not depend on external fi nancial resources to operate, but can generate internal or own resources to cover operational and managerial expenses of at least its network secretariat. The requirements for further development and expansion of the network should be fi nanced using own resources.

Communication in the English language is another constraint. The participants should make more use of English in their communication, taking into consideration the huge opportunities knowledge networking using modern ITC technologies offers. Communication in English is essential in order to stay abreast.

Team working and commitment is another constraint. Social networking among the participants is excellent, however, real teamwork, commitment and accountability is still weak. Experience shows that in order to achieve this level more time is needed.

Finally, leadership in networking is a new experience. Higher demand on leadership is required in this type of network, with virtual teams working in different geographical areas, as compared to traditional teams.

References

FAO. Water Report No. 26, 2004. Capacity development in irrigation and Drainage. Issues, challenges and the way ahead. Rome.

Kay, Melvyn; Franks, Tom & Tato, Sonia. 2005. Capacity needs assessment methodology and processes. Workshop Proceedings on Capacity Development in Agricultural Water Management, Moscow 2004, p 1-25. IPTRID Secretariat, FAO, Rome.

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Putuhena F.J. 2002. Knowledge Management Network dalam Pengelolaan Terpadu Sumberdaya Air. Prosiding Peran Penelitian dan Pengembangan Dalam Menunjang Pengelolaan Sumberdaya Air. Pusat Penelitian Dan Pengembangan Sumber Daya Air, ISBN: 979-3197-21-8, Bandung, Indonesia.

Morrison, Terrence. Actionable Learning, a Handbook for Capacity Building through Case Base Learning. Asian Development Bank Institute.

Deutsche Gesellschaft fur Technische Zusammenarbeit (GTZ) GmbH. February 2005. National Framework for Capacity Building to Support Decentralization Guidelines on Capacity Building in the Regions. Module A: The Capacity Building Cycle – From Capacity Building Needs Assessment (CBNA) towards the Capacity Building Action Plan (CBAP)

Deutsche Gesellschaft fur Technische Zusammenarbeit (GTZ) GmbH. February 2005. National Framework for Capacity Building to Support Decentralization Guidelines on Capacity Building in the Regions. Module B: Methods and Instruments for the Capacity Building Cycle (“Toolkit”).

Deutsche Gesellschaft fur Technische Zusammenarbeit (GTZ) GmbH. February 2005. National Framework for Capacity Building to Support Decentralization Guidelines on Capacity Building in the Regions. Module C: Supplementary Documents, References and Sources of Information.

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3. Capacity Development for food security in Nicaragua

by

Sylvanie Jardinet, Food Security coordinator in Latin America, Acción Contra el Hambre

General context

In Nicaragua, the 2001 Livelihoods Survey estimates that 45.8 percent of the population lives below the poverty line and that 15.1 percent is extremely poor. Nicaragua is one of the economically most vulnerable countries in Latin America, with a per capita GNP for 2002 of approximately US$500. Even though poverty affects over half of the Nicaraguan population, it is not distributed equally amongst the various parts of the country. The province of Madriz, where the project was implemented, is located in North-Central Nicaragua, one of the most vulnerable regions in the country (7 of its 9 municipalities are listed as extremely poor).

Location of the province of Madriz

With a population of approximately 134 000 inhabitants and a population density of 76 inhabitants/km2,Madriz is a province with a climate that is adverse to agriculture, with scarce rainfall (800 mm/yr on average), and is thus prone to suffering prolonged drought. Its topography is craggy, marked by steep slopes and only some 7 percent of the land is covered by forest. The majority of the population living in the province relies on agriculture as its main source of income; more than 89 percent of the usable land in Madriz territory is dedicated to agriculture. The drop in international prices for agricultural products, especially coffee, has only made matters worse. Based on this context, the following structural elements can be listed that add to the crisis in the Madriz province:

28

• Unequal access for farmers to the assets necessary for production

• Vulnerable production systems with an undiversifi ed capitalization base that rests on virtually single-crop farming of basic grains and depends on cash for the sale of surplus production once the basic subsistence level has been obtained. In Madriz, 92 percent of individual farms use this traditional system of production.

• Development policies badly directed, the majority of small and medium scale producers are excluded from the national policies. In Nicaragua, 63 percent of the poor and 75 percent of the extremely poor people live in rural areas.

• The deterioration of international prices of food and with it the prices to the producers: as a result of the reduction of the agricultural prices, the low monetary income is insuffi cient to completely maintain and to renew the equipment and inputs and the productive capacity of the farmer is much more affected.

Since 2002, Action Against Hunger (ACH in Spanish) has been implementing a project with the reduction of poverty as the strategy of intervention. The project is based on agropecuarian diversifi cation and alternative solutions to improve poor farmers’ incomes and to reduce food insecurity. The diversifi cation of production using irrigation systems is one of the alternatives of production developed in the project. The majority of producers cultivate a main production of coffee and basic grains such as maize and beans; introducing the cultivation of vegetables allows a diet diversifi cation and consequently the reduction of food insecurity.

Brief description of the Capacity Development needs assessment studyat the system/environmental institution/individual level

The needs assessment represented the fi rst step in the planning and development of the project; it is a systematic process for establishing priorities and making decisions regarding the planning and development of the project. Decisions and priorities are based on information gathered from the communities. To collect the information for carrying out needs assessments, the technique of Rapid Rural Appraisal (PRA) was used in each of the communities determined in a fi rst assessment undertaken by ACH using the criteria of vulnerability, poverty, food insecurity and malnutrition.

A PRA session in a community

29

The objective of the Rapid Rural Appraisal (PRA) was to know better the community, participants, demands of the community, and identifi cation of possible production alternatives using in some casesan irrigation system. In this diagnosis, it is important to make distinctions between needs, wants and interests of population. Therefore, ACH extension staff undertook efforts to assess target population needs to ensure that they understood the meaning of needs, as something considered by all necessary to accomplish the development of the community. Also, by using PRA and participatory approaches, extension workers and farmers exchanged more knowledge and experiences and reached consensus on what is most needed by villagers. As a result, the farmers themselves were able to propose the most suitable solutions to their problems.

PRA consists of using several data collection methods to gather practical information on development issues in local communities quickly (Freudenberger, 1994). The PRAs performed in the communities, included interviews with key informants, review of secondary data sources, mapping exercises and semistructured interviews with groups and individuals.

The table below shows different tools used during PRA in the project:

Tools Concepts

TransectTransects were drawn up of villages to show different local use of land and resources and to highlight potential problems and opportunities.

Participatorymapping

Set of tools that allows to quickly obtain a global synthesis of the resources and the local conditions and also to know and to locate the different types of socio-economic groups existing in the community

Seasonal calendars and activity profi les

Seasonal constraints and opportunities are diagrammed month by month throughout the year. Daily patterns of activity are similarly explored by charting typical activities for each hour of the day, amount of effort, time taken, and location of work. These have been compared for men, women, the elderly, the young and others.

Time lines and local histories

This tool allowed identifi cation of changes in the past and possible changes in the future in activities and conditions of the communities. An analysis of the reasons for changes and their effects on the community could be also done with elements obtained.

Venn and network diagrams

With Venn diagrams, real linkages, interactions and distance between groups, individuals and institutions are represented.

Wealth rankings and social maps

Wealth ranking is used to identify local indicators of wealth and to classify household according to relative wealth or wellbeing. Fairness aspects are analyzed and it facilitates the understanding of the social structure of the community.

BrainstormingWith a focused group a brainstorming was organized where villagers through presented their ideas, problems and solutions. The most important ideas were listed and ranked in order of priority by the villagers themselves.

In each community, participation of villagers was important, with an average of 44 families participating per community.

PRA confi rmed the fi ndings of the fi rst assessment achieved by ACH during the identifi cation of the project and its related activities. Promotion of diversifi cation of the production, with new crops adapted

30

to the area (vegetables, fruits, etc.) represented in the majority of the cases an alternative solution. The use of an irrigation system, when the technical conditions are suitable, allows for an increase in the yield and production of some specifi c crops, once the water constraints have been eliminated. The related needs identifi ed were training in irrigation systems and in market gardening; however, as regards capacity building, the farmers did not see organizational support as a need within their community.

When the alternative of the irrigated crops was selected, a feasibility study (technical study) was carried out to verify the possibilities of implementing an irrigation system. Then, a focus group was organized to discuss the implementation of the systems and to identify the organizational needs. A list of workshops was elaborated that answered on one hand the training and technical assistance requested by the producers and, on the other hand, the needs and problems identifi ed with the PRA.

Synthesis of steps taken for the Capacity Development Strategy/Programme design and implementation

First of all, after the feasibility study and before starting the implementation, an agreement of coordination between local actors and organizations is signed to avoid duplicating the work.

The capacity development strategy designed covered two main fi elds of action, the fi rst one related to the organizational capacities and the second one to the specifi c technical issues.

With a sustainable common irrigation system which uses a common water source, the organization of the farmers is essential. The ACH team accompanied groups in the organizational process to strengthen cohesion within the groups involved in water management and to ensure the maintenance of the system.

Some meetings were carried out to organize working groups and to identify the community promoter in charge of the relation between the groups of farmers and the ACH extension team. The promoter was responsible for coordinating all the activities related to the installation, operation and maintenance of the system and also activities related to the diversifi cation of the production.

To begin each group organized themselves for the construction of the irrigation system and planned the training with the ACH extension team. Training and technical assistance corresponded to needs and problems identifi ed in the fi rst stage with the PRA and to their demands; they were implemented during the construction of the systems and continued once the systems were built to accompany the producers.

To ensure this training, the ACH team wanted to specialize and followed a theoretical and practical training on irrigation organized by the FAO SPFS Programme (Special Programme for Food Security).The next table shows the common training program developed in the whole community, some specifi c training and technical assistance were mapped out in function of the situation, context and specifi c needs of farmer groups. Eighty percent of the topics in the training sessions were taken from suggestions proposed by producers during the PRA activity and 20 percent were selected by ACH technical staff according to the necessities identifi ed when visiting the communities. Training sessions were based on theory but also practical cases.

31

Training Developed subjects Time

Manual of irrigation training Nº 1

“General concepts of Irrigation and Installation of Irrigation System”

Relation between Soil, Water and Plants:

Soil

Water

Plants

1 hr

Irrigation

What is Irrigation?30 min

When do I have to irrigate?

How much do I have to irrigate?

How do I irrigate?

30 min

Types of irrigation

Sprinkler irrigation

Row irrigation

Drip irrigation

1 hr

Accessories that compose an Irrigation System

90 min

Manual of irrigation training Nº 2

“Characterization of the Area of Irrigation and Location of the spring catchment

Characteristics of the area of irrigation

90 min

Types of water sources 1 hr

To measure 90 min

Construction of the intake 90 min

Manual of irrigation training Nº 3

“Installation of the pipeline and the Irrigation System”

How is water conducted to the plot?

3 hrs

Installation of the Irrigation System

150 min

Manual of irrigation training Nº 4

“Operation and Maintenance of the Irrigation System”

Operation of the Irrigation System

30 min

Maintenance of the Irrigation System

90 min

Disassembling of the armed irrigation system

1 hr

Disassembling of the installed irrigation system

90 min

This activity is part of a large programme of interventions: some community leaders were trained in justice and confl ict resolution, they received training on themes such as law and management of natural resources, and also participated in workshops about local management of natural resources. It is

32

important to link technical and organizational aspects with confl ict resolution; indeed, the majority of the confl icts which exist in the communities are related to the management of natural resources such as the access to water which in a common irrigation systems can occur.

Self-construction of an irrigation system with technical assistance of ACH extension team

Materials used during irrigation training

ACH has coordinated the implementation of the project with the municipality but since it concerned capacity development, the technical team was coordinated with the UNAG (National Farmers Union), whose role is to give technical backstopping to farmers.

Problems and diffi culties encountered while implementing and successful experiences

In order to ensure a good technical level, ACH team was especially advised by the SPFS programme; therefore, in the design and implementation of the technical part of the capacity development programme, ACH did not face major problems and diffi culties. The training and technical assistance given were welloriented and adapted to the level of the benefi ciaries.

33

Some diffi culties were encountered at the technical and design of the irrigation system levels, which had direct repercussions on the sustainability of the irrigation system.

At the technical level, diffi culties reside in the availability of a water source in the village and the ownership of the source. Designs of irrigation systems have been adapted consequently in each context and especially in function of the existing relationship between benefi ciaries and the owner of the water source. An agreement between one of the benefi ciaries and the owner of the water source has to be generally signed in order to allow the implementation of the systems.

This agreement, according to the cases, specifi ed that the owner give the water access to other members of the group (individual irrigation system) or in addition to the access to water, loaned, for the benefi t of the group, a plot to cultivate in common with a common system of irrigation. These are the solutions found to face the problem of availability and access to the water source for irrigation. The level of organization of the community or the farmer group was and is essential to attain the desired impact.

Successful experiences are related mainly to this last point, namely: the level of organization. In reference to technical results, they are very positive, production increased and an impact on the food security of the families has been noticed.

Systematization allowed ACH to measure the impact of the project, to learn lessons and to reorient the programme in the second phase:

• 92.2 percent of benefi ciaries agreed that the irrigation system and diversifi ed production system allow an improvement in the economic situation: with a better food availability and a reduction in the loss of harvest (76 percent).

• The majority think that the training (100 percent) and technical assistance (94.2 percent) were good.

• At the end of the project, in reply to the question “How would you solve any problems related to the maintenance”, 47.6 percent answered that they can solve it themselves, 48.5 percent said that they can solve it within the community and 3.9 percent think they have to fi nd help outside.

• Diffi culties in knowledge transfer have been noted:o Low academic level does not facilitate the transfer of knowledge.o Groups of benefi ciaries participating in the training are large and make the process of

learning more diffi cult.o Communities are distant from the meeting center which has had an impact on the level

of participation.

In spite of the diffi culties, producers were motivated to learn more about irrigation systems and they did their best to take part in the training sessions organized.

The lessons learnt that we can draw from the experience are:

• Alternatives of production offered with an irrigation system allowed increasing the production during the drought season, diversifying production and diet and consequently have an impact on the reduction of food insecurity. It is also a solution which promotes the rational use of water and which is very compatible with sustainable management of natural resources.

• A certain weakness in the organization of the groups can be noted: groups are very dependent

34

on the promoter of the group and on the ACH technician. A doubt can be raised as for the sustainability of the system and the organization of benefi ciaries when ACH leaves the community. Indeed, the irrigation systems were built at the request of groups of farmers, and only the technical possibilities of construction were studied. An irrigation system is foremost a social construction where human groups, communities and individuals collectively defi ne modalities of access to water, as well as obligations and rules that all must fulfi ll to maintain and conserve the access to this resource. This complex reality has not been considered. Common irrigation systems were installed with an individual production purpose although in Nicaragua, access to water is considered an asset and the ownership individual; however, legally water is the property of the State. The group has negotiated an agreement with the owner of the spring, who gives access to water to the other producers without any contribution (payment in kind or in cash). These agreements are weak; they are effective as long as ACH is present but afterwards? Access to water is often the expression of social and/or economic status, and the sustainability of the agreements is not assured.

• Action Against Hunger is currently providing technical assistance to these farmers who have become strongly dependent on this support. Normally, this technical assistance should be provided by UNAG, however the capacity of this national organization is not suffi cient to ensure an adequate support. The topic of sustainability and the organizational capacity is an even greater challenge given the lack of public structures capable of giving occasional technical assistance.

• In order to improve this point, the sustainability of the organization and consequently of the irrigation system, the following can be proposed:

o Strengthening the organization of the farmer group and the management of the irrigation system.

o Strengthening the capacity of UNAG to allow the farmers greater access to occasional technical support when needed.

o Creation of an irrigation committee responsible for the supervision of the management, technical maintenance, and the collection of funds for future maintenance.

o To avoid future confl ict of interest, the community and groups of farmers have to discussand consent upon the management of collective infrastructures as well as its legal statute for the medium and long term.

• This activity, diversifi cation of production through irrigation systems, is part of a large programme of ACH intervention in the province of Madriz which approaches production, environmental aspects and local management of natural resources aspects, with the same strategy, the reduction of poverty. Some community leaders have been trained in legal themes and confl ict resolution; the project has to take greater advantage of the potential created, these individuals represent a benefi t for the community, as they can help in the good management ofthe irrigation systems.

Conclusions

In terms of capacity development, the programme has to focus more on the organizational aspects. In the fi rst two years of the project, training and technical assistance were concentrated on the production topics and the technical part of irrigation systems.

35

In order that the system of irrigation has real impact on food security, the diversifi cation of production and consequently the reduction of poverty, it is important to incorporate in the capacity development themes which in a fi rst instance are not seen as essential, but which are fundamental for the sustainability. Focus should be placed on subjects such as the organization of farmers, market aspects, monitoring of the production, water management, land tenure, etc. Sustainability is also strongly linked with access to natural resources and productive assets. Discussions have to be organized at the local level to study possible decisions of local management.

The next two years of the project foresee a consolidation of all aspects which enable a greater sustainability of diversifi ed production systems using a common irrigation system, such as:

• Special interest in the organizational support to the farmer groups.

• Training in covering the aspects of market, planning, monitoring production and management of natural resources (legal aspects and local organization).

• Promoting discussion in the community to ensure sustainability of the solution chosen (irrigation system) and the good management of natural resources. Also, promoting discussion in the community to refl ect upon the importance of good management and organization to achieve a shared and equitable benefi t for the community.

References

Acción Contra el Hambre (2004). Informe fi nal de proyecto “Combate de la pobreza en el departamento de Madriz, Nicaragua”. Managua: Acción Contra el Hambre

Acción Contra el Hambre. (2003). Modulo de riego N°1. Managua: Acción Contra el Hambre

Acción Contra el Hambre. (2003). Modulo de riego N°2. Managua: Acción Contra el Hambre

Acción Contra el Hambre. (2003). Modulo de riego N°3. Managua: Acción Contra el Hambre

Acción Contra el Hambre. (2003). Modulo de riego N°4. Managua: Acción Contra el Hambre

Apollin, F. & Eberhart, C. (1998). Metodologías de análisis y diagnósticos de sistemas de riego campesino. Quito: CAMAREN – CICDA - RURALTER

Burton E., Swanson, B.E., Bentz, R.P. & Sofranko, A.J. (1997). Improving agricultural extension. A reference manual. Rome: FAO

Freudenberger, K.S. (1994). Tree and land tenure: Rapid appraisal tools. Rome: FAO

Perez D. (2004). Documento de sistematización: Componente de Riego como Apoyo a Labores de Diversifi cación Agrícola. Managua: Acción Contra el Hambre

37

4. Capacity Development strategies: lessons from Promoting Farmer Innovation (PFI) in East Africa

byBancy M. Mati, International Water Management Institute (IWMI) -Nairobi

General context

The three East African countries comprising Kenya, Tanzania and Uganda (Figure 1) form a region which shares common bio-physical, socio-economic, political and historical characteristics. Agriculture is the most important economic sector and is the main source of livelihood for about 70 percent of the population. However, agricultural production has been declining over the years. With the exception of Uganda, East Africa is dogged by climatic variability with prolonged dry spells and regular droughts, which renders farming a high risk enterprise. In addition, the 1990s saw the agricultural sector decline as a result of structural adjustment programmes in the three countries, with their associated inadequate funding. This resulted in manpower instability, limited research-extension-farmer linkages, weak monitoring and evaluation and inability of farmers to afford farm inputs (Kampen, 1992; Republic of Kenya, 2001). The extension services in the past were government owned and controlled, having long chains of command from the head offi ce to the Frontline Extension Worker (FEW), who were the persons in contact with the farmer. The FEWs were also the most junior and least educated, poorly paid and often quite de-motivated. The structure of the extension service has therefore been one reason for the poor development in agriculture in the region (Sanders and McMillan, 2001).

Analyses of the successes and failures of rural extension work in East Africa (Schwartz and Kampen, 1992) revealed that the transfer of technology approach, which assumed a one way stream of knowledge from research to extension to farmer, was ineffective. This approach ignored the knowledge already existing in the community and failed to recognize the processes by which farmers learn and adopt new practices. In recent years, there has been renewed interest to develop and implement farmer and user responsive extension approaches. These have been described in various ways, namely, as on-farm research, farming systems, agro-ecological research, rapid and participatory rural appraisal, farmer participatory methods or Farmer Field Schools (Norman et al, 1994; Chambers et al, 1989; Haile et al, 2001; Haile and Lemma, 2000). The fact that farmers themselves can contribute towards new technologies in land husbandry and the role of indigenous technologies in soil and water management, as a way to improve farmer-extension linkages has also been recognized (Reij and Waters-Bayer, 2001; Bittar, 2001; Abbay et al, 2000; Haile et al, 2000). It is from this background that the project Promoting Farmer Innovation (PFI) was developed (Critchley et al, 1999).

Responding to the UN CCD

The PFI approach drew its strength from knowledge and experiences latent within communities and from the recognition that farmers are better able to learn and adopt new ideas when they can see them practised by others who have similar resources of land, labour and capital. PFI was designed to respond to concerns

38

about the global nature of desertifi cation, expressed at the UN Conference on Environment and Developmentwhich took place in Rio de Janeiro in 1992, which renewed the call for action to combat desertifi cation and requested the UN General Assembly to prepare a “Convention to Combat Desertifi cation (CCD) in those countries experiencing serious drought and/or desertifi cation, particularly in Africa”. Desertifi cation was defi ned as “land degradation in arid, semi-arid and dry sub-humid areas resulting from various factors, including climatic variations and human activities”. Land degradation includes “soil erosion by wind or water, deterioration of the physical, chemical and biological or economic properties of soil and long-term loss of natural vegetation.” Combating desertifi cation includes activities which are part of the integrated development of land in arid, semi-arid and dry sub-humid areas for sustainable development which are aimed at prevention and/or reduction of land degradation, rehabilitation of partly degraded land and reclamation of desertifi ed land (CCD, 1998). The Convention was adopted in 1994 and ratifi ed in 1996. At least 120 countries are parties to the Convention including Kenya, Tanzania and Uganda.

The Convention states that programmes to combat desertifi cation must adopt a democratic, bottom-up approach. They should emphasize popular participation and the creation of an enabling environment designed to allow local people to help themselves to reverse degradation. Among various programmes arising from CCD was one entitled “Sustainable Water Management in the Drylands”. It was developed by the United Nations Development Programme – Offi ce to Combat Drought and Desertifi cation (UNDP-UNSO) in collaboration with the Centre for Development Cooperation Services (CDCS) of the Vrije University of Amsterdam and other partners from the NGO and research communities. It had strategies and sub-programmes for three situations namely: (i) rainfed conditions; (ii) irrigation with emphasis on small-scale applications; and (iii) pastoral land use systems. Promoting Farmer Innovation under Rainfed Agriculture in the Drylands of Sub-Saharan Africa (PFI) was a sub-programme developed for rainfed conditions. Its aim was to sustainably improve rural livelihoods and improve ecosystem dynamics through the identifi cation, verifi cation and diffusion of local innovations related to soil and water conservation (SWC), water harvesting (WH) and natural resource management (NRM). Thus PFI was implemented as a pilot project in Kenya, Tanzania and Uganda with the aim to:

• Promote farmer to farmer exchange visits as a major tool for accelerating the diffusion and adoption of innovative and improved land management, water harvesting and soil and water conservation practices.

• Build the capacity of supporting organisations to experiment and innovate.• Promote a policy at national level incorporating the need to build on and improve the innovative

capacity of land users, and to use innovative farmers in the diffusion process, thus creating a more favourable environment for the rapid adoption of improved resource management techniques.

Needs assessment study

The needs assessment was done in all three countries through stakeholder meetings and a National Planning Workshop. In each case an advisory body was established. Thereafter, stakeholder surveys were carried out and the suitability of the area in addressing CCDs evaluated. A gender assessment study was also done. It recommended gender sensitization and gender skills training for the key agencies, and the necessity to increase the participation of women in PFI through: (i) sensitization of men farmers to appreciate the role of women in innovations, and allow their wives and daughters to participate in training workshops and tours; (ii) review of the selection procedure to make it more gender sensitive; and (iii) to develop a gender sensitive participatory monitoring and evaluation system. The availability of supportive institutions such as NGOs, and good institutional arrangements were also determined.

39

The Capacity Development Strategy/Programme design and implementation

Location of the pilot project areas in relation to CCD

The choice of the pilot project areas in each of the three countries was guided by the need to work in areas experiencing the threat of desertifi cation, and having a relatively high population of poor smallholderland users. To be in line with administrative units, three districts were selected respectively (Figure 1): Mwingi in Kenya, Dodoma in Tanzania and Soroti, Kumi and Katakwi in Uganda (Soroti District was split into three during the project time). Mwingi and Dodoma are in similarly dry areas with mean rainfall between 500 and 750 mm, although the rainfall pattern is somewhat different, while Soroti has a higher mean rainfall. Mwingi has potentially two distinct rainy seasons: November-December and April-May (Jaetzold and Schmidt, 1983). The Dodoma region has one main rainy season between December and April and a very long dry spell between May and November, while Soroti has an average rainfall between 750 and 1 250 mm and usually extends from March/April to October/November with a dry period from mid-June to mid-July, allowing two crop seasons. All three districts, experience droughts and high intensity, erratic rains leading to regular crop failures. Thus, Mwingi and Dodoma are classifi ed as semi-arid while Soroti is dry sub-humid.

Components of PFI

PFI was designed as a capacity building project meant to empower poor smallholder farmers to learn through innovation, experimentation and exposure visits, with the ultimate goal of having farmers in society who would become change agents. Drawing from the experiences of another project in Tanzania, the Indigenous Soil and Water Conservation Project (Kibwana, 2001; Reij et al, 2001), the PFI project was designed to identify and work with farmer innovators. Farmer innovators (FIs) were defi ned (Critchley et al, 1999) as “farmers or land users who innovate. That is, they test and try new methods of conservation or production, on their own initiative, while often using ideas from various sources”.

The concept of FI excludes ‘model farmers’ who have been groomed by projects, as well as ‘hobby’ farmers who are so well resourced and so exceptional that they have nothing to offer to ordinary farmers. The project was visualized as ten steps of fi eld-based activities (Critchley et al., 1999):

1. Identifi cation of FIs and innovations2. Verifi cation of innovations and recruitment of FIs3. Characterization and analysis of FIs and innovations4. Formation of clustered networks of FIs5. Set up monitoring and evaluation systems6. FI to FI network visits7. Study tours for FIs8. FIs develop new techniques and experiments9. Farmers visit FIs10. FIs as outside trainers

40

Figure 1. Location of the PFI project in East Africa

PFI STUDY AREAS IN KENYA, TANZANIA AND UGANDA (EAST FRICA)

41

Each of these ten steps were implemented as follows:

1. Identifi cation of Farmer Innovators

This entailed seeking farmers whose farming practices were innovative, including indigenous practices, which contributed to CCD and food security. This started with stakeholder workshops at district level drawing together government, NGO and private sector practitioners to share experiences and for project planning. This was followed by one-day grassroots stakeholders’ workshops comprising fi eld extension workers (FEWs) from the Ministry of Agriculture and NGOs, to sensitize and commit them to the PFI programme and activities. The FEWs were then dispatched to the fi elds to do preliminary identifi cation of FIs and innovations. The innovations identifi ed went beyond the original scope of land management, water harvesting and soil and water conservation to include other activities like livestock breeding, compost making, pest management, crop production and even metal forging. During the identifi cation exercise, prospective farmer innovators were interviewed and photographs of their innovations taken.

2. Verifi cation of innovations and recruitment of Farmer Innovators

This stage involved the assessment of the FI to determine whether the innovation was genuine. Ideally, this was supposed to be done by a multi-disciplinary team of researchers, extension agents and peer farmer innovators, but in most cases researchers failed to turn up for this activity. The team checked for the condition of the innovation, its inherent impact on food security and CCD, and the willingness of the farmer to participate in the network. The FIs meeting relevant criteria were then recruited, thereby trimming down the total number of farmer innovators originally identifi ed (for example, in Mwingi 80 FIs had been identifi ed but upon verifi cation only 40 were recruited; in Tanzania 100 FIs were identifi ed but 60 were recruited). In total 125 FIs were recruited and distributed as: 40 farmers in Kenya, 60 in Tanzania and 25 in Uganda.

In trying to verify innovations, the following guidelines were followed:• Farmer innovators practise innovations in soil and water conservation (SWC), water harvesting

(WH) or land husbandry (LH).• They often mix their own ideas with ideas from outside.• They respond to recognition and acknowledgement.• They are curious and take pride in their achievements.• They may be men, women, young or old.• They are not hobby farmers with ‘loads of money’.• They are not ‘supermen’ or rejected by the normal population.• Their innovation(s) may be new and effective.• Their innovation(s) may be an on-going experiment with results unproven.• Their innovation(s) may be a modifi cation of a tradition or of an introduced system.

3. Characterization of Farmer Innovators

The characterization and recruitment of farmer innovators was done by the stakeholders. The farmer was visited and asked relevant questions and the answers recorded in characterization forms. Characterization was followed by analyses of the person, the innovation and the inherent impacts.

42

The innovative activities of the farmer were discussed along with photographs of the innovation. After this, the farmer was declared innovative or non-innovative. In each country, effort was made to ensure that each innovation was different, although some of the farmers had more than one innovation.

4. Formation of clustered networks of Farmer Innovators

Since the districts are large in spatial extents, FIs who live close to each other were grouped into clusters to facilitate easier training, exposure tours and other activities. Effort was made to balance each network for gender, age and types of innovations to improve heterogeneity.

5. Setting up monitoring and evaluation systems

Through discussions between partners (farmers, researchers, extension workers), the methodology to be used for monitoring and evaluation was agreed upon, including the responsibilities of each group (who measures/analyses what and for what purpose). The emphasis was on measurable indicators based on parameters that the farmer can recognise. Researchers from universities and National research stations were involved in analyses of soils, plants and other aspects of soil and water management.

6. FI to FI network visits

This step helped to improve intra-cluster networking and learning from each other. It was found that even farmers living close to each other were sometimes unaware of the innovations of their neighbours, and lack of recognition for the innovation. To encourage this, cluster members visited each other in group rotations, to learn and exchange ideas. Within a short time, FIs were copying innovations from their neighbours. One example is that of Lucia Kakundi, who had innovated planting pits for sugar cane and, until the PFI project, had been the only farmer using the pits and harvesting a large crop. After the FI to FI visits, there were many farmers who started digging planting pits for sugar cane.

7. Study tours for Farmer Innovators

The cluster FIs were also given training both in workshops and through exposure visits. In workshops, they learnt communication, shared experiences, asked questions and this generally improved group dynamics. Exposure tours were usually made to other districts having nearly similar agro-climatic zones, but where farmers were using better methods of land husbandry. For instance, farmers from Mwingi in Kenya were taken to Makueni, while those from Soroti in Uganda were taken to Mbarara for fi eld visits. It was found that FIs who participated in exposure visits had learnt a lot and most of them were already trying out the innovations learnt. In addition, they claimed that their neighbours had already started adopting their innovations, after paying the FIs a visit.

8. Farmer Innovators develop new techniques and experiments

During this stage, farmers were experimenting with new innovations learnt through exchange visits and exposure tours. There was need for monitoring and evaluation, and targeted involvement of researchers to provide technical expertise. Documentation of the innovations was planned to be done and processed into

43

extension messages that could be shared between FIs and other farmers. The most successful at this was Tanzania, where theme-based booklets were published in the Kiswahili language for use by farmers.

9. Farmers visit Farmer Innovators

Farmer to FI visits constituted capacity building among the non-FIs, which was the ultimate goal of the project. It involved dissemination of the extension messages developed to other farmers, through farm visits and meetings. The target was to reach about 1 000 ordinary farmers in each country with at least one innovation. It was assumed that there would be at least an innovation suitable for every farmer, since some of the innovations were rather niche-relevant.

10. Farmer Innovators as outside trainers.

This step was visualized to have developed capacity among farmers to the extent that they would go out as extension agents, through farm visits, addressing barazas, radio programmes. This was based on the principle that farmers often learn best from other farmers. The normal extension agent would act as organizer and facilitator. However, this step did not take off very well because it was diffi cult to organize incentives for farmers to leave their normal work and go out as extension agents. The local people were too poor to pay for extension services, while the Government had its own extension staff, and therefore could not fi nance that aspect.

Factors associated with the success of PFI

Capacity building

Capacity building under PFI was provided at two levels: that of the stakeholders, and that of the farmers. During the training of the farmers, they prepared lessons on fl ip charts, and made presentations of their innovations. It was observed that farmers were very proud of their innovations and presented their lessons with pride. The farmers indicated that learning from each other was the greatest benefi t they got through the PFI programme. Participation of farmers was voluntary, without payment except for sponsored events like workshops and exposure tours. It has been noted that material handouts can distort the good objectives of the PFI project and thus incentives to FIs were channelled in the form of prizes after a competition, exposure tours and training. The most important aspect of capacity building was the farmer-to-farmer interaction, and learning from tangible activities on the ground.

Documentation and publications

There was regular documentation of PFI activities in the form of annual, semi-annual and quarterly reports and work plans. In addition, proceedings of workshops, minutes of Advisory Board Meetings and Tripartite Review reports were all well documented. At the grassroots level, FIs were trained and encouraged to keep records of their farming activities, such as costs of labour, inputs and yields. In addition, farmers retained a visitors book in which they recorded all visitors associated with their innovations.

44

Impacts and potential of PFI

The farmers participating in PFI indicated that they had gained new knowledge after exposure tours organised by PFI and the networking workshops, and they were experimenting new ideas on their farms. They were happy at the opportunity to interact with other farmer innovators, and were proud to be recognised as innovators (Thomas and Mati, 1999). PFI was having a positive impact in enhancing extension work in land management, water harvesting and soil and water conservation, through farmer-to farmer contact. The practices promoted as a result of PFI were generally valuable whether strictly innovative or not and, in so far as they were improving the availability of water and nutrients for crop production, they can be extremely useful in dry areas. The practices that were particularly promising and popular among farmers in the three countries were:

• water harvesting from roads, compounds and grazing areas;• excavation of holes to reach down to shallow water table levels;• use of planting pits of various depths and sizes;• soil fertility improvement through manure applications and composting;• innovative methods of preparing compost and liquid manure;• trench farming using buried residues;• gully rehabilitation for crop production;• digging of channels and utilizing them for tree crops;• integrated pest management;• soil borrowing for land reclamation or for use with bag planting;• tree nursery preparation and management; and• fruit tree growing and management.

Institutional arrangements and technical backstopping

PFI was implemented as a UNDP-UNSO project. On the ground, PFI was coordinated by the National Project Coordinator (NPC) in each country, hosted by an NGO or government. In Kenya the implementing agency was GTZ/IFSP-E; in Tanzania it was the NGO INADES-Formation (Institut Africain pour le Développement Economique et Sociale); while in Uganda it was the Ministry of Agriculture, Animal Industry and Fisheries (MAAIF). PFI worked closely with the Ministries of Agriculture in each country, research institutions and the National Action Plans (NAP/CCD Focal Point). In addition, the project worked with local NGOs and CBOs at grassroots level in each country.

Gender aspects

One of the tenets of PFI was to have gender parity at all levels, especially among the farmer innovators. After all, women in the target communities play a major role in food production However, gender balance among the FIs and PFI staff in the three countries was poor. In Kenya, only 6 out of 40 FIs were women, in Tanzania the ratio was 40 percent, while in Uganda only 4 out of 25 were women.

The reasons for the poor gender balance were found to be:

45

• Compared to men, the status of women is low as they do not control the proceeds of their labour, nor do they make major decisions over use of land or other resources.

• Culturally, the man owns the land, and is responsible for all the activities on the land including the innovations.

• In a family set-up, the man would come forward as the innovator even if the wife may have played a major role in the innovation.

• Many women are shy and would prefer to have the innovation recognised as that of the man.• The man is likely to have had more previous exposure than the woman through travel, interaction

or otherwise and therefore likely to be more innovative.• A woman’s access to land and decision making on new farming activities is rather limited, as she

has to get permission from her husband, father or brothers.

Problems faced

The value of farmer to farmer extension as shown through PFI is clear but one of the risks of the programme was that certain farmers were given very high profi les. They were singled out as experts in certain respects and trained how to pass on their knowledge and experience to others. They were taken on tours within the country and the region and some even given prizes. They received many visitors and became the envy of the village. This elevated them socially thus rising above their peers, and undermining the FI to farmer interaction. This situation could be reduced by working more with farmer groups than with individuals.

PFI concentrated mainly on innovations that lead to improvements in the management and production of cropland. Less attention was given to grazing land. In all three areas where PFI operated there were larger portions of grazing lands than crop land. Desertifi cation is usually more conspicuous on grazing land due to the pressure of livestock. It would have been good for PFI to look for innovative ways of managing livestock and grazing land that would lead to improved production without degradation.

There were confl icts regarding the role of extension staff in case farmers succeeded being the new exchange agents. However, there was a need to defi ne the roles of each group. This was because each extension worker has a very important role in helping to answer questions that farmers had not been trained on. The exposure visits, though quite effective, were also very expensive to implement and it was not possible for the farmers to continue with them without project funding.

Conclusions

PFI made a good impact in all three countries, and the approach was well understood by those involved. There were signifi cant results in the form of farmer innovators who had been encouraged and trained to share improved methods of LM/SWC and WH with other farmers. There was also an increasing number of farmer adopters who took up new methods that they had seen through the opportunities created by the project; with a total of 125 innovations, the wealth of knowledge among farmers was impressive. While there was a bit of overlap in some of the innovations, most were new, at least to the areas where they had been adopted, and were different from each other. It should be noted that these innovations were

46

not exhaustive. In addition, the innovations varied in each of the three countries. The need to be more inclusive of other innovations beyond the original mandate enriched the experiences of the farmers and complemented their efforts.

The mode of capacity building in PFI through networking workshops, training of trainers (TOT) seminars and exchange visits was effective in reaching many farmers faster. Other than identifying innovations, documenting them for posterity and motivating FIs, the greatest contribution of PFI to the livelihoods of farmers was in capacity building. Exchange visits were rated highly by the farmers although the networking workshops had also helped especially in teaching farmers record keeping and learning from each other. However, the target of 1 000 farmers to be trained through PFI in each of the three countries was too small compared to the total population in each project area.

In terms of institutional arrangements, the underlying concepts of PFI were equally relevant to Ministries of Agriculture and to NGOs. It was important that the Ministries of Agriculture got closely involved for several reasons. In the fi rst place, the Ministries have staff in all parts of the country and have a natural channel for the extension of new and successful technologies or approaches. Secondly, the Ministries have trained staff and therefore a permanent presence in each part of the country. On gender, the PFI programme was male dominated, having low participation of women as only 10-40 percent were women farmer innovators, 5-10 percent adopters, while only 30 percent participated in routine meetings. These achievements fall short of the 50 percent target for women involvement in PFI, even though gender sensitization was done.

The PFI concept relied on fi nding out what the innovative farmers were doing and extending their knowledge and experience to other farmers. This raises questions about the role of the existing extension workers and the extension system. PFI had an important role to play in changing attitudes of extension workers. It was necessary to train the extension workers on how to facilitate farmer to farmer learning and how to disseminate the technologies that would help them improve production and incomes. Information dissemination through publications (Critchley et al, 1999; Mutunga and Critchley, 2001) helped promote the ideals of PFI beyond its borders, and the methodology was incorporated in the Farmer Fields Schools (Duveskog, 2001) Phase II project.

It was hoped that the impacts of PFI on desertifi cation would become more apparent as innovations spread to more farmers. Even then, there were excellent examples of improved land management, soil and water conservation and water harvesting techniques adopted by farmers, who were not innovators themselves. Thus, PFI made an important contribution to CCD in all three countries and was one of the few programmes arising from CCD that made an impact on food security and rural poverty by promoting forms of land management that make better use of soil and water resources and minimize degradation.

References

Abbay, F., Haile, M. & Waters-Bayer A. 2000. Identifying farmer innovators in Tigray, Ethiopia. In:Farmer Innovation in Land Husbandry. Mitiku, H.; Waters Bayer, A.; Lemma, M.; Hailu, M.; G/Anenia, B.; Abbay, F. and GebreMichael Y. (eds), Proceedings of Anglophone regional workshop, 6-11 February 2000. Mekelle, Tigray, Ethiopia. 11-14.

47

Bittar, O.J., 2001. Water conservation and harvesting – Busia Experience. Water Conservation, harvesting and Management (WCHM) in Busia District, Kenya – A minor fi eld study. Soil and Water Conservation Branch, Ministry of Agriculture.

CCD. 1998. United Nations Convention to Combat Desertifi cation in those countries experiencing serious drought and/or desertifi cation, particularly in Africa.

Chambers, R., Pacey, A. & Thrupp, L.A. (eds) 1994. Farmer First. Farmer innovation and agricultural research. Intermediate Technology Publishers. London

Critchley, W., Cooke, R., Jallow, T., Njoroge, J., Nyagah, V., & Saint-Firmin, E. 1999. Promoting farmer innovation: Harnessing local environmental knowledge in East Africa. Workshop Report No. 2. UNDP- Offi ce to Combat Desertifi cation and Drought (UNSO/SEED/BDP) and Sida’s Regional Management Unit, Nairobi.

Duveskog, D. 2001. Water harvesting and soil moisture retention. A study guide for Farmer Field schools. Ministry of Agriculture and Farmesa, Sida, Nairobi.

Haile, M.,Waters-Bayer, A., Lemma, M., Hailu, M., G/Anenia , B. Abay, F. & GebreMichael, Y. (eds). 2000. Farmer Innovation in Land Husbandry. Proceedings of Anglophone Regional Workshop (6-11 February 2000) Mekelle, Tigray, Ethiopia.

Haile, M. & Lemma, M. 2000. Analysis of innovators and innovations in Tigray. In: Farmer Innovation in Land Husbandry. Haile, M.,Waters-Bayer, A., Lemma, M., Hailu, M., G/Anenia , B. Abay, F.and GebreMichael, Y. (eds). Proceedings of Anglophone Regional Workshop (6-11 February 2000) Mekelle, Tigray, Ethiopia. 65-67.

Haile, M., Abay, F. & Waters-Bayer, A. 2001. Joining Forces to discover and celebrate local innovationin land husbandry in Tigray, Ethiopia. In: Farmer Innovation in Africa. A source of inspiration for Agricultural Development. Reij, C. and Waters-Bayer, A. (eds). Earthscan, London. 58-73.

Jaetzold, R. & Schmidt, H. 1983 Farm management handbook of Kenya. Vol. II/B. Central Kenya.Ministry of Agriculture, Nairobi.

Kampen, J. 1992. East Africa. In: Agricultural Research in an era of adjustment. Policies, Institutionsand progress. Tabor, S. R. (ed). The World Bank, Washington D.C. 133-146.

Kibwana, O.T. 2001. Forging partnerships between Farmers, Extension and Research in Tanzania. In: Farmer Innovation in Africa. A source of inspiration for Agricultural Development. Reij, C. and Waters-Bayer, A. (eds). Earthscan, London. 51-57.

Mutunga, K., Critchley, W., Lameck, P. Lwakuba, A. & Mburu, C. 2001. Farmers’ initiatives in land husbandry. Promising technologies for the drier areas of East Africa. Technical Report No. 27. RELMA, Nairobi.

48

Norman, D.W., Siebert, J.D., Modiakogotla, E. & Worman, F.D. 1994. Farming systems research approach: A primer for Eastern and Southern Africa. F.S. Programme, UNDP, Gaborone, Botswana.

Reij, C. & Waters-Bayer, A. (eds) 2002. Farmer Innovation in Africa. A source of inspiration for Agricultural Development. Earthscan, London.

Republic of Kenya 2001. Poverty Reduction Strategy Paper for the Period 2001-2002. Ministry of Finance and Planning, Nairobi.

Sanders, J.H. & Macmillan, D. 2001. Agricultural Technology for the Semiarid African Horn. Vol. 1: Regional Synthesis. IGAD/INTOSORMIL/USAID-REDSO. Djibouti.

Thomas, D.B. and Mati, B.M. 1999. Promoting farmer Innovation in Rainfed Agriculture in Sub-Saharan Africa. Mid-term evaluation of PFI programmes in Kenya, Tanzania and Uganda for the UNDP/UNSO. A consultancy report. Nairobi.

49

5. The creation of Capacity Development of interstate water collaboration in the Aral Sea Basin

by

Prof. Viktor A. Dukhovny, Scientifi c Information Center of Interstate Commission for Water Coordination in Central Asia, Tashkent

Abstract

The creation of Capacity Development of interstate water collaboration in the Aral Sea Basin

The unity of water resources from two principal rivers of the Aral Sea basin – the Amudarya and the Syrdarya is required from fi ve former Soviet Union’ States (Kazakhstan, Kyrgyzstan, Tadjikistan,Turkmenistan and Uzbekistan) to develop a strong partnership in joint management and development of transboundary water resources immediately after achieving independence (September, 1991). The establishment of the Interstate Commission for Water Coordination (ICWC) was the fi rst step towards building capacity to promote such cooperation (the interstate agreement was made on 18 February 1992). Capacity Building (CB) within the ICWC is developing in several directions: CB to cooperate; CB of regional organizations; and CB of national organizations.

The mainstream of this development has been fi xed in “The Principal Provisions of Regional Water Strategy of Aral Sea basin” expanded in the form of:

• Creation of regional and national information systems• Network of regional organizations and their branches• Training system of ICWC with several branches• Implementation of IWRM• Creation of regional and national communication networks• Implementation of SCADA system on the major structures on rivers• Organization of work for setting up the legal framework of collaboration

The inherent diffi culties of capacity development for conditioned States transferred from a socialistic system to a market system should be based on the statement that it needs to include not so much new development but measures for saving old capacities and adopt them in a new situation. At the present time ICWC and all fi ve states are carrying on “Strategic Planning of Future Development and Water Management” oriented to cope with infl uences of destabilizing factors for the next 25 years.

In addition to history of CB development the case study should include the following:• a diagnostic study of current problems in regional collaboration and national policies;• action plans for merging above mentioned directions of CB in a unifi ed and complex manner;• overcoming diffi culties of fundraising and weakness of some national economics;• involvement of donors in strategic planning and implementation; and• timetable for setting up CB programme.

50

Introduction

Background of the situation in the Aral Sea Basin

The Aral Sea Basin is located in arid and semiarid zones and covers the territory of the fi ve former Soviet Union and now Central Asian states: Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan, and Uzbekistan. Northern Afghanistan, one of the oldest regions of world civilization, is also hydrologically and ethnically linked to the Aral Sea basin due to development of water and irrigation. The basin comprises the watersheds of the two great rivers: the Amudarya and the Syrdarya with their tributaries and many small rivers and creeks, which are now divided from their "foremother", namely both rivers, as a result of intensive irrigation (Figure 1).

Figure 1.

The Soviet system had built up on the basin territory a huge complex of water management structures: gigantic dams and water reservoirs, well-developed irrigation network, the biggest pump stations such as Karshi cascade, Djizak cascade and the longest canal, namely, the Karakum canal with a discharge 600 m3/sec and length of 1260 km. This complex as a whole was managed by a single institutional structure from "top to bottom" in accordance with strict procedure of water manipulation, water allocation and water compensation.

This system enabled delivery and allocation of water successfully by means of a huge water infrastructure coupled with vast sums of operational costs covered by the central government at inter-farm and even on-farm levels, including the costs of operation and maintenance of drainage. However, this water management system suffered from two immense shortcomings. Firstly, water users’ and

51

consumers’ opinions have not been taken into consideration; as a result, the transition of Central Asian countries’ agriculture and economies in general to market-oriented principles showed that many water users became insolvent and not self-suffi cient. Secondly, environmental considerations were largely neglected in favour of the needs of water users; hence ecological and sanitary requirements, along with the environmental needs of deltas, Priaralye and the Aral Sea itself were not taken into account and the scope of the problems was understated.

Some aspects of Soviet heritage, however, have had positive impacts on current and future development of the region. They are:

a) high level of water education, science and skills combined to provide a fi rm basis for building capacity of specialists engaged in water management;

b) teamwork of water specialists of the former Soviet Union Republics - working under one leadership within one system according to similar standards, rules, methods and approaches - created good conditions for sustainable work of future generations: their aspiration has been to keep the coordinated approach that was formed in Soviet times; and

c) water organizations (BWOs) and allocation of huge investments to various projects, particularly to water supply and social improvements in 1986 (Figure 2) had an immense inertial effect, ensuring smooth operation and transition of water management from the former political formation to a different one - from imperfect socialism to other forms of primary accumulation of capital with various degrees of transition accomplished in different countries.

Figure 2. Chronology of the Aral Sea Basin events

52

On achieving independence from the Soviet Union in 1991, the fi ve states faced a need to cope with new conditions by organizing joint corporative water management in the basin. To the credit of the governments of Central Asian states, such a decision was made – the Interstate Commission for Water Coordination (ICWC) was established in accordance with the Agreement on Cooperation in the Field of Joint Management of the Use and Protection of Interstate Water Resources dated 18 February 1992, and approved by the heads of the states on 23 March 1993. ICWC is a collective body that manages transboundary rivers and is responsible for: water allocation among countries; monitoring and preparation of preliminary assessments of proposals on institutional, ecological, technical, and fi nancial approaches, based on decisions mutually agreed by all sides. Two BWOs (Amu Darya and Syr Darya), the Scientifi c-Information Center, and ICWC Secretariat are executive bodies of the Commission.

ICWC took over responsibilities for water management in both basins directly from the former Soviet Ministry of Water Resources, but with appropriate changes refl ecting the creation of fi ve new independent states:

• The Commission has fi ve members appointed by the governments. They have equal rights and obligations. They meet once in a Quarter to decide on all issues related to their activities and responsibilities. The decisions are reached only on a consensus basis.

• Two BWOs were transformed into the executive bodies of ICWC; in a similar way part of the Central Asian Scientifi c Institute for Irrigation (SANIIRI) was transformed into the Scientifi c-Information Center (SIC) of ICWC to act as a ‘think-tank’ for the commission.

• All issues for the ICWC meetings, in accordance with their agenda, should be prepared by the executive bodies and disseminated among the members twenty days before the meeting; this allows each country to prepare its comments and opinions.

• The principles of water allocation that existed in Soviet times have been retained for the purpose of annual planning until new regional and national water management strategies would be developed and adopted.

The activities of ICWC for the last 13 years is a unique example of collaboration among fi ve states not only in joint planning, exchange of information, but also in real management, operation and monitoring of transboundary water resources in a single way.

Some of the reasons which formed the conditions for such collaboration are:• common historical, ethnic, customary and even religious roots of all nations in the states;• mutual activities in the Soviet period;• political will of leaders of the fi ve states and understanding of decision-makers of the importance

of water issues for the region; and• creation of proper "Aral Sea spirit" between water specialists and professionals, involved in

water management in the region.

This platform, as was mentioned at the Jubilee ICWC Conference in 2002, enabled the organizationof a smooth transition from the command style of water management to new and more democratic water collaboration on a regional basis (see Figure 2 above) with the following principal results of the Commission’s activity:

• Confl icts in water management, operation and allocation among the countries of the region have been avoided.

53

• Thirty-two meetings of the Commission have been held, and have determined all activities undertaken by the ICWC and its bodies.

• A range of important legal, fi nancial and institutional proposals have been prepared and submittedto the governments of the states, defi ning the principles of interaction on water issues. Two of these documents have been signed by the heads of the states as international agreements.

• The volume of water used in the region has been reduced from 110 to 103 km3.

In terms of the second contrasting challenge, three weaknesses of the social and economic situation of transient societies should be taken into account:

• High rate of population growth and adverse economic conditions are the two principal destabilizing factors that have complicated improving the water situation, and simultaneously ask to solve the problems using low cost (mostly organizational and economic) methods.

• Water, land and mineral resources are distributed inequitably among the states. On the one hand this initiated a tendency to "hydroegoism," on the other hand it was argued that this induced the only way to guarantee survival and future development: close cooperation, collaboration, and the creation of a cooperative Central Asian market for food and agricultural production (perhaps together with Russia).

• Some local and sectoral interests, aspiring to be the "nouveau riche" in the new economic market (sometimes a very erratic market), have speculated in water as they have done with oil, gas and fuel. This has created obstacles in the path of collaboration, but society needs to make such economic activity unviable.

As a whole ICWC has managed with all the complex situations of water supply and provision even during dry years without confl icts; however, in view of probable restrictions of options for the future, management procedures and capacity should be properly improved and created that would be adequate to change social-economic, political and nature conditions.

Analysis of problems

The fi rst offi cial identifi cation of existing problems in water management and water use on behalf of ICWC was presented in “The Principal Provisions of Regional Water Strategy of Aral Sea Basin" (GEF Project 1996-97, Prof. J. Kindler, Task Manager and Prof. V.A. Dukhovny, Regional Coordinator). This document was prepared by a working group comprising the representative of all fi ve States on an equal basis, and then it was confi rmed by the fi ve governments. The problems were divided as international and national ones.

The regional problems were listed as follows:• potential confl ict between hydropower production and irrigation;• weak attention to ecological issues;• weakness of staff capacity since independence;• collapse of former Soviet information network and lack of a new one;• not all countries have their representatives in the regional organizations;• procedure for fi nancial contribution from all states in support of regional organizations were not

confi rmed by the states; and• not all branches of water economy introduced in ICWC.

54

The national shortcomings vary depending on some common features that are listed below. • The water sector at the national level in its present form chiefl y represents the interests of

agriculture. National water organizations should represent equally the interests of irrigation and (particularly) hydropower, and set priorities for water supply, water storage, and similar measures.

• The administrative principle that is still in force in the water sector and irrigation creates local pressures from provincial and district administrations’ side on the principle of equalwater supply that in turn affects all water consumers.

• From the launching of water management and irrigation projects up to theirimplementation, relevant decisions are made only by the state agencies without any input from current or potential water users. As a result, there is a situation where the costs of irrigation systems and water structures, which are transferred (completely or partly) to water users, cannot be recovered by water users.

• Policy of transferring operation and maintenance costs to water users depresses the maintenance system and simultaneously complicates issues related to the development, rehabilitation and upgrading of irrigation systems.

• In respect of legislative and fi nancial aspects, there are very vague and unclear issues, especiallyregarding distribution of responsibilities between users and state budgets in all countries.

The complicated process of capacity building for new water sectors in fi ve states and on the interstate regional level cannot be analyzed as statistics – almost 15 years of functioning under new conditions led to big transformations in governance and the same in measures carried out in capacity development. From this point of view the dynamics of time and execution should be recognized.

The establishment of ICWC and its bodies was accompanied with an approval of the fi rst Aral Sea Basin Programme (ASBP-1) by the fi ve Central Asian states in 1994. Analysis of existing problemstransformed in capacity building needs assessment enabled preparation of a “Diagnostic study". This study generalized proposed measures, decisions and their implementation to four super problems and subsequent subproblems. The information about the results of this study contributed to a proper view of current problems, in particular, it has demonstrated on which points closer attention was given, and the points which were set aside (Table 1).

The conclusion is very clear – all the attention concentrated on smoothing out growing transboundary problems and decisions regarding reassessment of the new approach to management. Such priority on these two super problems caused by the danger of not guaranteeing water supply and delivery of water to huge irrigation networks, which are supplying the needs of 60 percent of the rural population, in one or other measures connected with agricultural production. Decision-makers could not ignore these urgent needs because it could create social disaster and catastrophic exposure of people to violence. However, subproblems related to next two super problems, namely a lack of fi nancing, economic failure and environmental concerns, remain without action, because they deal with long-term vision, which are now out of sight and the hearts of decision makers. Nevertheless, the need to meet these requirements could not be completely out of spectrum of the national governments’ plans, which approved in 2003 the so-called "Aral Sea Basin Programme – 2" (ASBP-2). ASBP-2 covers most of the indicated problems.

55

Tab

le 1

.

Pro

blem

Sub-

prob

lem

Mea

sure

s an

d so

luti

ons

12

3

1. O

rigi

n of

tr

ansb

ound

ary

cond

ition

s as

a

cons

eque

nce

of

CA

R c

ount

ries

ga

inin

gin

depe

nden

ce

• T

rans

boun

dary

issu

es w

ith w

ater

allo

catio

n•

Dif

fere

nt p

rior

ities

of

dow

nstr

eam

and

ups

trea

m

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s an

d se

ctor

al tr

end

• In

ter-

sect

or c

ontr

adic

tions

in r

elea

se r

egim

en

• D

iffi c

ultie

s of

inte

stat

e fi n

anci

ng o

f m

utua

l ser

vice

s•

Dif

fi cul

ties

in e

ffi c

ient

wat

er m

anag

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t•

Col

laps

e of

com

mon

sys

tem

of

wat

er a

ccou

nt a

nd

fore

cast

• G

row

ing

"hyd

roeg

oism

"• • • • •

• D

evel

opm

ent o

f lo

ng-t

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pol

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and

agre

ed o

bjec

tive

crite

ria

in w

ater

al

loca

tion

and

use

• Fi

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g ac

cept

able

and

equ

itabl

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les

of m

anag

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t and

reg

ulat

ion

of

basi

n m

anag

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t in

diff

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t con

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ns

• D

evel

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val o

f fi n

anci

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for

inte

rsta

te s

truc

ture

s an

d jo

int w

orks

• In

trod

uctio

n of

SC

AD

A s

yste

m a

nd e

stab

lishi

ng b

asin

com

mitt

ees

with

st

akeh

olde

r pa

rtic

ipat

ion

• E

stab

lishi

ng r

egio

nal h

ydro

met

serv

ices

und

er I

CC

aus

pice

• D

evel

opm

ent o

f co

mm

on in

form

atio

n m

anag

emen

t sys

tem

at B

WO

, M

AW

R, e

colo

gic

NG

Os

with

bro

ad in

volv

emen

t of

conc

erne

d pa

rtie

s

2. C

olla

pse

and

wea

keni

ng o

f st

rict

“to

p-do

wn”

m

anag

emen

tan

d ne

cess

ity

for

dece

ntra

lized

m

anag

emen

t

• In

crea

sing

org

aniz

atio

nal l

osse

s•

Wea

keni

ng c

ontr

ol o

ver

wat

er a

lloca

tion,

acc

ount

and

us

e•

Org

aniz

atio

nal w

eake

ning

of

man

agem

ent

• L

osse

s an

d pr

epar

atio

n of

qua

lifi e

d st

aff

• A

bsen

ce o

f at

tent

ion

to w

ater

con

serv

atio

n• • • •

• IW

RM

intr

oduc

tion

• Pu

blic

invo

lvem

ent t

o m

anag

emen

t, es

tabl

ishi

ng W

UA

s, S

yste

m

Com

mitt

ees

(Cou

ncils

)

• E

stab

lishi

ng n

ew s

truc

ture

s w

ith p

artic

ipat

ion

of c

once

rned

par

ties

• T

rain

ing

syst

em d

evel

opm

ent

• Se

t of

mea

sure

s on

wat

er a

vaila

bilit

y in

cent

ives

cre

atio

n (e

xten

sion

serv

ices

, pay

men

t blo

ck s

yste

m, p

rivi

lege

s fo

r w

ater

sav

ing)

56

Pro

blem

Sub-

prob

lem

Mea

sure

s an

d so

luti

ons

3.

Eco

nom

ic

decl

ine

and

fund

ing

scar

city

• L

ow w

ater

use

rs’

mea

ns i

nvol

vem

ent

to f

und

wat

er

sect

or•

Est

ablis

h pr

ogre

ssiv

e sc

ale

of w

ater

cha

rges

• E

stab

lish

cred

it sy

stem

s fo

r w

ater

use

rs to

pay

for

wat

er s

ervi

ces

• St

ates

do

no

t co

ntri

bute

to

su

ppor

t in

ters

tate

in

fras

truc

ture

• St

ates

red

uced

int

erst

ate

stru

ctur

es

fund

ing

by 1

0 tim

es;

ther

e is

no

mea

ns f

or i

ts r

econ

stru

ctio

n an

d m

oder

niza

tion

• D

evel

opin

g an

d ap

prov

ing

by s

tate

s no

rms

of O

&M

fun

ding

; su

ppor

t of

in

ters

tate

infr

astr

uctu

res a

nd b

odie

s; o

blig

ator

y fu

lfi llm

ent o

f res

pons

ibili

ties;

du

e to

sca

rcity

of f

unds

fund

-rai

sing

from

don

ors

and

orga

niza

tion

of p

rior

ity

fund

ing

for

sust

aina

ble

func

tioni

ng

• W

ater

us

ers

cann

ot

pay

for

wat

er

deliv

ery

and

serv

ices

• C

olla

pse

of ir

riga

tion

and

drai

nage

net

wor

k, e

spec

ially

at

on-

farm

leve

l

• W

ater

sec

tor

lost

its

prio

rity

• E

stab

lish

grad

atio

n of

wat

er u

sers

’ in

volv

emen

t in

wat

er s

ecto

r fu

ndin

g de

pend

ing

on th

eir

spec

ifi c

prod

uctiv

ity; i

nclu

de p

aym

ent f

or h

ouse

hold

s•

Attr

act l

oans

and

gra

nts

from

inte

rnat

iona

l fi n

anci

al o

rgan

izat

ions

to im

prov

e w

ater

sup

ply

and

fulfi

llmen

t of

prio

rity

obl

igat

ions

• In

trod

uce

spec

ial p

rogr

amm

e on

"Ir

riga

ted

land

dra

inag

e”

• N

egle

ctin

g in

ters

tate

nee

ds f

or t

rans

boun

dary

obj

ects

m

oder

niza

tion

• In

crea

sing

sta

tus

of w

ater

-rel

ated

org

aniz

atio

ns a

nd t

heir

tra

nsfo

rmat

ion

into

inte

r-se

ctor

bod

ies,

pro

vidi

ng th

eir

need

s in

clud

ing

inte

rsta

te f

undi

ng a

s pr

iori

ty d

rive

n.

4.

Neg

lect

ing

ecol

ogic

issu

es

• A

ral s

ea s

hrin

king

and

del

ta d

eser

tifi c

atio

n

• R

iver

wat

er q

ualit

y w

orse

ning

• G

row

ing

irri

gate

d la

nd s

alin

izat

ion

and

wat

erlo

ggin

g

• Fl

ow

form

atio

n zo

ne

degr

adat

ion

by

eros

ion

and

defo

rest

atio

n

• A

ppro

val o

f obl

igat

ory

rele

ases

to th

e de

lta a

nd A

ral s

ea; s

tric

t obs

erva

nce

of

thes

e re

leas

es b

y IC

WC

and

BW

O•

Set

of n

atur

e pr

otec

tion

mea

sure

s fo

r Pr

iara

lie n

ew s

usta

inab

le e

colo

gic

profi

le e

stab

lishi

ng•

Wat

er c

onse

rvat

ion

polic

y an

d re

turn

and

gro

undw

ater

util

izat

ion

savi

ng

rive

r w

ater

• St

rict

lim

its f

or s

alt d

ispo

sal t

o th

e ri

vers

• Pr

iori

ty-d

rive

n fu

ndin

g of

or

gani

zatio

nal

mea

sure

s on

dr

aina

ge

O&

M

impr

ovem

ent a

nd ir

riga

ted

land

rec

lam

atio

n•

Dev

elop

men

t of

st

rate

gy

for

fl ow

fo

rmat

ion

zone

co

nser

vatio

n an

d es

tabl

ishi

ng i

nter

natio

nal

prog

ram

mes

to

supp

ort

mou

ntai

n la

ndsc

apes

and

gl

acie

rs

57

CB needs assessment and lessons learned

The previous 12 years of activity of the regional and national organizations resulted in a large number of previous problems and subproblems getting addressed and decisions taken either fully, in part or in the initial stage. The remaining problems have been classifi ed into fi ve groups:

• Legal and institutional aspects of interstate and national CB• Financial aspects of CB• CB for BWOs• CB for Hydrometservice• CB for ICWC

Legal and institutional aspects of CB

Preparation of legal tools for collaboration was started by ICWC decision in 1996 and led to the preparation of four agreements, which cover major directions of joint activities of the fi ve states on the transboundary waters: institutional arrangement, information exchange, regulations of water use and environmental protection. During the period 1996–1999 drafts of these agreements were negotiated during the meetings of working groups represented by each state and regional organization.

The other framework agreement was signed in 1998 on the Syrdarya River, between Kazakh, Kyrgyz and Uzbek governments (later joined by Tajikistan) and agreed on conditions for release of water from the Toktogul reservoir in summer with delivery of gas, oil, coal and winter power. Although the Agreement of 1998 did not pass the test of time and its provisions has to be supplemented in reality each year by the interstate protocol, it played a proper role in the creation of legal conditions of water management on Syrdarya River.

Results of this activityWater resources specialists as well as NGOs acquired extensive knowledge and orientation in principal provisions of International Water Law and proper experience in providing negotiations for single method preparation of mutual legal regulations. The experience of two framework agreements, signed by States, is positive and may serve as an indicator of political will to get a strong legal long-term base for mutual activity on the transboundary waters.

Decision on legal and institutional aspects of regional level should concentrate attention on:• preparation, agreement and approval by the national governments of principal interstate agreements such

as “Agreement on the Exchange of Information and the Establishment of the Aral Sea Basin Database for the Transboundary Water Resources; Agreement on Strengthening the Institutional Structure for the Aral Sea Basin Transboundary Water Resources Management, Protection and Development; Agreements on the Rules for Water Use on the Amudarya and Syrdarya rivers (separately); and Agreement on the Ecological Sustainability of Transboundary Waters of Aral Sea Basin; and

• assumption of the "common use" doctrine as a basis for inter-sectoral water relations.

Simultaneously strengthening regional bodies of ICWC along with enhancing their rights, authorities and responsibilities should be done. Institutional strengthening collaboration, described in a corresponding Agreement, will decide all aspects of fi rst priority at the interstate organizing level.

58

The improvement of national water laws started with the New Water Code of Kazakhstan (2003), Kyrgyzstan (2004), Turkmenistan (2005), Decree of the President of Uzbekistan titled "The implementation of hydrographic methods of water management" (2003); and some other national legal documents.

Transfer to basin and sub-basin management uncovered the need to include in the National Law involvement of stakeholders at all levels of the water hierarchy. Public participation should create the atmosphere of transparency and openness, in which the probability of making decisions that do not meetpublic interest decreases. The broader public participation, the less favourable conditions for corruption and neglect of public interest. This would help to prevent local or agency level egoism in water use. This is a platform for equitable, responsible decisions on water allocation under growing water shortages with respect to the nature and other members of society.

Lessons learned• Setting up adequate legal framework on transboundary waters requires permanent activities of a

working group, authorized by the national governments, delegating them strong responsibilities for similar works expected on the national levels.

• The working group should be multisectoral with representatives of all stakeholders and ministries interested in water use to promote negotiations and mutual approaches.

• Negotiation requires public participation and absence of personal ambitions.• Donor assistance is welcome to enable permanent activities of the working group on legal

issues.

Financial aspects of CB

Financing of transboundary water (TBW) management and development regulated at the initial stage based on the agreement of 1992, where all expenses were allocated between states proportionally to water allocation. However, it was related only for BWOs and ICWC bodies for their operational activities. Many aspects and proposals remain without clear decisions, namely:

• reliable fi nancial support by the states for all water management agencies, hydrometeorological services, and nature conservancy authorities in fl ow formation and delta zones;

• as a substitution for fuel/energy-water exchange, put into practice payments for fl ow regulation in reservoirs (over an annual, seasonal or other period) with participation by all countries of the Aral Sea Basin in covering expenses for fl ow formation, as well as protection of the deltas;

• absence of fi nancial tools for environmental management such as ecological fl ow support, responsibility for outtake of water from rivers above ecologically permitted limits; responsibility for pollution of TBW.

At the national level the fi nancial situation remained more unstable, that depends on the different political and economic situation in the fi ve States. As a result irrigation and drainage systems do not have resources for the recovery of much needed funds for operation, maintenance and rehabilitation. Initially some states tried to transfer the major part of fi nancial pressure onto the shoulders of water users, but such a line of action caused failure of the capacity of water and irrigation systems, especially

59

at the former on-farm level. Rehabilitation works required the big contributions supported partly by the different foreign loans, but were not enough – compared with the Soviet period, the investment in infrastructure rehabilitation had reduced by more than 10 times!

Lessons learned• Scarcity of fi nancing resources of states forced fi nancial bodies to concentrate attention only on

the support of operation and maintenance in reduced size at the regional and national levels.• Attempts to minimize government contribution and the weakness of water users caused big

diffi culties for the work of operation staff and failure of such infrastructures as hydrometservice and drainage systems (especially vertical).

• Payment for water became the common line, but the paying capacity of water users depends on the fi scal and agricultural policy of the different States.

Sustainable water management requires defi nition of strict rules for the payment allocations between stakeholders, governments and local authorities depending on the level of net benefi t for water users.

CB of BWOs

BWOs are carrying out successfully annual planning, water allocation, operation and ongoing repair and maintenance of transboundary structures, that is clearly recorded for more than 15 years of activity. This work is, however, connected with big diffi culties overcome by the skills and experience of staff:

• lack of modern equipment and communication capacity;• low degree of accuracy of water forecast and lack of hydrological information sometimes,

especially from the upper watershed states;• weak public participation; and• need to establish well-defi ned regulations for operating regional organizations under various

conditions and in different situations (water scarcity, fl oods, etc.); to make these activities equitable, multinational and transparent.

CB of BWOs "Amudarya" and "Syrdarya" needs• Equipping the headquarters and their regional units with modern computers, telephone and

communication network.• Organizing on this base dispatch service and information.• Equipping all head works of BWOs with automatic control and management system (SCADA)

for the prevention of any possible uncontrolled water withdrawal from the river.

Lessons learned• The improvement of technical levels of equipment and monitoring especially SCADA

implementation permitted to increase accuracy in water delivery on the equipped structures up to ± 2 percent instead of ± 10 percent before: such type of works are very effi cient.

• Spontaneous investment by donors in modernization work of BWO cannot decide long-term improvement – this requires contributions from states and donors.

• Stakeholders greeted with much interest their involvement in BWOs activities. Organization of Public Council of the BWOs will assist in stabilizing this relationship.

60

CB of hydrometservice

The collapse of the Soviet Union practically destroyed all existing systems of hydrometservice in the fi ve States through failure of many monitoring stations on the rivers, climatic stations, mountain monitoring networks on glaciers and snowfall in upper watersheds. The most dangerous consequences became the cutoff system of information exchange between national hydrometservices and the brain drain. Proper measures for combating these disadvantages were carried out with the assistance of GEF, WB, SDC project. Twenty-four hydrometrological stations and a station on the Fedchenco glacier were rehabilitated; and republican hydromet organizations received a large quantity of modern equipment. Now the needs of CB of Hydrometservice at regional and national levels are:

• rehabilitation of existing and construction of new hydrological monitoring stations on the transboundary waters with installation of modern equipment;

• rehabilitation of monitoring stations on main glaciers, which are indicative points for both rivers;• organizing satellite network communication between monitoring stations and national centers;• organizing a Regional Hydromet Center which can merge forces with national Hydromets and

join them with end water-users (BWOs, ministries of water, etc.);• improvement of the system of river forecast by using modern models of precipitation and fl ow

formation; and• arranging general public awareness, especially end-users in forecast and real data.

Capacity building of ICWC consists of some principal items

• Information network between ICWC members and their partners as well as within the states and from top to bottom.

• Information network "ICWC – foreign partners".• Training activities.

Major information network interlinked regional bodies and national water-related agencies. This network is maintained by SIC-ICWC and interconnects ICWC with many international organizations such as WWC, ICID, INBO, IWRA and serves as a direct way to world water community and donors’ windows.

ICWC developed some interconnected information systems within each national ministry, BWOs and SIC ICWC. Setting up these systems was done by single hierarchic methods and as a result got single format and interconnected views thanks to the assistance of SDC through the CAREWIB (Central Asia Regional Water Information Base) project. This project has broad dissemination tools in e-net, internet, printed form and based on the pyramid of information sieve from down to top which is supported by information fed from different projects and sources, implemented by SIC-ICWC as well as other ICWC bodies.

Lessons learned• It should have a clear and convincing interface and be accompanied by training of users from the

inception ("roots").• It is necessary to include models and modules to stimulate interest of users to support the system.

61

Training systemTraining needs have been very high as a result of the collapse of the Soviet system’s professional education.

In 1999 SIC-ICWC, in cooperation with McGill University, submitted to CIDA a programme for permanent training of specialists of Central Asian water agencies at the interstate level. This programme, namely ICWC Training Center establishment, was approved by CIDA and started its activities in 2000 in Tashkent. Later two branches of the Training Center were established: in Urgench for the Amudarya lowlands – Turkmenistan and Uzbekistan with assistance of CIDA; and in Osh for all seven provinces of the Fergana valley in Kyrgyzstan, Tajikistan and Uzbekistan with the assistance of SDC.

During the past fi ve years the CIDA and ICWC Training Centre has become a center of improvement, which promotes advanced methods of water resources management and environmental protection in Central Asian region. Over 1 500 specialists were trained in the Tashkent offi ce and in the branches.

Some diffi culties in this activity were connected with:• a need to cross the national boundaries for participation in training;• unequal educational level of participants; and• lack of experimental base.

Lessons learned• Training should be developed more broadly to meet current demand for training which is in fact

ten times greater.• Training should be organized for specifi c audience not only for water specialists, but also for

water users.• Gender perspectives in water use and management should be considered.• Training activities should have a separate item in the budget of national and regional water

organizations.

CB of national organizations in water

These constitute the most complex aspect of CB in national organizations in water that depends on the political and economic policy of States and their fi nancial capacity. The principal direction of this part of CB transformed in the last 3 -4 years in a specifi c programme titled "The implementation IWRM", that is being developed under the umbrella of GWP in close collaboration with ICWC, national water organizations and GWP Caucuses and Central Asia (GWP CACENA). Integrated Water Resources Management (IWRM) is a combination of all possible organizing, managing and technical measures which can be used as the principal tool to involve stakeholders in the measures for fi ghting against “hydroegoism” in different forms. IWRM, from our point of view, is a system of management which is characterized by the principal features of transition.

62

Plan of action – road map of future development and implementation

Action plans can be built up taking into account the provisions of new recommendations based on the "Diagnostic study" problems analysis. This process we describe as "Road map", allows us to indicate which problems, how and when they will be solved.

The principal role in providing and carrying out this plan should belong to "The Strategic planning of regional collaboration", which started during the roundtable meeting arranged by ICWC and the Asian Development Bank (ADB) in April 2005 as the kick-off meeting of the project ADB RETA. The project aims to prepare a strategic vision of future strengthening CB of ICWC. Five heads of the national WMOs signed a protocol that is a decision of ICWC in which the main contents of the project was determined as follows:

"The RETA project, within its tasks regarding water-related policy development and improvement, should fi rst of all at the regional level encompass both Syr-Darya and Amu-Darya river basins. ICWC and the regional bodies must evaluate through concerted efforts existing shortcomings and set off necessary measures. Previous activities within the framework of “Main Provisions of Water Strategy”, SPECA and GEF projects should be accepted as a basic material for this work".

It is expected that RETA will give an incentive to programme and agreed content of future legal and institutional works described in the scheme. The fi rst phase should produce a document 1S – as revised provisions of Regional Water Strategy that will include reassessment of the proposed structure of regional organizations. On the basis of this document proper legal work on the fi nalization and approval of draft agreements prepared earlier and their organization and implementation would be developed. The next step is a strategy for future improvement 2S including simplifi cation of the structure of regional bodies to avoid duplication of their activities and mandates, a feasibility study for setting up a "Water Energy Consortium", and inclusion of all transboundary waters under the jurisdiction of ICWC and interconnection with Hydrometservices.

This strategic work should lay the foundation for a start of preparation of "The transboundary water code". Approval of 1L will open the door for institutional fi nal reform "3", as well as a ratifi cation of the "Water code" (2b) – same as for reform "4", including setting up of the “Water Energy Consortium".

Strategic work needs to be developed in the direction of analysis of ongoing changes in the results and situation as well as a proper plan of development activity in information, for example especially in IWRM as the main tool for penetration of ideas to increase water productivity at all strata of the water hierarchy (3S).

The detailed measures, long-term actions and outputs from each action included in the "Road map of CB" are introduced in Table 2.

63

1S

2 S

3

S

4

S

R

ET

A

1

2L

2

L

5L

R

ET

A

3L

4L

6

6a

6

b

7

8

7a

9a

9b

9

c

9a

14

12

13

1

0

11

15

16

2

005

2

010

20

15

2020

Info

rmat

ion

netw

ork

ICW

C a

ndH

ydro

met

Str

tegi

c pl

anni

ng

Leg

al a

ndin

stit

utio

n

Fin

anci

al a

spec

ts

CB

BW

Os

Cap

acit

y bu

ildi

ng a

tth

e na

tion

al le

vel

Tra

inin

g sy

stem

IWR

Mim

plem

enta

tion

CB

ICW

C

Fig

ure

3. R

oad

map

for

fut

ure

deve

lopm

ent

of C

B I

CW

C

64

Tab

le 2

. D

iagn

osti

c st

udy

and

road

map

on

capa

city

dev

elop

men

t of

wat

er r

esou

rces

in A

ral S

ea B

asin

dur

ing

the

peri

od 2

000

–202

0

Pro

blem

Sub-

prob

lem

Cap

acity

nee

dsM

easu

res

and

solu

tions

sh

ort h

erm

L

ong

term

act

ions

Out

com

es1

L2

L

1. L

egal

and

in

stitu

tiona

las

pect

s of

CB

Reg

iona

l int

erst

ate

rela

tions

not

cle

ar in

all

aspe

cts

• R

ules

of m

anag

emen

t an

d re

gula

tions

of b

asin

m

anag

emen

t and

ope

ratio

n•

Avo

idin

g in

ters

ecto

r co

mpe

titio

n

1 L

• T

he A

gree

men

t on

wat

er

man

agem

ent a

nd o

pera

tion

of

Am

udar

ya ri

ver

• R

evis

ion

of th

e A

gree

men

t of

1998

for t

he S

yrda

rya

river

• C

reat

ion

of W

ater

Pow

er

Con

sorti

um

2 L

• Tr

ansb

ound

ary

Wat

er c

ode

of A

ral S

ea B

asin

• A

gree

d ru

les

of o

pera

tion,

m

anag

emen

t•

Reg

ulat

ion

of in

ters

tate

act

ivity

• Pr

ovid

ing

cond

ition

s fo

r su

stai

nabl

e fu

nctio

ning

of a

ll re

gion

al o

rgan

izat

ions

and

ne

twor

k•

Reg

ulat

ion

of in

form

atio

n ac

tivity

• G

roun

d w

ater

and

retu

rn

fl ow

are

man

aged

by

ICW

C,

incl

udin

g m

anag

emen

t of q

ualit

y•

BW

Os

man

age

all r

iver

s w

ith

spec

ial d

ivis

ions

in d

elta

s•

Mec

hani

sm fo

r con

stru

ctio

ns

and

reha

bilit

atio

n on

TB

W•

Targ

ets

of w

ater

sav

ing

• C

onfl i

ct re

solu

tion

• In

tern

atio

naliz

atio

n of

re

gion

al w

ater

bod

ies

• Pu

blic

par

ticip

atio

n in

BW

Os

• D

iplo

mat

ic s

tatu

s of

regi

onal

bo

dies

3 L

• T

he A

gree

men

t abo

ut

inst

itutio

nal s

treng

then

ing

of re

gion

al w

ater

bod

ies,

in

form

atio

n ex

chan

ge

4 L

• Se

cond

sta

ge o

f ins

titut

iona

l re

stru

ctur

ing

3 L

• C

reat

ion

of w

ater

cou

ncil

of

basi

ns•

Inte

rnat

iona

lizat

ion

of re

gion

al

bodi

es•

Ope

nnes

s an

d m

utua

l tru

st o

f st

ates

and

prin

cipa

l sta

keho

lder

s

4 L

• Sp

read

ing

inst

itutio

nal c

apac

ity

of b

wos

and

thei

r sco

pe o

f re

spon

sibi

litie

s•

Avo

idin

g du

plic

atio

n an

d ov

erla

ppin

g in

regi

onal

or

gani

zatio

n ac

tiviti

es

Nat

iona

l leg

al fr

amew

ork

shou

ld b

e ac

cept

ed fo

r ne

w w

ater

pol

icy

and

inte

rrel

atio

ns

• C

reat

ion

of p

olic

y fo

r im

plem

enta

tion

of IW

RM

an

d pu

blic

par

ticip

atio

n•

Leg

al fr

amew

ork

of n

ew

orga

niza

tiona

l for

ms

– W

UA

s, s

yste

m c

ounc

ils

1 L

*•

New

nat

iona

l Wat

er C

odes

2 L

• A

men

dmen

ts to

nat

iona

l w

ater

cod

es

15 • N

atio

nal P

lan

of IW

RM

ap

prov

ed b

y na

tiona

l Law

16 • IW

RM

app

rove

d as

sin

gle

lega

l ap

proa

ch in

all

stat

es* •

Law

s on

WU

As

Reg

iona

l and

nat

iona

l en

viro

nmen

t ins

tabi

lity

• A

ccep

tanc

e of

env

iron

men

t pr

iori

ty•

Env

iron

men

t fl o

w o

f ri

vers

and

del

tas

to s

atis

fy

ecol

ogic

al n

eeds

• Tr

ansf

er to

man

agem

ent

retu

rnfl o

w•

Dec

isio

n on

sal

inity

of w

ater

s an

d la

nds

1 L

• T

he A

gree

men

t on

ecol

ogic

al

sust

aina

bilit

y of

Ara

l Sea

B

asin

. Dra

inag

e pr

ogra

mm

es

at th

e na

tiona

l lev

els

5 L

• Pr

epar

atio

n of

lega

l fr

amew

ork

for t

rans

fer t

o E

colo

gico

-Wat

er In

tegr

ated

re

sour

ce m

anag

emen

t (I

EW

RM

)

1 L

• C

reat

ion

of m

anag

ing

bodi

es

for t

he d

elta

s of

Am

udar

ya a

nd

Syrd

arya

• C

reat

ion

of e

nviro

nmen

t wat

er

coun

cil o

f sub

-bas

ins

• L

imita

tion

of p

ollu

tion

on

river

s•

Hyd

roec

olog

ical

com

plex

of

uppe

r wat

ersh

ed

65

2. F

inan

cial

as

pect

s of

CB

Diffi

cul

ties

of in

ters

tate

fi n

anci

ng o

f mut

ual

serv

ices

• D

evel

opm

ent a

nd a

ppro

val o

f fi n

anci

ng ru

les

for i

nter

stat

e st

ruct

ures

and

join

t wor

ks•

Fina

ncia

l too

l for

en

viro

nmen

tal m

anag

emen

t

6 a

• R

egul

atio

ns o

n fi n

anci

al

fram

ewor

k of

inte

rsta

te

activ

ity•

Wat

er –

pow

er c

onso

rtium

es

tabl

ishm

ent

6 b

• Pa

ymen

t for

regu

latio

n of

w

ater

in re

serv

oirs

• Pr

inci

ple

"pol

lute

r-pa

ys"

6 a

• Tr

ade

off i

nter

stat

e rig

hts

on

wat

ers

6 b

• In

ters

tate

Fun

d tra

nsfo

rm

in In

ters

tate

Bas

in B

ank

for

regi

onal

pro

ject

s.

Nat

iona

l inf

rast

ruct

ure

does

not

hav

e su

stai

nabl

e fi n

anci

ng fo

r ope

ratio

n,

mai

nten

ance

and

re

habi

litat

ion

• In

volv

emen

t of s

take

hold

ers

• G

over

nmen

t con

tribu

te s

tabl

e an

d fo

llow

pro

per r

ules

• D

onor

s’ c

ontri

butio

ns

• Im

plem

enta

tion

paym

ent f

or

wat

er;

• Pa

ymen

t to

wm

os c

onne

cted

w

ith p

rodu

ctiv

ity o

f wat

er

and

wat

er s

avin

g•

Don

ors

proj

ect i

ncre

ase

effi c

ienc

y

• St

ate,

pro

vinc

ial a

nd lo

cal

mun

icip

aliti

es p

artic

ipat

es

toge

ther

with

sta

keho

lder

s in

fi nan

cing

IWR

M

• B

lock

sys

tem

of p

aym

ent

3. C

B o

f BW

Os

• L

ack

of m

oder

n eq

uipm

ent f

or o

pera

tion

• L

ow d

egre

e of

m

onito

ring

accu

racy

• W

eak

publ

ic

parti

cipa

tion

• SC

AD

A a

nd m

odel

ing

syst

em im

plem

enta

tion

all

stru

ctur

es•

App

roac

h to

mon

itorin

g ne

t of

Hyd

rom

et•

All

prin

cipa

l sta

keho

lder

s in

w

ork

of w

mos

10 • SC

AD

A P

roje

ct g

ot fu

ll fi n

anci

ng•

Con

nect

ion

Hyd

rom

et n

et

thro

ugh

sate

llite

11 • In

ters

tate

Gro

undw

ater

an

d re

turn

fl ow

incl

ude

in

sphe

re o

f act

ivity

BW

Os

10 • R

ehab

ilita

tion

of a

ll m

onito

ring

sect

ion

on T

BW

• Im

plem

enta

tion

of S

CA

DA

and

di

spat

ch s

ervi

ng o

n al

l TB

W•

Impr

ovem

ent o

f wat

er

man

agem

ent q

ualit

y

11 • D

evel

opm

ent o

f ex

tens

ion

serv

ices

and

wat

er

savi

ng•

BW

Os

man

aged

qua

lity

of w

ater

and

allo

catio

n•

Publ

ic C

ounc

il of

BW

Os

4. C

B o

n yd

rom

etse

rvic

e

• W

eakn

ess

of p

revi

ous

mon

itorin

g ne

twor

k•

Inte

rcon

nect

ions

na

tiona

lH

ydro

met

serv

ices

has

no

stab

ility

• A

ccur

acy

of fo

reca

st

did

not s

atis

fy w

ater

use

rs

• R

ehab

ilita

tion

of e

xist

ent

and

cons

truct

ion

of n

ew

hydr

olog

ical

and

clim

ate

stat

ions

• R

ules

of e

xcha

nge

in fo

rmat

ion

betw

een

Hyd

rom

etse

rvic

es•

Mon

itorin

g ne

twor

k in

gl

acie

rs a

nd u

pper

wat

ersh

ed

7 • Pr

ogra

mm

e of

nat

iona

l "H

ydro

met

serv

ice

netw

ork"

su

ppor

t by

stat

es•

Reg

iona

l Hyd

rom

et C

ente

r cr

eate

d an

d se

rved

ICW

C a

nd

BW

Os

• M

odel

s of

wat

ersh

ed fl

ow

deve

lope

d

8 • A

ll m

onito

ring

netw

ork

com

plet

ed in

clud

ing

qual

ity

of w

ater

s•

Sate

llite

sys

tem

of

info

rmat

ion

impl

emen

ted

7 • A

ppro

ach

to re

gion

al D

B o

n riv

ers

and

clim

ate

for B

WO

s an

d IC

WC

• C

oord

inat

ion

CA

RE

WIB

and

R

HM

C

8 • C

reat

ion

niev

e of

dat

a fr

om "

botto

m –

to to

p"•

Incr

ease

deg

ree

of

corr

ectn

ess

hydr

olog

ical

fo

reca

st

5. C

B o

n IC

WC

• R

egio

nal i

nfor

mat

ion

syst

em d

id n

ot c

onne

ct

with

nat

iona

l•

Wea

k in

form

atio

n sy

stem

at a

ll le

vels

of

hier

arch

y

• In

form

atio

n ex

chan

ge

orga

nize

d on

all

leve

ls a

nd

inte

rcon

nect

ed in

tran

spar

ent

view

7 • C

AR

EW

IB c

ompl

eted

at

regi

onal

leve

ls a

nd a

ppro

ache

d•

Plan

dev

elop

men

t of

natio

nal s

yste

m a

ppro

ved

by

stat

es

• N

atio

nal i

nfor

mat

ion

syst

em c

reat

ed a

t all

leve

ls o

f w

ater

hie

rarc

hy•

Nie

ve d

ata

from

"bo

ttom

to

top"

7 • Tr

ansp

aren

cy a

nd o

penn

ess

info

rmat

ion

to s

take

hold

ers

of b

asin

• Pr

epar

atio

n of

a s

ingl

e ap

proa

ch o

f M

IS, G

IS fo

r im

plem

enta

tion

at th

e na

tiona

l lev

el

• Pr

epar

atio

n of

a

fram

ewor

k fo

r ass

essm

ent

cons

eque

nces

any

act

ions

on

the

TB

W

• Tr

aini

ng s

yste

m

requ

ired

incr

ease

of

capa

city

for e

duca

tion

and

train

ing

all s

taff

• Su

stai

nabi

lity

Hea

dqua

rter

Trai

ning

Cen

ter I

CW

C a

nd

orga

nizi

ng it

s 5

bran

ches

9 • "T

rain

ing

prog

ram

me"

ap

prov

ed b

y st

ates

and

su

ppor

ted

by s

tate

s an

d do

nors

Trai

ning

ser

ves

WM

Os

and

stak

ehol

ders

9 • Se

lf-su

ffi c

ienc

y of

HQ

TC

and

br

anch

es•

Impr

ovem

ent o

f wat

er e

duca

tion

in

colle

ges

and

univ

ersi

ties

• M

anag

eria

l Lan

d te

chni

cal

perf

orm

ance

15 Intro

duct

ion

pion

eer l

evel

16 Nat

iona

l sys

tem

gua

rant

ee

of a

ppro

ach

to p

oten

tial

prod

uctiv

ity

15 • In

crea

se fi

nanc

ial p

oten

tial o

f W

MO

s•

Allo

catio

n of

exp

ense

s be

twee

n go

vern

men

t and

sta

keho

lder

s;B

usin

ess

plan

of W

MO

s

16 • C

omm

unic

atio

n ne

twor

k of

low

-leve

l WM

Os

• C

onne

ctin

g w

ith W

UA

s

66

Implementation of this "road map" should permit:• Stabilization of interstate water management to 2010.• Creation of legal and institutional framework up to 2015.• Creation of national CB plan up to 2015.• Achievement of broad implementation of IWRM to 2015 with full overlapping of all water

branches of economy to 2020-2025.• Donors and recipients are partners: both participate in the development of action plans and

common methodology, and they work together in the same way.• Broad use is made of local expertise and project implementation under the control of an

independent steering committee, with participation of donors. SDC, for example, authorized ICWC and BWO "Syrdarya" to contract the local company "Sigma," which operated a SCADA system for years at a cost per gate of only $6 000 per unit (instead of the $30-40 000 expended on similar structures by other donors using their own labour and equipment).

• Payment for work should be made only after its completion and after acceptance of the output by the benefi ciaries.

Conclusions

1. CB of interstate collaboration should be assessed as the framework for successful movement to a sustainable water and environmental situation on the basin and in all riparian states.

2. Development of CB is the process of planning, implementation and monitoring, which follows the dynamic changes of situation and requirement and adopts planning measures to strengthen the CB possible to be in line with demands of time.

3. Development of CB should be a combination of CB at all levels of water hierarchy in a simultaneous combination. The CB Plan needs to be based on the penetration from top to bottom and meeting destabilizing factors of development.

4. The role of donors in CB is very high from the position of covering, by donors and benefi ciaries, fi nancial resources and supporting it through proper technical assistance required in practice.

67

6. Design and implementation of Capacity Development strategies. A South African case study

By

Marius Botha, the Water Research Commission, South Africa

General context

Background

The Limpopo Province is one of the nine provinces of the Republic of South Africa and is situated in the Northeastern corner of the country. A unique feature of this province is that it shares international borders with three countries: Botswana to the west and northwest, Zimbabwe to the north, and Mozambique to the east. Limpopo is the link between South Africa and countries further afi eld in sub-Saharan Africa. On its Southern fl ank, the province shares borders with Gauteng, with its Johannesburg-Pretoria axis, the most industrious metropole on the continent. Thus, the province is placed at the centre of the vortex of developing markets, regional, national and international.

The Limpopo Province government has identifi ed agriculture, tourism and mining as the priority areas for developing the province’s economy. Following major investment in the past few years in mining and tourism, there is a new focus now on agriculture because of its potential for job creation among the poorest sectors of society, many of whom already have access to agricultural resources. The province has well developed but currently under-utilised smallholder irrigation infrastructure, which could play a central role in the revitalisation of the local economy in the rural areas of the province. Limpopo Province is one of the poorest areas in South Africa and one of the priority nodes earmarked for investment through the South African Government’s Integrated Sustainable Rural Development (ISRD) programme. Irrigation potential has been identifi ed in eleven of the fi rst thirteen nodes earmarked countrywide for implementation of the ISRD.

68

The Water Research Commission of South Africa (WRC) publication: “Developing Sustainable Small-Scale Farmer Irrigation in Poor Rural Communities: Guidelines and Checklists for Trainers and Development Facilitators” (WRC Report No. 774/1/00) is directly relevant to the implementation of the ISRD and the Revitalisation of Smallholder Irrigation Schemes (RESIS) programme in Limpopo Province.

Through a WRC research project, the WRC Guidelines were tested as a means to increase the accessibility of meaningful training and capacity building where small-scale irrigation forms part of integrated sustainable rural development initiatives. This paper attempts to summarize the main aspects of this project, which has been ongoing for the past three and a half years and is now nearing completion.

The research included the development of training material and training of Farmer Trainers. Further, it was tested how training can be provided through the two Agricultural Colleges in the Limpopo Province. The Limpopo Province Department of Agriculture (LDA) now has several years’ experience with the revitalization and rehabilitation of smallholder irrigation schemes. The LDA’s assessment of the impact of their actions to date has convinced them of the value their training and capacity building activities have had on improving livelihoods. However, farmers requested that the training needs must be broadened from a basic agricultural production focus, also covering business and marketing skills and water management training to improve fair sharing of water amongst users. The LDA was also concerned that they have insuffi cient capacity to expand from eight pilot schemes to approximately 126 irrigation schemes in Limpopo Province and a large sector of small-scale irrigation production on community and home food gardens currently without access to this type of training and capacity building.

In view of this, LDA requested the International Water Management Institute (IWMI) in South Africa, to develop a proposal for a project to broaden smallholder irrigation farmers’ access to this training and capacity building. The training and capacity building have been ongoing in the province for the past few years and is now extended throughout the province within the current expanded programme for Revitalization of Smallholder Irrigation Schemes (RESIS).

Limpopo Programme on Revitalization of Smallholder Irrigation Schemes (RESIS)

The National Guidelines on Agricultural Water Use of South Africa describes government policy to transfer the management of smallholder irrigation schemes to farmers and to broaden opportunities for multiple agricultural water uses to rural communities. The Limpopo Department of Agriculture (LDA) has taken the lead in implementation of this policy by launching a major programme for the Revitalization of Smallholder Irrigation Schemes (RESIS). This is a provincial and national fl agship programme to combat poverty and joblessness in the rural areas.

RESIS strives at transformation of society by enabling rural households to exercise much more control over their daily lives and especially their economic activity. This is achieved by giving the farmers authority over management and expenditure on their irrigation scheme infrastructure and farming choices, supported by training, capacity building and mentoring. Simultaneously, the general lack of access to farming inputs and services is addressed, as well as the upgrading and redesign of infrastructure to enable management-by-the-farmers.

69

Further, RESIS strives to maximize benefi ts to the broader community by addressing community agricultural water needs, water for homestead gardening, animal watering and dipping tanks, and training and support for dryland crop production.

Each of the 126 irrigation schemes in the RESIS programme requires at least a full four-year period of intervention to complete the RESIS project cycle. All 126 schemes need to be completed within a six-year term. This implies that activities need to run in parallel on all schemes for a couple of years.

The overall goal of the RESIS programme is to raise and sustain incomes of farm families in Limpopo Province on irrigation schemes and in the villages surrounding them within the Programme period from 2004-2010. This goal will be achieved through the following activities:

• In-depth and thorough consultation of farmers and their communities about their problems, needs, fears and aspirations, leading to an agreed Development Plan between the farmers, communities and the Department for each RESIS scheme. (Pre-Development Survey)

• Establishment and/or strengthening of farmer Management Committees to manage the irrigation schemes.

• Farmer training in crop production, scheme management, entrepreneurship and water management, dovetailed with implementation activities.

• Implementation of crop production with relevant support services (market and transport arrangements, credit, access to inputs, stimulation of group activities, and institutional building).

• Infrastructure rehabilitation, and redesign where necessary to enable management-by-the-farmers.• Follow-up advisory and mentoring services to farmers and their Management Committees.• Monitoring and evaluation of all activities to provide data for refi nement of approaches as the

rollout moves to additional irrigation schemes.

The Limpopo Farmer Training Team, based at the Agricultural Colleges, are playing a key role in the implementation of the RESIS programme and are using, testing, refi ning and expanding the Facilitators’ Guide.

The Limpopo Farmer Training Team has completed their maiden training on all the maize training modules, except where local circumstances have necessitated postponement, such as a crocodile attack in one village the day before a scheduled training event.

Institutionalization of farmer training in Limpopo Province

Thus, in order to broaden smallholder farmers’ access to relevant training, the Limpopo Department of Agriculture (LDA) embarked on this process to build farmer training into the curricula offered by the Agricultural Colleges in the Province. The Water Research Commission (WRC), IWMI South Africa and the Agricultural Research Council of South Africa’s Institute for Agricultural Engineering, backed up this initiative with research support through this research project. This process is viewed as a pilot exercise for national expansion, aligning to the development of the SA government’s National Strategy for Education and Training for Agriculture and Rural Development. This is an action research - capacity building project, aimed at transferring practical skills to previously disadvantaged individuals, institutions and communities. Resource poor farmers, youth and women’s groups are the primary target groups for enhanced skills in agricultural production, water use and management, business and entrepreneurial skills.

70

The lessons learnt from this action research project could assist in the implementation of similar programmes, particularly in support of initiatives under the Integrated Sustainable Rural Development Programme.

Smallholder farmers currently have limited access to training. Furthermore, formally available training is focused almost exclusively on scaled-down versions of high-cost, high-risk commercial production practices, which are especially inappropriate to food insecure households. Much of the current training also requires trainees to be away from their homes for periods ranging between three weeks and several months. This is impossible for many - especially so for the women responsible for food insecure households. Most of the farmer training in the Limpopo RESIS programme is offered on-farm.

The Agricultural College in the Limpopo Province has taken a basic decision to provide training at the Further Education and Training (FET – Grade 9-12) level, rather than the Higher Education (HE) level (the level at which the Technikons and Universities provide services). Further, the Agricultural College has decided to shift their focus towards the training of smallholder farmers, whereas before they trained extension staff only. One of the challenges associated with offering farmer training is to further develop the Agricultural Colleges’ capacity (skills and physical resources) to offer on-farm training.

The “Limpopo Farmer Training Task Team” was established to provide guidance and direction to this joint LDA/WRC initiative.

The Limpopo Farmer Training has proven to be highly successful and effective and forms the basis of two new Qualifi cations to be developed and institutionalized through proper curricula within the Agricultural Colleges namely: Farmer and Farmer Trainer.

Water Research Commission of South Africa Guidelines

The “Water Research Commission Guidelines on Developing Sustainable Small-scale Farmer Irrigation in Poor Rural Communities” forms the basis of this WRC project, which aims to implement and test these guidelines. The WRC Guidelines and the training offered through the RESIS Programme in Limpopo Province, builds on the work of several training providers. It was critical that not only the training content, but also the approach followed by these training providers, be studied and properly recorded in a scientifi cally verifi able way.

The approach of “development through needs-based training” was fi rst developed and applied successfully over a period of fi ve years during the late 1980s and early 1990s by a Mr Johann Adendorf in the training of approximately 7 000 poverty-stricken dryland maize farmers in Phokoane, in the Nebo district of the Limpopo Province. Through appropriate training, organisation and improved self-confi dence, farmers considerably improved their yields from an average of 3.5 bags per typical 1.2 hectare holding, to a new average of 40 bags. This intervention improved the general standard of living in the Phokoane area from a typical household situation of one meal in three days, to surplus production of 11 000 tonnes from the area. The “development through needs-based training” approach has since been used in several dry land areas in South Africa and is currently being used in poor rural communities with access to irrigation schemes. In particular, the Limpopo RESIS programme provided a valuable opportunity to implement

71

and test Adendorf’s training and the WRC Guidelines. What makes this approach and specifi cally the training material itself so unique can be summarized as follows:

The training is aimed at developing the human being/person in totality, not only the agricultural practices knowledge of the individual.The training achieves the development of the individual person by means of agricultural development.The training approach is based on the use of stories, anecdotes and allegories which the farmers can relate to, to convey agricultural technology/knowledge to the farmers.The training approach depends strongly on what the farmers already know and have in terms of infrastructure and knowledge to build upon.

The training methodology makes use of practical demonstrations and interactive participation by the farmers throughout all training sessions.

The information and data gathered in this WRC project on Adendorf’s and other training providers’ training used in the RESIS programme, is being used to develop further training courses and training modules based on the same principles. These curricula are now being institutionalised at the two Agricultural Colleges in the Limpopo Province, Tompi Seleka (near Marble Hall) and Madzivhandila (near Thohoyandou). It is envisioned that, after successful institutionalisation of the curricula at these two colleges, the process could be duplicated at other Agricultural Colleges throughout the country.

South African Qualifi cations Authority (SAQA) requirements and the National Qualifi cations Framework (NQF)

This Water Research Commission (WRC) project aimed to support the institutionalization of the training offered through the RESIS programme, into the Limpopo Agricultural Colleges. Therefore, the material has to be recognized by the Agriculture Sector Education and Training Authority (AgriSeta).

Who is “SAQA”?

In order to have the training courses, modules and curricula recognized by and accredited with the South African Qualifi cations Authority (SAQA), the training content had to be developed in a specifi c format required by SAQA, called Unit Standards. The South African Qualifi cations Authority is a body of 29 members appointed by the Ministers of Education and Labour. The members are nominated by identifi ed national stakeholders in education and training.

What is a “National Qualifi cations Framework”?

It is a framework i.e. it sets the boundaries - a set of principles and guidelines, which provide a vision, a philosophical base and an organizational structure - for construction, in this case, of a qualifi cations system. Detailed development and implementation is carried out within these boundaries. It is national because it is a national resource, representing a national effort at integrating education and training into a unifi ed structure of recognized qualifi cations. It is a framework of qualifi cations i.e. records of learner achievement. In short, the NQF is the set of principles and guidelines by which records of learner achievement are registered to enable national recognition of acquired skills and knowledge, thereby ensuring an integrated system

72

that encourages life-long learning. Unit Standards form the basis for Outcomes Based Education - which focuses on training and education that is aimed at achieving specifi c practical outcomes or results. Unit Standards are composed of several ‘Specifi c Outcomes’1, each with several ‘Learning Units/Outcomes’2,for each separate aspect, which has to be covered in the training. These smaller parts, which make up a Standard, are called Credits (See diagram). Each credit is equal to an average of about ten notional hours.People can earn their credits without going to a course if they can show that they already have the skills and knowledge required in the standards and qualifi cations. This Recognition of Prior Learning (RPL) means that peoples’ skills must be recognized even if they have learnt it simply through doing rather than through a formal course or qualifi cation. When Unit Standards are put together, they form Qualifi cations, which are then registered on the National Qualifi cations Framework (NQF).

Diagram 1. Potential Farmer Trainers and Career Path

The NQF is like a single but wide ladder which covers all the many possible learning and career paths. The learning paths include all forms of education and training. The”ladder” is designed to make it easy for people to move sideways as well as upwards, for example, when they want to move from one type of learning to another or from one career to another. From these levels within the NQF, it is clear how far a person is from the bottom or top and what the next step is. All types of learning and career paths have the same steps or levels, so that progress can be recognized wherever a person is. The NQF is made up of eight levels of learning and pathways for learning specializations (See Table 1.1). Different qualifi cations fi t into the framework according to their focus and how diffi cult they are. The level of a qualifi cation is based on the exit level – on what a person will know and be able to do when he/she fi nishes his/her qualifi cation. This new way of recognising learners’ achievements applies to all qualifi cations, giving education and training the same status. It measures what a person knows and can do, rather than where, what and how the person learnt. The Farmer Training primarily subscribes to the ABET (Adult Basic Education Training) Level on the NQF, while the ‘Train the Trainer’, the Technician and the College Lecturer Training may subscribe to any and all of the levels on the NQF (ABET levels 1-4, NQF levels 1-8, where ABET level 4 and NQF level 1 overlaps).

Extension Officer

Trained Farmer

Lecturer

Student

Non-Farmer

FarmerTrainer

Trainer ofTrainers

TrainingManager

1 Specifi c outcome: The specifi c outcome describes the eventual skill or ability that the unit standard aims to achieve.2 Learning unit: The learning unit breaks up the specifi c outcome into detailed learning goals, which has to be attainedby the learner within the specifi c outcome.

73

Tab

le 1

. T

he N

atio

nal Q

ualifi

cat

ions

Fra

mew

ork

(NQ

F)

NQ

FL

evel

BA

ND

8 7 6 5

Hig

her

educ

atio

n an

d tr

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st-d

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esea

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degr

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Doc

tora

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Mas

ters

deg

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Prof

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onal

qua

lifi c

atio

nsH

onou

rs d

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r di

plom

asN

atio

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iplo

mas

Nat

iona

l cer

tifi c

ates

Uni

vers

ities

Tech

niko

nsC

olle

ges

FU

RT

HE

R E

DU

CA

TIO

N A

ND

TR

AIN

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CE

RT

IFIC

AT

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4 3 2FE

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hool

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mun

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ome

polic

e, s

ome

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col

lege

sR

DP

and

labo

ur

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sche

mes

, un

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, w

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c.

GE

NE

RA

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TIO

N A

ND

TR

AIN

ING

CE

RT

IFIC

AT

E

1

Std

7/gr

ade

9 (1

0 ye

ars)

AB

ET

leve

l 4Fo

rmal

sc

hool

sU

rban

, rur

al,

farm

, spe

cial

sc

hool

s

Occ

upat

ion,

wor

k-ba

sed

trai

ning

, RD

P,

labo

ur m

arke

t sch

emes

, upl

iftm

ent

prog

ram

mes

, com

mun

ity p

rogr

amm

es

NG

Os,

chu

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s, n

ight

sch

ools

, pri

vate

AB

ET

pr

ogra

mm

es, u

nion

s, w

orkp

lace

s, e

tc.

Std

5/gr

ade

7 (8

yea

rs)

AB

ET

leve

l 3

Std

3/gr

ade

5 (6

yea

rs)

AB

ET

leve

l 2

Std

1/gr

ade

3 (4

yea

rs)

AB

ET

leve

l 1

1 ye

ar

rece

ptio

n

74

Adult Basic Education Training (ABET) teaching principles

An “OBE Training of Trainers Workshop” was held between 17 and 21 February 2003 and between 30 March and 4 April 2003 at the National Community Water and Sanitation Training Institute (NCWSTI), University of the North, Limpopo Province. The aim of this workshop was to familiarize the WRC/Limpopo Farmer Training Team with the basic principles and requirements for designing OutcomesBased Education training material, based on Adult Basic Education Training principles.

The specifi c objectives of the workshop were to:a) Ensure that participants have a thorough understanding of the characteristics and needs of adult

learners.b) Provide participants with some basic techniques with which to motivate adult learners.c) Familiarize participants with the training material and methods used.d) Familiarize participants with the principles and requirements for designing:

I. Specifi c outcomesII. Assessment criteria

e) Assist participants with the compilation of a Facilitators’ Guide.

Using the nominal round technique of assimilating information, the following characteristics of the Adult Learner were identifi ed by the WRC/Limpopo Farmer Trainer Team during the Training of Trainers Workshop.

Adult learners• Learn easily through visual aids• More practical than theory• Adults (particularly women) have other commitments – do not waste their time. Ensure that

training is relevant and to the point• Believe more in practices related to their culture• Do not grasp information quickly unless practically applied• Adults need small breaks to maintain concentration levels• Recall information slowly but accurately• Forget easily if not practically applied• Skeptical about new information – require proof• Language must be understandable• Have a wealth of knowledge and experience that can be built on, but this may also be a barrier

to accepting change• Fear of adopting change• Want to share experiences• Do not want competition• Demand respect• Like recognition• Easily affected by environment• Learning experience is infl uenced by:

o social

75

o emotionalo economico cultural background

• Have problems with listening and hearing skills• Vision decreases• Afraid of failure• Different learning styles

a) How to motivate adult learnersOnce the characteristics of Adult Learners had been discussed, a number of factors that may cause resistance to change and learning were noted, namely:

1. Negative self-image - Often learners have had a bad experience in an educational situation. This often makes them feel that they are too dumb to learn – a well-known phenomenon amongst illiterate people.

2. Lack of clarity in educator’s instructions - If learners are unsure of what is expected of them, they will not trust the trainer.

3. Fear of the unknown - This is usually the greatest cause of resistance to learning. Learningbrings change and change is unsettling.

4. Apparent irrelevance to the learning activity - If the learner views the learning to have no meaning to the work or life situation of the learner there will be resistance from the learner.

5. Level of the required learning is inappropriate - Resistance to learning can arise if the tasks trainers require of learners are too complex. If the trainer works too fast and the trainer does not check to see whether learners are keeping up with their pace, they often lose the learners.

6. Dislike of the trainer’s teaching style - Certain training methods may irritate or intimidate learners.

b) Participatory methods and dialogic learningParticipatory training methods ensure that training is learning-centred and not teacher- or learner-centred. Individuals choose methods of learning that are linked to their senses. Some learners predominantly use one sense while others use different senses at different times. A training programme should therefore appeal to the following three main senses:

• Visual – the learners like to see the material• Auditory – the learner likes to hear the material• Kinaesthetic – the learner learns by doing and experiencing

The trainer should take note of the following issues when using participatory training methods:• The participatory method must suit the learners. Illiterate learners do well using discussion,

poster presentation, role-play, etc.• Experiential learning is very important. Demonstrations and allowing learners to do

demonstrations concretizes the learning that has taken place.• Always use a method with which you feel comfortable.• Do not force people to talk. Sharing comes with time.• Never ask a learner a direct question! This puts the learner on the spot and is totally in contrast

with OBE principles.

76

Examples of participatory training methods that may be used include:

• Group work• Discussions• Project method• Brainstorming

• Role-play and simulation• Presentation by learners• Case studies• Laboratory work (fi eld visit)

An important issue that was raised during this discussion was the attitude of the trainer. The image of a broken bottle was used to describe the target group for training, which is a poverty stricken rural farmer whose self-image has been broken. The ‘glue’ that should be used to mend the broken bottle (= self image), is “LOVE” which is explained as follows:

Live and be alive to their problems, needs, fears and aspirations.Overlook their shortcomings.Voice a message of hope and encouragement. Extend a helping hand.

Capacity development needs assessment study at the system/environmental institution/individual level

Farmer training needs

The wide range of needs to be catered for by existing and potential future training programmes was explained with the aid of the matrix discussed in Chapter 1, Table 1.2. It was noted that potential irrigation farmers, such as are catered for by RESIS, only form a small component (56 000 households on a total of 100 000 hectares) of the total spectrum of farmers requiring training in South Africa. Dryland fi elds by contrast take up approximately 2 million hectares, on which 1.7 million households rely, while 2.4 million households have homestead yards, covering a total area of about 200 000 hectares. Furthermore, about 12 million hectares are used as grazing land for livestock, by approximately 1 700 000 households. The spectrum of farmers was divided into 3 categories:

i. Food insecure householdsii. Subsistence and emerging farmers iii. Profi table commercial small-scale farmers

The need to defi ne particular training needs for this whole spectrum of farmers and activities was emphasized.

Demographic, education and skills profi le of rural dwellers in the Limpopo Province, South Africa

Age distribution of sample group of 518 farmers

In a sample group of 518 farmers studied by the Provincial Representative Offi cers of the National Strategy for Education and Training for Agriculture and Rural Development, it was found that 47 percent of the farmers were older than 50 years.

77

Range (age) Number of people %

20-25 30 6.12

26-30 41 8.16

31-35 28 4.08

36-40 45 8.16

41-45 51 10.20

46-50 73 14.29

51-55 57 10.20

56-60 62 12.24

61 and older 131 25.28

Total 518 100.00

Gender distribution of sample group of 518 farmers

Of the 518 participants, the majority (53 percent) were female. It was indicated that this percentage will be even higher for all persons active in the agricultural sector and could be between 60 percent and 70 percent. This follows the normal pattern in South Africa with the majority of persons involved in rural agriculture being female. As a rule women are mostly involved with community gardens, dry land and poultry production (which allows them to attend to other responsibilities such as the care of children, preparation of food and general maintenance of the household). Men, on the other hand, are mostly involved with larger projects such as large-scale animal husbandry and irrigation schemes.

Literacy level of sample group of 518 farmers

The participating group was quite diverse in terms of their level of schooling. Sixteen percent of a sample group of 518 farmers have received no schooling at all. The latter group will thus require specifi c inputs of an ABET nature before enrolment for higher levels of learning. It further implies that learning for this group should preferably be of a practical nature. Written theoretical material should be kept to an absolute minimum.

1. No formal schooling = 16% 82% = below Further Education and Training 1. Grade 0 – Grade 5 = 46% (FET) level.2. Grade 6 – Grade 10 = 20%3. Grade 11 – Grade 12 = 15%4. Tertiary level = 3%

Agricultural training needs of rural dwellers in the Limpopo Province

To identify appropriate training needs, it is necessary to understand how those farmers’ objectives, and hence their generic training needs, differ between the food insecure household, subsistence and emerging farmers, and commercial, profi table small-scale farmers. The changing objectives and correspondinglearning outcomes are summarized as:

}

78

Changing objectives of learners along the development path:

Position on growth path Learner Objective Learning Outcome

A – Food-insecure household Food securityFood security through own

production

B – Subsistence- & emerging

farmer

Income generation and self-

developmentProfi table small-scale farmer

C – Profi table commercial small-

scale farmer

Improved profi t

Simplifi ed management and

economic growth

Effi cient and knowledgeable

commercial farmer

A training needs assessment was also conducted to pinpoint the training needs of smallholder farmers with the aim of developing and providing training relevant to the identifi ed needs of the farmers. Using a systematic approach of needs assessment ensures that gaps in “performance” or competence are identifi ed correctly, which can then be improved through correct training (Gupta, 1999).

The training needs assessment was linked with other surveys conducted in the Limpopo Province namely:n “Pre-development Survey Reports” which are intensive community needs assessments

conducted in various communities through the RESIS (and the earlier WaterCare programme) in the period July 2000 to Sept 2004.

n “Provincial report on education and training for agriculture and rural development in Limpopo Province” (Mmbengeni & Moroko, 2002).

This training needs assessment was aimed at verifying the identifi ed training needs from these reports as well as identifying other training needs not identifi ed in these studies.

Procedures

Meetings were held with irrigation scheme farmers and homestead/dryland farmers at both Mphaila and Kutama communities. The fi eld workers divided themselves into three groups and conducted focus group discussions with eight farmers per group – each group had to be representative of both men and women and a combination of irrigation, homestead and dryland farmers. The idea was to encourage these farmers to share their different farming experiences and needs with each other as well as with the team. Qualitative and quantitative data, per category of farmer, namely, food insecure households, dryland farmers and irrigation farmers, were recorded during these group sessions. At the end of the assessment, the team gathered, presented and discussed their fi ndings in order to generate the needs assessment report.

Findings

The following have been identifi ed as the main irrigation farming activities taking place in the two areas:• Crop production (maize, groundnuts, vegetables)• Irrigation

79

• Soil preparation• Fertilization• Pest and disease control• Crop rotation• Harvesting• Marketing

From the data collected, it can also be concluded that farming in these areas is constrained by several common problems. These problems are:

• Pests• Water shortage• Lack of fi nancial resources (to purchase agricultural lime, fertilizers, seeds, mechanization

services, etc.)• Soil pH (acidity)• Lack of security (fencing)• Lack of grading equipment• Marketing (lack of storage, over production and no markets)• Lack of technical services such as maintenance of pumps and pipes, reservoirs and irrigation

equipment

Results

The majority of these needs were identifi ed during the needs assessment conducted in Kutama area (Capesthorn Irrigation Scheme) and at Mphaila (Mphaila and Luvhada Irrigation Schemes). However, many other needs were also identifi ed.

The pre-development survey reports do not identify specifi c training needs. However, from the problems faced by the community under the heading “Agricultural Issues”, training needs can be extracted. These include training on issues such as:

n Farming methodsn Irrigationn Vegetable productionn Compostingn Fertilizationn Crop managementn Pesticidesn Planting methods

The training needs assessment conducted by the WRC Research Team has identifi ed all these areas for training.

80

Categorization of identifi ed training needs

Homestead yards Dryland fi elds Irrigated fi elds

• Soil preparation

• Seed selection

• Fertilization

• Weed control

• Winter cropping

• Marketing

• Use of chemicals

• Soil preparation

• Seed selection

• Weed control

• Intercropping

• Crop diversifi cation

• Soil sampling

• Storage of farm produce

• Applicability of indigenous knowledge

• Use of chemicals/fertilizers

• Water harvesting and management

• Production plan

• Canal construction

• Soil conservation

• Irrigation scheduling

• Using pesticides and herbicides

• Fertilization

• Erecting/repairing fence

• Water management

• Weed control

• Marketing

• Irrigation pipes repair & maintenance

• Farm produce grading

• Crop production

• Soil preparation

• Harvesting

• Storage

• Marketing

• Water harvesting

• Broiler production

• Entrepreneurship (how to start community projects)

• Maize production

• Water harvesting and management

• Soil conservation

• Fence making and erecting fence

• Fertilization

• Basic management

• Crop production canal construction

• Erecting fence

• Water management

• Marketing

Development of farmer training material in the Limpopo Province

Members of the Limpopo Farmer Training Team are now capacitated to develop new Outcomes Based Training material from existing or newly developed training material as well as identify gaps in existing Unit Standards and propose new Unit Standards to be developed by the relevant Standards Generating Bodies for future training requirements. This means that in-house capacity was created in the Limpopo Department of Agriculture to populate the Smallholder Agricultural Training Needs Matrix developed during this WRC research project (see Table below).

This table gives a useful perspective on the range of farmer training needs for which training material needs to be developed. In practice, each training programme should be preceded by a thorough training needs assessment to confi rm and prioritize the specifi c needs of that target group. The ‘pre-development survey’ at the start of each new project in the RESIS Programme serves this purpose.

81

Table: Spectrum of smallholder agriculture – categories of training needs

Increasing input costs and risk

Homesteadyards

Grazing/livestockwatering

Dry land fi elds

Irrigatedfi elds

Number of households (hh) in former homelands with current access to agricultural resources

2 400 000 hh

(100%)

1 700 000 hh

(70%)

1 700 000 hh

(70%)

56 000 hh

(2.5%)

Total hectares currently under control of these households

200 000 ha 12 000 000 ha 2 000 000 ha 100 000 ha

D

evel

opm

ent p

ath

CDefi ne trainingneeds

Defi ne trainingneeds

Defi ne trainingneeds

Defi ne trainingneeds

BDefi ne trainingneeds

Defi ne trainingneeds

Defi ne trainingneeds

Defi ne trainingneeds

ADefi ne trainingneeds

Defi ne trainingneeds

Defi ne trainingneeds

Defi ne trainingneeds

The existing training material on Development Principles, Scheme Management, Water Management, Maize Production and Cotton Production, was incorporated into the Facilitators’ Guide on Farmer Training. Further Outcomes Based training modules, being developed by the Limpopo Farmer Training Team, will over time also be incorporated into the Facilitator’s Guide, which is one of the main products/outcomes of this WRC research project.

The “Pre-Development Survey”

One of the unique features of this training approach, which is believed to contribute greatly to the success thereof, is the concept of the “Pre-Development Survey”. This is a participatory ‘needs analysis’ with a difference: trainers/training facilitators/development agent representatives spend time in a community or village where development intervention is anticipated, to form a clear ‘mental photograph’ of the community, understanding their needs, fears, aspirations, problems, dreams and challenges. This ‘survey’ is not only focussed on the agricultural development issues in a community, but actually primarily focus on the ‘softer issues’- the human development aspects. The aim of this training approach is to build people’s self-confi dence and try to restore their human self-worth, by means of agriculturaldevelopment.

To best describe the Pre-Development Survey as well as give an insight into the Facilitators’ Guide which emanated from this project, the module or ‘learning unit’ on this subject is included here, as it appears in the Facilitators’ Guide:

82

Synthesis of steps taken for the Capacity Development Strategy/Programme Design and Implementation

The fi rst step, which has now been taken for the Development Principles, Scheme Management, Water Management, Maize Production and Cotton Production training modules, was to identify the “gaps” in the existing unit standards and determine the new unit standards that needed to be developed for ABET Level 1. The second step was to develop learning units that are needs-based - the “needs” being those of the actual learners, in this case the farmers. This highlights the importance of the participatory needs analysis, which formed part of the initial stages of this project.

All of the above-mentioned serve as the building blocks for a complete qualifi cation, to be recognized by and registered with SAQA. From this qualifi cation different unit standards and combinations thereof can then be used to form the modules of learning material on the different levels of the NQF.

Step 1: Unit standard gap analysisAgriSeta supplied the project team with copies of all the existing registered Unit Standards within the AgriSeta. However, although these Unit Standards are quite extensive in terms of quantity, they lack in terms of relevance regarding the aims of this project as they only cover Unit Standards for NQF Level 1. From this information, gaps could be identifi ed of unit standards that were needed on ABET-level 1, but not developed yet.

Step 2: Development of new Unit StandardsThe development of Unit Standards involves a process of designing the following components:

• Specifi c outcomes - what a person will know and be able to do after completing a learning unit.• Assessment criteria – the different aspects a person will be assessed on for competency after

completing a learning unit.• Learning assumed to be in Place – what a person should already know/be capable of when

starting with a learning unit.• Range statements – the scope or fi eld of knowledge which a learning unit addresses.• Critical Cross Field Outcomes – how different learning units link and overlap to bring about

integrated understanding and insight.• Essentially Embedded Knowledge – the actual training material/course content.

An Outcomes Based Education Development Team (WRC-OBE Development Team, now called the “Limpopo Farmer Training Team”) was formed to develop the Specifi c Outcomes and Assessment Criteria on which the Unit Standards would be based. This team was comprised of a wide representation of people including representatives of the Limpopo Province’s two Agricultural Colleges, Madzivhandila and Tompi Seleka, Extension Offi cers of various districts in the Province and leading Smallholder Farmers.

Step 3: Development of the Facilitators Guide (Training Material)In addition to developing Specifi c Outcomes and Assessment Criteria, the Limpopo Farmer Training Team compiled a Facilitators’ Guide, which is being used as training manual for trainers of emerging farmers, in the Limpopo Province. The Facilitators Guide forms the main product of this research project.

83

Step 4: Training of Farmer Trainers whilst training Farmers After developing the Unit Standards, the Limpopo Farmer Training Team presented the training to farmers in Limpopo over a six-month period, under the guidance and supervision of the training providers who developed the training material. Thus, a methodology for training-of-farmer-trainers was developed and tested. This team of farmer trainers are now known as the Limpopo Farmer Training Team and are fully deployed to offer the training in the expanded RESIS programme.

Suggested Sequence of Training Interventions in the FieldThe following ‘fl ow chart’, as included in the Facilitators’ Guide, shows the suggested sequence of applying the different training interventions and learning units or modules in the Guide, as tested in the fi eld over the past three years. This is merely a guide for trainers of a sequence which usually works well – each trainer must decide according to the needs of the specifi c target group, how to best sequence training. Each target group is unique and has unique needs, which the trainer must be attuned and sensitive to at all times:

Problems and diffi culties encountered while implementing and successful experiences

Evaluation of training conducted within the RESIS Programme

The Limpopo Farmer Training Team conducted a fi eld visit on 4-5 February 2004 at Beaconsfi eld, Capesthorn and Homu. On the fi rst two schemes, farmers were trained in 2001 and 2002 as part of the RESIS Programme implementation. On the third scheme, Homu, farmers were currently receiving training as part of the ‘on-the-job’ training of Farmer Trainers in the Limpopo Farmer Training Team. The following were the fi ndings obtained from farmers in the respective schemes.

a) Successful Experiences:

CAPESTHORN (Training: 2000/2001)The plot sizes are 1.6 hectares. Most of the farmers are women with few men rendering help when necessary. The Limpopo Department of Agriculture conducted farmer training at this scheme in 2000 as part of RESIS Programme. However, before farmers could implement the new knowledge, their dam was washed away during the 2000 fl oods. It is remarkable that they retained the knowledge until 2003,when their infrastructure was suffi ciently repaired to enable planting. The majority of farmers are now implementing what they have learned, with little variations due to availability of resources.

Farmer Ramovha Dabudi has been farming for more than 10 years. Her yields have increased since the training and she is storing surplus maize at the local Cooperative.

Farmer Ana Mufumadi used to harvest 3-4 bags per bed, but this increased to 15-20 bags per bed after training, not counting what is sold as green maize before harvest. She also stores surplus at the Cooperative with a portion converted into maize meal as and when her family needs it.

84

Training Sequence Flow-Chart: (Suggested)

Start of Devel opme ntProgramme

Execution of the Pre-Development Survey

Arrange with authorities (D ep t. of Ag riculture, Tribal Author ity, Loca l Governmen t) andcom munity memb ers, in preparat ion to do a “Pre-D evelopment Su rvey” in the area .Avoid the creation of e xpectations!Relevant training material:• “U nderstanding the Developm ent Co ntext: Unders tanding the Peop le –

Awareness, the “Peo ple Firs t P rinciple” - Learning Un it 1 in Fa cilitat ors’ Guide) .• “U nderstanding the D evelopm ent Co ntext: Unders tanding t he P eop le –

The P re-De ve lopment Su rvey – (Lea rn ing U nit 3 in F acilitators ’ Guide ).

Pre-Deve lopmen tSurvey : Objective

The objective of the Pre- Developme nt Su rvey is to ga the r informa tion from which a“Mental Photo graph” and thereby a true unde rs tanding of the area, its people, theirculture and resources are formed. Invo lveme nt of and par ticipation by the people ofthe area themse lves righ t from the start of the survey is crucial to ensure them takingown ership of t he ent ire programme. The peop les’ needs, fea rs , problems andaspirations are care fully recorded, as well as which struc tures already exist within thecom munity, e.g leadership. It is impor tant to involve all key ro le players within theintended Developm ent Programme in the compiling of the Interv iew Schedu le toensure com plete inclusion of all information needed.Relevant training material:• “U nderstanding the Developm ent Co ntext: Unders tanding the Peop le –

Awareness, the “Peo ple Firs t P rinciple” - Learning Un it 1 in Fa cilitat ors’ Guide) .• “U nderstanding the D evelopm ent Co ntext: Unders tanding t he P eop le –

The P re-De ve lopment Su rvey - ( Learning Unit 3 in Fa cilita tors’ G uide).

Tra in and capacita te Enum erators to conduc t the survey. Visit each group involved inthe proposed pro ject and col lect as much detai led information as possible. An alyse al lgroup and individual interviews and observat ions. Compile draft Su rvey Re port.Relevant training material:• “U nderstanding the Developm ent Co ntext: Unders tanding the Peop le –

Awareness, the “Peo ple Firs t P rinciple” – (Learning U nit 1 i n Fa cilita tors’ G uide).• “U nderstanding the D evelopm ent Co ntext: Unders tanding t he P eop le –

The P re-De ve lopment Su rvey – (Lea rn ing U nit 3 in F acilitators ’ Guide ).• “U nderstanding the D evelopm ent Co ntext: Unders tanding t he P eop le –

Tra ining and Eva luation Principles – (Learning Unit 2 in Fac ilitators’ Gu ide) .

Outcomes of thePre-Deve lopmen tSurvey (Thefoundat ion of theentireDevelopmentProgramme)

Do theOutcomes o f the Pre-Deve lopm ent Survey

meet the o bjec tive of theSurvey ?

Yes

No

Commence with FarmerTraining Programme

1. Sch eme Managem ent T ra ining2. Water M anagem ent Tr aining3. Crop Pr oduction T ra ining: Maize Production

Cotto n Produc tio nVege table ProductionDr y Be an ProductionWheat Pr oductionSma ll Gra in Production

4. Livestoc k Farm ing: Cattle Farm ing:Goat & S heep F arm ingPoultry Farm ingPiggery

5. Entrepre neursh ip Tr aining

1. En sure that the whole community unde rs tands and approves the dra ft SurveyReport

2. En sure that the community fu lly understands the picture (“me ntal photograph”)you h ave form ed from the outcomes of the Pre-D evelopment Su rvey – do theyunders tand both the po tent ial and the problems implied? Ap proved Re portbecome s Fina l R epor t.

3. Facilitator to assist the leaders in comp iling a deve lopment programme to ac t asa “Bus iness Pla n” (Th e ou tcome s of the Pre-D evelop m en t Survey as in theFin al Report, is the founda tion of the Develop m en t Prog ra mm e) .

4. En sure that the appropr iate Project St ructures and Institutiona l Or ganizations arein place as r equired by t he Development P rogram me.

5. Toget her with C ommunity Leaders, categ or ize or group (“p arcel”) all outcomes ofthe Pre-De ve lopment Su rvey (Th e Developm ent Programme) according tosub jec t, in order to de termine al l approp riate role players within the Pro jectSt ructure respons ible for each group/subjec t – eg: Ag ricultu re ; Wome n’s Group;Yo uth…

6. Place ident ified role players into St ructure (D evelopmen t St ructure) =Development Committee.

7. Accompany the newly elected Managem ent Committee to the DevelopmentAg ent for implem entation o f their ( the p eople’s) D evelopmen t Program me

8. Finalize the Developm ent Prog ramme to be fol lowed for the p rojec t inconsultation with the Developmen t Ag ent.

9. Al l milestones and counter-c ont ribu tions must be based on the outcome s of thesurvey

Relevant training material:• “U nderstanding the D evelopm ent Co ntext: Unders tanding t he P eop le –

The P re-De ve lopment Su rvey – (Lea rn ing U nit 3 in F acilitators ’ Guide ).• “U nderstanding the Developm ent Co ntext: Principles of De ve lopme nt –

Institut ional Or ganisation and St ructures - (L ea rn ing U nit 4 in F acilitators ’ Guide).

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Farmer Maphari Muthasedi has been farming for the past 25-30 years; after training her yield improved from fi ve bags to 15-20 bags, which according to her is impressive. Bags are stored at Cooperative for maize meal.

Farmer Mrs Netshurumbew has been farming for more than 10 years. The estimated yield beforetraining used to be 5-10 bags. Although she has not yet harvested for grain, she has already sold green cobs and her projected grain yield is 20-25 bags.

BEACONSFIELD (Training: 2001/2002)Farmers are allocated plots of 1.286 hectares divided into beds of 0.107 hectares. Farmers are mainly women with more than 20 years experience in farming.

Tshinakaho Havhi is approximately 65 years old and used to get 5-7 bags per bed before training. Through the training, conducted in Beaconsfi eld in 2001/02, she could improve her yield to 10-15 bags per bed. The farmer pointed out that at some stage she managed to sell green maize from just one bed for R800. She indicated that her secret lies in measuring the fertilizer application accurately using the cap of a 2-liter cold drink bottle, exactly according to the training. Furthermore, she keeps her plot weed free at all times. The farmer did at some stage plant groundnuts, which was bought by the local people directly from the fi elds. The farmer said with confi dence that she can compete with men working in the fi rms, that out of the money earned she successfully paid tuition fee for the two sons of whom one went to the University of Venda, and now both are employed.

Farmer Madzhe Tshnakaho is approximately 65 years old with an experience of 20 years in farming. She practised skills acquired from the training, which improved her yield from three bags to 10-12 bags per bed, not counting the portion sold from the fi eld as green mealies. She has implemented all the practices learned through the training.

HOMU (training by WRC-team in 2003/2004)Homu irrigation scheme is one of the schemes where the new Farmer Trainers started presenting training from October 2003. At the time of this evaluation, only three of the modules had been presented, but the output of training conducted was amazing. The Limpopo Farmer Training Team visited the plot of PaulNhlakathe, the chairperson of the scheme, to observe production practices as learned from the training offered. Subsequent follow-up confi rmed that the farmer was able to sell the bulk of 60 000 cobs perhectare as green maize at R1.00 per cob.

b) Problems and Diffi culties encountered during Implementation(Note: See also points discussed under “Conclusions” section of this paper)

The Lack of Practical Experience of Trainers -The lack of practical experience is proving to be a serious problem for many of our trainers. (It must be noted that they are not to be blamed for this shortcoming, they simply have not had the opportunity). However, this is especially visible in their preparation, as they fi nd it exceptionally diffi cult to identify the real key issues in the chapter, which they have to present. It is also very evident in their presentations and practical demonstrations, and when farmers have asked trainers questions related

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to the practical side of the lecture and trainers have been unable to give a satisfactory answer due to the lack of experience.

1. It has become very clear that Trainers should be empowered and equipped with all the different aspects required for this level of training, e.g. Training Principles, Theory, Practical Understanding and the Transfer of Technology, before going to the fi eld to do the training. Trainers must be properly qualifi ed, as the old and illiterate farmers who attend the training should never be underestimated.

2. Trainers need to transfer or convey the information in the Facilitators Guide correctly by keepingto the original specifi cations, e.g. four fi ngers deep, three rulers apart, etc. Changing of standards or specifi cations could cause serious problems to colleagues who come after you and are not aware of the changes you have made - it can also confuse the farmers. (We had a good example of a case where the trainer said that farmers could plant maize in rows, three human feet apart. This was very accurate when a male farmer demonstrated this, however when a lady followed this example it was found that her feet were much smaller than that of the male farmer and the measurements given were now completely incorrect).

Conclusions

Way Forward on developing Farmer Trainers

n The Limpopo Farmer Training Team has received thorough training and hands-on experience and has already seen farmers implementing their training successfully in practice.

n This new capacity should be fully utilized as a valuable internal departmental resource. This is being achieved by releasing these offi cials from other duties so that they can dedicate their time to the training of farmers and the development of further farmer training material at ABET levels.

n The Limpopo Farmer Training Team is being expanded:o Suitable candidates identifi ed to be trained as Farmer Trainers.o Some current Limpopo Farmer Training Team members may develop further to become

‘Trainers-of-Farmer Trainers’. The team has recommended that any potential trainer-of-trainers should fi rst prove him/herself as a successful Farmer Trainer, to ensure his/her hands-on understanding of the training approach, context and peculiarities.

o More lecturers from the colleges, extension staff and crop scientists from three Districts have participated in two one-week orientation courses in August and September 2004.

The irrigation scheme farmers in the two areas have shown satisfactory zest for the success of their scheme and farming activities. They perceive their farming as the source of food and income for their households. It is for this reason that irrespective of some constraining problems such as water shortage and lack of knowledge, they remain actively involved in farming. It is therefore safe to believe that with the correct infrastructure, services and training, the irrigation scheme farmers’ performance could be improved, thereby increasing their output.

The situation with the homestead and dryland farmers is a different scenario as compared to the irrigation farmers. Although the homestead and dryland farmers have shown an interest in improving their farming

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activities, they appear highly concerned about the lack of infrastructure, such as fencing. It appears that these kinds of problems result in farmers skipping seasons for planting. It can therefore be concluded that efforts to address infrastructure shortfalls should be considered a signifi cant factor and should be addressed.

This study has verifi ed fi ndings in the ‘Provincial Report on Education and Training for Agriculture and Rural Development in Limpopo Province’ and the Pre-development Surveys conducted in various villages since 2002. It appears that the lack of capacity of farmers is as serious a factor as unavailability of infrastructure, fi nances and accessible markets in creating an environment conducive for effective farming. It is important to note that farmers at community level are mainly illiterate as indicated in the above-mentioned report. This requires basic training programmes at appropriate levels to be developed and offered. Developing the required training programmes should also take into consideration whether the planned training is meant for initiating a career path or only equipping farmers with basic skills to manage their own farming activities. This would be infl uenced by several factors such as levels of literacy and training according to SAQA standards.

The two agricultural colleges are on track with the new developments of the training and education system in South Africa. Where they are lacking i.e. OBE methods of training, participatory methods and correct use of equipment, they have expressed wishes to address such issues. Further capacitating these colleges in areas that have been declared wanting will strengthen these entities and ensure that they can best implement future community training projects independently.

The role of the Outreach units at both colleges should grow rapidly in response to the new college mandate of practical, accessible training and support for smallholder farmers.

Evaluation of Farmer Training conducted by College Lecturers and Extension Offi cers

The Limpopo Farmer Training Team which was developed through this WRC project has grown into a highly motivated, closely knit unit across cultural and discipline barriers which is proud of its ability to support and guide each other and successfully welcome newcomers into their fold.

They see their role as Farmer Trainers as central to the development process, as it enables farmers to dramatically and sustainably increase their farming output and consequently the farmers’ personal confi dence.

Similarly, the new Farmer Trainers have experienced rapid growth in their own skills, but more signifi cantly, the experience has given members of the Limpopo Farmer Training Team a new sense of purpose and has boosted their self-confi dence.

One member describes himself as formerly being a ‘discouraged Extension Offi cer’ who found it hard to get out of bed in the morning and spent his days whiling away his time with idle talk. Over the past two years, this changed completely, since he now cannot fi nd enough hours in the day to fi nish what he wants to achieve. Farmers’ yields have improved dramatically through his training and he is now highly respected by the communities where he is working.

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Another member used to believe she was too old to still achieve something in life. Through participation in the Limpopo Farmer Training Team, she has developed a new purpose in life, transmitting this energy to others. She says: ‘I used to have knowledge and skills, but no confi dence. Now I am confi dent, therefore I can successfully transfer the knowledge I have.’

Another member describes how he was always of the opinion that ‘training’ means ‘offl oading information’, but as college trainer he used to have nothing to do with how people used the information afterwards. Seeing farmers literally reaping the success of his training in such a short space of time have been a revelation, therefore he wants to devote his full energy to this. As he said in wonder when he saw the rich green maize harvest in the fi eld: ‘This is real!’

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7. A general review of the Capacity Development for agricultural water management in China

by

Tian Fuqiang and Hu Heping, Department of Hydraulic Engineering, Tsinghua UniversityBeijing, 100084, China

Abstract

Different countries are challenged by different issues in agricultural water management. In China, capacity development for agricultural water management means saving water, increasing crop production and farmers’ incomes. Two indices can indicate the agricultural water management level, water use effi ciency (WUE) and water production effi ciency (WPE). The average WUE in China is about 45 percent, while it is 80 percent in USA, and the average WPE in China is 1.0 kg/m3, while it is above 2.0 kg/m3 in USA and Israel. The differences mean the gap in their capacity.

The low performance is because of old and deteriorating infrastructure, lack of modern technologies and skills, wrong incentives, etc. Most irrigation and drainage infrastructure in China were built during the 1950s and have not been receiving any maintenance and appropriate repairs especially during the last two decades. This is partly due to the on-going institutional transition in China where market rules are replacing planned rules.

To ensure food security, reduce poverty and improve farmers’ livelihoods, the Chinese Government is developing its capacity for agricultural water management by:

(1) Launching irrigation district rehabilitation projects to improve and complement infrastructure for irrigation and drainage.

(2) Reforming agricultural water management institutional system including decentralization and management transfer. Water User Associations (WUAs) are being set up to take over the operation and maintenance of end level canal system and pump stations, water allocation, and collection of water charges.

(3) Encouraging farmers to increase investment on crop production, e.g., for example, getting rid of agricultural tax, giving allowance in crop production. This can increase enthusiasm of farmers to invest in infrastructure and pay attention to operation and maintenance of infrastructure.

(4) Reforming the water charge system including establishment of water measurement system, WUAs, and changing the charge from cultivated area to quantity of water consumed.

(5) Establishing a water rights system and water market.

Key words: capacity development, agricultural water management, institutional arrangements, water resources

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Introduction

Irrigation and drainage is the lifeline of agriculture which is the foundation of Chinese national economic and social development. The annual grain production in irrigated districts accounts for three-quarters of the national gross grain production and 90 percent of economic crops in the whole country. Also, agriculture is by far the largest consumer of water, accounting for about 70 percent of the total demand. Although the agriculture sector has been urged to reduce water consumption, increase crop production and farmers’ incomes, a higher effi ciency of agricultural water management has not been achieved. For example, the average water use effi ciency (WUE) in China is about 45 percent, while it is 80 percentin the United States of America (USA); and the average water production effi ciency (WPE) in China is 1.0 kg/m3, while it is above 2.0 kg/m3 in the USA and Israel. The low performance of agricultural watermanagement indicates a lack of capacity in this fi eld.

Over the last two decades, China has been launching economic and political reform nationwide, which leads to institutional transition from a command to market economy. A market economy requires decentralized management, as opposed to centralized management, in a command economy. This holds true for agricultural water management. To deal with the urgent and new situation, it is necessary to reinforce capacity development for agricultural water management by introducing new organizations, establishing new laws and policies, changing fi nancing methods, and providing more trained and educated professionals, etc.

Issues in China’s agricultural water management

China is an ancient oriental civilized country with more than 5 000 years of development history. Agricultural civilization has been responsible for dominant actions in the long term history evolution. However, China’s agricultural water management is now challenged by several issues.

The physical constraints

The water resources, in terms of per capita, was only 2 200 m3 in China, being one-quarter of the world average, and the available water per unit area of cultivated land accounts for only 80 percent of world mean area. The situation is aggravated by uneven areal distribution. As Figure 1 shows, the territory of China can be divided into perennial, unsteady and supplementary irrigation zones, on the basis of the annual precipitation and the requirements of the agricultural development on irrigation and drainage. The perennial (where precipitation is less than 400 mm) and unsteady irrigation zone (with over 400 mm and less than 1 000 mm of annual precipitation, strongly infl uenced by monsoon) cover more than 60 percent of the total territory.

The competition for water for industrial and domestic uses

During the past two decades, China has experienced a rapid economic development. The available water for agriculture is reduced by increasing industrialization and continuous urbanization because urban and industrial users are usually given priority in the allocation of scarce water resources. For example, the Miyun Reservoir (the biggest reservoir in North China) used to supply water for irrigation. As of 1990, it can no

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longer meet the farmers’ needs due to the increasing industrial and domestic water demand. According to one study, about 71 billion m3 of water resources were transferred from the agricultural sector to the industrial and domestic sectors during 1980-1997. Despite declining water supplies, agricultural sector faces the task of expanding food production in order to meet the requirements of an increasing population.

Operation and maintenance of irrigation and drainage infrastructure

Most irrigation and drainage infrastructures in China were built during 1950s-1960s and fi nanced by the Government. These great achievements have also been attained through the hard work of hundreds of millions of farmers inspired by collectivism. However, since about 1980, the Government concentrated on the industry sector and farmers on individual issues. Irrigation and drainage infrastructures do not receive appropriate maintenance and the situation is aggravated by the on-going institutional transition from planned economy to market economy in China. The property rights of the infrastructure belong to the central government which fi nanced its construction but will not allocate enough money for its maintenance under the new circumstances. The water fees collected by the irrigation district agency can only partially cover the costs of routine operation of the infrastructure, and the farmers without infrastructure property rights do not have enough money nor the right incentives for its maintenance.

Legislation and institutional arrangements

According to Chinese water law, the Ministry of Water Resources (MWR) is charged by the responsibility for unifi ed management of water resources. The seven major river basin commissionsare agencies of MWR which have the function of administering water in the relevant river basin. The local water resources authority comprises four levels i.e. the provincial, prefecture, county bureaus and the village (town) water management stations which assume the functions and responsibilities of local water administrative management within their respective jurisdictions. The management bureau (irrigation district agency) is often assigned the functions and responsibilities for water allocation and infrastructure maintenance within the irrigation district which, after buying water resources from river basin commission or local authority, sells the water to farmers. This system of operation reduces the enthusiasm of irrigation district agencies for saving water. Furthermore, the farmers are often charged water fee by area rather than by volume, which is not conducive to saving water by farmers.

Finance

In general, the irrigation district agency is the key organization for agricultural water management but is not a fi nancially autonomous entity. In addition to collecting water fees, the irrigation district agency must be fi nanced by the government, especially for construction and maintenance of infrastructures. In fact, the ability to fund integrated agricultural water management (in its broadest sense, including monitoring, planning, design and construction, operation and maintenance of both large and small scale irrigation and drainage projects) has depended to a large degree on central government. However, in tackling the challenge of agricultural water management, the scale of investment is massive and requires signifi cantly more than the current level of investment.

To date agriculture has been a rather unprofi table sector. Its production is highly risky and to a great extent determined by climate. Therefore, it can hardly attract private capital.

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Capacity development for agricultural water management in China

There is a general consensus among policy-makers in the developing world and aid agencies that a lack of capacity is constraining the development and improvement of irrigated agriculture as a means of reducing poverty, increasing food security and improving livelihoods of both rural and urban populations. This is the situation in China. To meet the challenge and the competition from other sectors including the foreign sectors, the Chinese Government is reforming its management policy to promote capacity development for agricultural water management.

Rehabilitation of existing agricultural water infrastructure

In China, most agricultural water projects were built in the 1950s-1970s and are poorly maintained and partly destroyed, and therefore provide low quality service. The low quality service and poor operation and maintenance mutually weaken each other. This accelerates the deterioration of the infrastructure and seriously reduces capacity for agricultural water management. In fact, if there is no properly working infrastructure, good management cannot be achieved. Therefore, the Chinese Government launched irrigation area rehabilitation project in 1998 and to date 255 large irrigation districts have been fi nanced by the project. The total capital invested has reached 15.2 billion RMB. Altogether the total length of lined channel is 6 300 km, the number of rehabilitation facilities is 45 000, the area of rehabilitated irrigated land is 2 000 million hectares, and the annual water saving capacity is 12 billion m3. This has greatly improved agricultural water management.

Reconstruction of agricultural water management institutional system

The agricultural water management system in China is mainly government run, that is to say it is the centralized management system, in which farmers have little possibility to claim their rights. It is time to transfer administration from government to farmers and establish a decentralized management system, of which a water user association (WUA) will be of great importance. With the support and guidance of the World Bank and international aid agencies, the pilot project for water user participant irrigation management have been widely applied in China in recent years. WUA is established based on canal system, and is responsible for operation and maintenance of the end level irrigation system. For example, all the farmers which are served by sublaterals of each main lateral are organized into a WUA. At the same time, the irrigation district agency is responsible for the operation and maintenance of main canals and main laterals. WUA, which is an Autonomous Corporation, buys water from the agency and sells it to farmers. Under a proper fi nancial compensation and water charge system, WUAs can attract farmer participation and run effi ciently. The Chinese Government accelerates the process by passing laws, policies, training and education of WUA members.

More than 5 000 WUAs have been established which govern nearly 2.67 million hectares of irrigated areas. Stakeholder participation in management has obtained distinct performance experience through many years of practice. Firstly, motivating all farmers to maintain and manage water projects. Secondly, decreasing many redundant processes, avoiding various unreasonable burden and fees and protecting farmers’ benefi ts. Thirdly, bringing down the water prices and raising water use effi ciency. Ultimately, reducing dissensions on water use and promoting water management by charging according to volume of water consumption and door to door collection of fees from farmers.

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Reform of water charge system

For the management of the end level irrigation system in most irrigation districts, agricultural water facilities are managed in a complex manner. Traditionally, the village leader or the water offi cer of the village committee is responsible for the village’s water management system and for the collection of water fees from individual farmers. However, water charges in rural regions often pass through several administrative levels and are combined with various other levies of the local governments. Mismanagement and asymmetric information have frequently caused much bad conduct such as open access and free-riders. A lot of unreasonable fees have been extorted from farmers. As a result, Irrigation district agencies frequently have diffi culty in obtaining their share of the charge. From the farmers’ point of view, there has been no linkage between the quality of irrigation district service and the fees paid. Indeed, high charges, low service quality and unclear management accountability have discouraged farmers from paying the charges. So, the irrigation water charge mode must change from being collected by government agencies to collection by autonomous organizations; likewise the charge for the actual volume of water consumed instead of by the land cultivated.

To do this a proper organization and water quantity measurement system are required. The established WUAs can replace the Government in the collection of water fees. The water measurement system is often divided into two parts: The irrigation district agencies can establish automatic monitoring system along main canals and main laterals according to WUAs regions; and the WUAs can maintain water measure system along sublaterals or farmland canals according to farmers’ parcels. Because of the wrong incentive of the water charge system, the irrigation district agency does not pay attention to the water measurement system. So the establishment of the new water charge system has a long way to go.

Encourage crop production and enrich farmers

Low incomes from crops result in low incentives for investment in agriculture and its related issues including agricultural water management. Farmers have no money and no incentive for infrastructure construction and its proper operation and maintenance. This greatly weakens the capacity of agricultural water management. In addition, the low incomes and lack of capacity will reinforce each other and further reduce the capacity for sustainable development. The Chinese Government is now adopting several measures to encourage crop production and enrich farmers. For example, the “feedback” theory for agriculture from industry is proposed and applied by the Chinese central Government. The agricultural tax exemption policy began from the northeast provinces of China in 2004, and has now been put into force in most provinces. Planted areas are protected to guarantee output, the direct subsidy system is completed to fi nancially support farmers and agricultural production, and a compensationmechanism is established to reimburse grain production regions. More fi nancial expenditure has been allocated to irrigation construction and other public projects in grain production areas through irrigation area rehabilitation project. The “feedback” policies will eventually create an enabling environment for capacity development for agricultural water management.

Promote the establishment of water rights and water market

Due to the lower margin price of agricultural water, it is often transferred to the industrial and domestic sectors, which prevailed in many industrialized countries and now prevails recently in China. However,

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we have no appropriate water right system in China, so agricultural water is often transferred without any fee. This adds diffi culty to agricultural water management. Also, for WUAs to be successful, they need to be vested with clear water rights to give the right incentives for improvement of the irrigation system. Now Chinese Government is struggling to ascertain initial water rights, establish the whole water rights system and water market. If this is done, capacity development for agricultural water management can increase the standard of water saving; the saved water can be sold for money, and then the money can further facilitate capacity development. Capacity development and water market can promote each other. This system already works in some pilot provinces or prefectures.

Discussions on capacity development for agricultural water management

Institutional arrangement including water pricing system, especially the establishment of WUA, may be the key element in capacity development, but they must be carefully devised. From China’s experiences, the problems of agricultural water management are centralized administration (so farmers have no access to participate in the decisions), and improper water charge system (both irrigation district agencies and farmers have no incentive to save water resources). To solve these problems, the establishment of WUAs is a feasible way, but WUA is an innovation for China, whether it can work depends on the suitability of this arrangement for Chinese culture. The formal rules can work only if they are compatible with the informal rules. Different countries have different cultures and different informal rules. So the WUAs in different countries will take different forms.

For China, centralized management has a long history and people, especially farmers, have little consciousness and ability for participatory management. So the establishment of WUAs is mainly driven by the Government. This is not an induced institutional transition but an imposed one. In 1995, Xu investigated the situation of the Weining Irrigation District, located in Ningxia Autonomous Region in Northwest China. The results show that agricultural water management for nearly all villages is handled by the village leader. In 2001, WUAs are established for nearly half of the villages. This is mainly due to policy and interventions of the higher level government. Therefore, for many WUAs, farmers cannot take part in the decisions on water allocation, water pricing and water charge and as the WUAs are not really Autonomous Corporations, their incomes are independent of their performance, and the managers of WUAs have no proper incentives yet. The situation is aggravated by wrong water pricing system. The agricultural water price in China is far lower than its cost and the majority of water fees collected by WUAs is for buying water from the irrigation district agency. The WUAs do not have enough money for their running including salaries, operation and maintenance, etc. which force them to seek fi nancial support from the Government. The reform of the water pricing system depends on farmers’ incomes. If farmers are poor, they cannot afford higher agricultural water prices and hence the agricultural water fees will not be suffi cient to cover the costs. Generally, the establishment of WUAs can be successful only if the reform and policy is consistent.

In essence, agricultural water management is an integrated system concerning individuals (such as stakeholders, farmers, local professionals, engineers, agriculturalists, politicians, etc.), organizations (such as water user associations, research groups, government extension agencies, private companies, etc.); and enabling environment. It is well known that management is system engineering. One measure can work only if all the related measures work, and this effect can be recursive. For example, measure A

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may be one of the related measures for B. Inversely, measure B may also be one of the related measures for A. The complex characteristic makes the problem diffi cult. In some cases, we need to devise some new institutional arrangement.

Nevertheless, for a long time people used to construct irrigation and drainage infrastructures to meet the increasing demand on agriculture. The concept of capacity development is useful for encouraging people to deal with new issues in a more integrated manner.

Conclusions

In China, capacity development for agricultural water management is focusing on saving water, increasing crop productions and farmers’ incomes. It is part of the holistic policies for agriculture and water resources management.

In the background of institutional transition from planned economy to a market economy, the core of capacity development is rebuilding the right incentive system for all the stakeholders involved in agricultural water management.

China’s approach for capacity development is centered on the farmer, including agricultural tax exemption, direct subsidy system, establishment of WUAs, etc. Farmers constitute the majority of the population in China, the operation and maintenance of infrastructure relies heavily on farmers. The most important components for capacity development are training, right incentives and capable farmers.

Although most policies such as agricultural tax exemption and direct subsidy system are nearly nationwide, capacity for agricultural water management is mainly developed through projects, including the rehabilitation of China’s irrigation projects and World Bank loan projects, for individual irrigation districts. This is because capacity development must be carried out in an integrated manner which requires a lot of money, time and effort. To ensure that measures are implemented for individual irrigation districts is an easy way to go about this.

Outside support is important for capacity building. This is because farmers can hardly be organized into WUAs spontaneously and the private sector is not willing to invest in agricultural water infrastructure.

References

Ministry of Water Resources and Electric Power, 1987. Irrigation and Drainage in China. Beijing: China Water Resources and Electric Power Press.

Alaerts, G.J., Hartvelt, F.J.A. & Patorni, F.M. 1999. Water sector capacity building: concepts and instruments. Proceedings of the second UNDP symposium on water sector capacity building, Delft, Netherlands.

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FAO, 2004. Capacity development in irrigation and drainage- issues, challenges and the way ahead. Proceedings of the international workshop held on 16 September 2003 during the International Commission on Irrigation and Drainage 54th International Executive Council meeting, Montpellier, France.

Zhang, Hailun. 2005. Strategic study for water management in China. Southeast University Press, Nanjing, China.

Lu Xianxiang. 2003, The new institutional economics. China Development Press, Beijing, China.

Li, D. 2002, China’s Irrigation Management and Water User Participant Irrigation Management, China Rural Water Resources and Hydropower, 5, pp.1-3

Lohmar, B.; Wang, J; Rozelle, S.; Huang, J. & Dawe, D. 2003, Investment, Confl icts and Incentives: The Role of Institutions and Policies in China’s Agricultural Water Management on the North China Plain, Working Paper 01- E7,CCAP, Chinese Center for Agricultural Policy, Beijing

Wang, J. & Huang, J. 2001, Water Institutional and Management System at National and River Basins Levels in China, Working Paper WP-00-E29, CCAP, Chinese Center for Agricultural Policy , Beijing, China

Xu, Zhiwang; Wang, Jinxia; Huang, Jikun & Scott, Rozelle. 2004. The systematic reform of agricultural water management in the Yellow River Valley irrigated area: present state and system, Reform, 2004(2):59-64.

Li, Daixin. 2002. China’s irrigation management and participation management, China Rural Water and Hydropower, 2002(5):1-3.

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8. Capacity Building for improved water management in Andhra Pradesh: the design and implementation of the APWAM project

byT.V. Satyanarayana, Principal Scientist (Soil & Water Eng), Acharya N.G. Ranga Agricultural University, Bapatla, Andhra Pradesh, IndiaC. Terwisscha van Scheltinga, Researcher Water Management and Capacity Building, Alterra-ILRI, Wageningen, The NetherlandsJ. Boonstra, CTA, Andhra Pradesh Water Management Project, Alterra-ILRI, Wageningen, The NetherlandsandB. Mukunda Rao, Scientist, Andhra Pradesh Water Management Project, Acharya N.G. Ranga Agricultural University, Bapatla, Andhra Pradesh, India

Acknowledgements

The authors wish to thank the Royal Netherlands Embassy, New Delhi, for granting the Project to ANGRAU and Alterra-ILRI (WUR) through the Food and Agriculture Organization of the UN, Rome and New Delhi.

Abstract

Due to the limited availability of water since 2000, water management has become an important issue in recent years in the State of Andhra Pradesh, India. The Acharya N.G. Ranga Agricultural University (ANGRAU) has initiated a project aimed at improvement of water management. The project works within the framework of the university structure, at 5 network research centres with 5 multi-disciplinary teams at each centre, focussing on water use effi ciency in agriculture, equity in water distribution and preservation of the agricultural production potential (combating waterlogging and salinity).

Though water management is the main focus of the project, capacity building is an important element. The project is designed in a participatory manner, so that both at the individual, as well as the organizational level, activities for capacity building are undertaken. At the individual level, farmers, technical staff of line departments and university staff (researchers and fi eld staff) are involved in training, study tours, workshops and seminars to enhance the awareness, knowledge and skills. At the organizational level, in a step-wise approach, the participatory research activities are involving the Water User Associations, the Departments of Agriculture, Irrigation and Groundwater, the University, NGOs, FAO and Alterra-ILRI. The project is designed within the framework of policy and legislation of the State of Andhra Pradesh on water management, which is creating the enabling environment.

In the paper, the integrated approach followed by the project has been described, and experiences and challenges are elaborated. Main conclusion is that the changes in water management practices are only possible with the active support of all stakeholders involved and that this requires mind set changing and capacity building at all levels.

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Introduction

Worldwide, water scarcity forces water managers and users to balance the need for water with the available supplies. The need for water can no longer be met by just developing more water resources. Within agriculture, as the largest user of fresh water resources, effi ciency improvements need to be made wherever possible. Using the framework of Integrated Water Resources Management (IWRM), balanced decisions on water allocation to different users as well as to different sectors need to be taken.

This changed focus in water management brings with it a need for capacity building. Capacity building is needed both at the individual and institutional level. Rather technical educated professionals need to move towards IWRM, to be able to design and implement comprehensive solutions in an increasingly complex situation of water management. Policies and legislation are needed as an enabling environment.

A framework of how capacity building can be described was presented by Kay and Terwisscha van Scheltinga (2003) at the 9th International Drainage Workshop in Utrecht. This framework is based on the experiences in capacity building in mainly technical oriented projects in the water sector. During workshops in Montpellier (2003) and Moscow (2004) organized by ICID, FAO and IPTRID, the concept of capacity building and needs assessment for capacity building in agricultural water management were further discussed (FAO/ICID, 2004 and ICID/IPTRID, 2005). In short it can be said that capacity building takes place at three levels, individual, institutional and enabling environment level. The methods used to build capacity are essential to its success.

Capacity building is as much a process as an end product. This is the essential connection between the more ‘concrete’ aspects of capacity building such as individual training, establishing irrigation organisations and changing the legal system etc and the less tangible aspects that suggest it can only be done in response to internal initiatives with local ownership and leadership over a fl exible time frame. It is the reason why many people now use the term capacity development rather than capacity building. It transfers the emphasis from the end result to the process of achieving it (Kay and Terwisscha van Scheltinga, 2003).1

While the discussions on the one hand contribute to more clarity about the concept of capacity building, on the other hand they raised new questions. One of these is how capacity building can be addressed in the design and implementation of water management projects. The case study presented in this paper, documents the experiences of a water management project presently under implementation, where capacity building is an important and integral element of the project: the APWAM project in Andhra Pradesh.

In order to assess the design and implementation of the APWAM project, the developments in irrigated agriculture in Andhra Pradesh are described in Chapter 2, followed by a presentation of the project and its activities in Chapter 3. The project’s approach to capacity building is highlighted in Chapter 4, while in Chapter 5 conclusions are drawn.

1 In this paper the distinction between capacity development and capacity building is not made, as it is not made as such in the project. The APWAM project staff feels comfortable with the term ‘capacity building’ and therefore that term is used in this paper.

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Irrigated agriculture in Andhra Pradesh

Introduction to irrigated agriculture in Andhra Pradesh

In Andhra Pradesh (AP), the introduction of canal irrigation has boosted agricultural productivity and resulted in considerable direct and indirect benefi ts to the farmers and the society. Sixty percent of AP’s agricultural production and over 70 percent of AP’s population relies directly or indirectly on agriculture for their livelihoods (Oblitas and Peter, 1999).

However, irrigated agriculture is facing problems in terms of water distribution and management. Within the system, tail end farmers are getting water late or not at all. Land uncovered with crops may lead to salinization of the soils. At the state level, there is increasing uncertainty of timing and availability of irrigation supplies due to irrigation developments by upstream states, i.e. Karnataka and Maharashtra. Also it has been observed that in rainfed areas the groundwater levels are declining, while these are raising in canal irrigation commands, leading to waterlogging especially at the tail-end (APWAM, 2004).

As such, benefi ts of irrigated agriculture are not uniformly spread due to water distribution. This is compounded by the fact that most small farmers (less than 0.5 ha) have only one plot each, and that the plots in tail-end reaches mostly belong to small farmers (van Koppen, 2002).

Involved parties in irrigated agriculture like the Government of Andhra Pradesh through its Irrigation and Command Area Development Department (I&CADD), as well as its Agricultural Department (AD) and the Acharya N.G. Ranga Agricultural University (ANGRAU) developed approaches for effective change. I&CADD and AD are involved through the reform programme in implementation and the formation of WUAs (see 2.2), and ANGRAU through its research and networking activities (see 2.3).

Reform in irrigated agriculture in Andhra Pradesh

Oblitas and Peter (1999) formulated the problems and challenges experienced in irrigated agriculture as a persistent vicious circle (Figure 1) in which poor irrigation services result in low yields and low incomes. This in turn contributes to low cost recovery, inadequate funding of O&M and consequent poor O&M, which then results consequently in poor irrigation systems and related poor irrigation service.With the concept of ‘Janmabhoomi’ (land of re-birth) new ways for communities and the Government to work together to improve their economic and social wellbeing were introduced in Andhra Pradesh mid 1990s. This reform programme with central themes such as people’s participation, grassroots orientation, cultural changes in the way Government works and focus on self-help and self-reliance of people, lead to the formulation of fundamental changes in the irrigation sector.

The reform programme can break the earlier mentioned ‘Vicious Circle’ and transform it into a ‘Virtuous Circle’ (Figure 2). It may be noted that in this fi gure, the relationship between the WUAs and the Government is through the Irrigation and Command Area Development Department (I&CADD), while the Agriculture Department (AD) is mainly involved in agricultural and water use extension.

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The Government’s shift to a role of facilitation instead of implementation is supported by - Training- Organizational change- The Andhra Pradesh Farmers Management of Irrigation Systems (APFMIS) Act and Rules, which provide the legal basis for the take-over of management and maintenance of irrigation systems by WUAs, and the progressive re-orientation of government-farmer roles to a partnership (Oblitas and Peter, 1999).

Figure 1. The Vicious Circle

Source: Oblitas and Peter (1999, p 9)

Altogether, the reform was introduced with a number of simultaneous or rapidly sequenced actions, also referred to as a ‘big bang approach’. Activities included, for instance, the threefold increase in water charges, passing the APFMIS Act and Rules, WUA and then DC elections, the maintenance and rehabilitation programme, and the Irrigated Agriculture Intensifi cation Programme (IAIP). Over 10 000 water user associations (WUAs) have been created covering the entire surface irrigated area of 4.8 million hectares (ha). The reform programme has been funded by the Government of Andhra Pradesh (GoAP) with support from the World Bank.

This altogether forms an important step towards IWRM in AP. Besides reporting the progress, Oblitas and Peter (1999) also stress the consolidation efforts required for the reform programme in general and support of the WUAs in particular. In their discussion of the likely way forward, they highlight the need for:

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• creating fi nancial interlinkages;• strengthening the partnership between the Government and the farmers;• improving water resources management;• technologies for further agricultural growth; and• choosing change.

Besides the Irrigation and Command Area Department and the Agriculture Department, also the Universities are in the process of changing their approach towards working with farmers. The ANGRAU has the strongest extension wing compared to other state agricultural universities in India.

Figure 2. Creating Andhra Pradesh’s virtuous circle

Source: Oblitas and Peter (1999, p 55)

Research in irrigated agriculture in Andhra Pradesh

Within Andhra Pradesh, all agricultural research is undertaken through the Acharya N.G. Ranga Agricultural University (ANGRAU). The University has an Academic Council which guides the academic administration of the University and is oriented towards education of students, while the Research and Extension Advisory Council guides the research and extension activities (http://www.angrau.net/). Research takes place at 67 research fi eld stations, in all 7 agro-climatic zones of Andhra Pradesh (see map 1), under the overall guidance of the Director of Research.

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Map 1. Agro-climatic Zones with annual Rainfall (mm) Isohyets of andhra Pradesh

While in the past agricultural research would most often take place at the fi elds of the research stations, the scientists of Acharya N.G. Ranga Agricultural University (ANGRAU) have positive experience with operational research as of 1996, moving out to farmers’ fi elds and working together with farmers and implementing agencies on improvements in water management on problematic fi elds (fi nal doc IDNP, 2003 or 2004). The scientists observed in the fi eld the effect for farmers of the water scarcity in recent years. At district level, the University has been operating the District Agricultural Advisory and Transfer of Technology Centers (DAATTC) consisting of multi-disciplinary teams of scientists. These centers work in close coordination with 1200 farmers on an average in a district and all offi cials of the Agriculture Department. Also at state level, they were involved in the discussions on changes in water management and the government reform process.

In 2001 ANGRAU brought together all stakeholders to assess the role research and educational institutes play in interacting with policy makers, government departments and water users to ensure the sustainable use of water by the agricultural sector. A three-day workshop was held in the State of Andhra Pradesh, under the central theme ‘Capacity Building for Agricultural Water Demand Management’ (Souvenir doc, 2001) (Vehmeyer and Wolters, 2004).

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Over the years, the experiences in working together with farmers and implementing agencies confi rmed for researchers the necessity to work in close relation with the practice. However, the reform process in the State of Andhra Pradesh has not been completed yet. Water UsersAssociations do not yet have the required capabilities. Problems like water effi ciency, unequal water distribution as well as loss of land and production due to waterlogging and salinity problems remain well visible. In order to provide knowledge and experience in this regard and address these problems actively, a network project of operational research was formulated: the Andhra Pradesh Water Management Project (APWAM). The APWAM project got funding through FAO from the Netherlands and started early 2004.

The design and implementation of the APWAM project

The design and implementation of the APWAM project are best explained by stating the objectives, organizational structure and the activities of the project.

Objectives of the APWAM project

The overall objectives of the project are:1) Enhancing implementation of integrated water resources management (IWRM) in Andhra Pradesh.2) Improvement of the water use effi ciency in agriculture within the framework of IWRM.3) Bringing equity in water distribution in the command areas.4) Preservation of the agricultural production capacity of agricultural lands in irrigated command

areas. Achieve a higher and more sustainable agricultural production capacity of the land by combating waterlogging and salinity. (APWAM, 2004; Alterra-ILRI, 2005).

The specifi c project objectives are to:1. Enhance participatory research and implementation skills of ANGRAU staff of the fi ve Research

Centres in the fi eld of Integrated Water Resources Management (IWRM).2. Develop IWRM enhancing techniques and have them adopted by farmers in the pilot areas

implemented by the fi ve Research Centres in Andhra Pradesh.3. Establish a monitoring system for long-term impact of IWRM enhancing measures at ANGRAU.

Organizational set-up of the APWAM project

The project is designed in such a way, that a network is created which basically operates within the structure of the university, while at the same time it has been provided a certain amount of ‘freedom’ to experiment with changes both in the focus, content, implementation as well as the organization of the research.

The main centre of the project is located at Bapatla, and headed by the Principal Scientist/Project Manager. There are four network research centres, in Garikapadu, Undi, Jagtial and Tirupati, with a multi-disciplinary team at each centre (see Figure 3). The disciplines represented are agronomy, soils, soil and water engineering, agricultural economy and agricultural extension. The integration of these disciplines around ‘water’ is an innovative step taken by the University. The most senior scientist of the team is the Head of the centre.

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Figure 3: Project structure of the APWAM Project

At each of the network centres there is a Centre Implementation Committee (CIC) headed by the Associate Director of Research of the zone. The CIC prepares the technical programme, monitors and reviews the progress. The Director of Research is heading the Project Implementation Committee, which is responsible for the approval of programmes, monitoring and review of the progress, ensuring cooperation, fi nalizing nominations for training and study tours.

A Project Advisory Committee chaired by the Vice-Chancellor, ANGRAU and co-chaired by the Secretary (Agriculture), GoAP, is supervising and guiding the implementation of project activities. The Committee also provides the overall strategy for the project.

The government implementing agencies in irrigated agriculture, the Agriculture Department (AD) and the Irrigation and Command Area Development Department (I&CADD) are involved both in the CIC as well as in the PAC.

Farmers are involved through the Water User Associations, in the CIC of the project.

NGOs are involved in organizing the WUA. They therefore also participate in the CIC.

A representative of WALAMTARI, the state level training institute of I&CADD is involved in the PAC.

Scarce RainfallZone

SouthernTe langanaZone

NorthernTe langanaZone

North CoastalZone

SouthernZone

KrishnaGodavari Zone

High Altitudeand TribalArea

Vice -Chancellor

Director ofResearch

Project structure of t he APWAM P roject a t the Achar ya N.G. Ranga A gricultura lUniversity, Andhra Pradesh

Agro-clima tic zones

Netwo rk centresin A PWAM p roject

Bapatla,Main centre

GarikapaduUndiTirupati

Jagtial

Centre ImplementationComm ittee (CIC)Chair: Zonal head, ADRANGRAUSecretary: Head of the CentreMembers: AD, I&CADD,NGO, WUA, Scientists

Project Advisory Comm ittee (PA C)Chair: Vice Chancellor ANGRAUCo-Chair: Secretary ADSecretary: Director of ResearchMembers: MoA/GoI, FA O, CTA,Director of Extension, Comptroller,ADR-HQ, PM, WALAMTARI, AD,I&CADD, University Board member

Project Implementation Comm ittee(PIC)Chair: Director of Research ANGRAUSecretary: Project ManagerMembers: CTA, Comptroller, ADRs,Heads of Centres

University

Project

Network

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Alterra-ILRI, Wageningen University and Research Centre, is ANGRAU’s partner for knowledge transfer and coordination. The organization has appointed a CTA, who provides administrative and technical services to the project, and participates in the project’s PAC and PIC.

Activities within the APWAM project

Based on the overall and project objectives, as specifi ed in the project proposal, the results and corresponding activities of the project were formulated in more detail in a logical framework during the inception workshop in March 2004. All stakeholders in the project participated in this activity. The resulting activities have been updated after the 1st Annual Workshop in May 2005 for each network centre separately (APWAM, 2005).

Each of the fi ve centres has prepared a programme of activities. Overall, the activities are under 7 headings. All centres participate in all activities except for activities 4 and 5.

1. Reconnaissance survey of agricultural water management2. Benchmarking survey of agricultural water management3. Increase agricultural water use effi ciency in pilot areas

3.1 Installation of measuring instruments/structures3.2 Introduction of less water requiring crops/methods3.3 Reduction of irrigation/drain water losses3.4 Enhance cropping intensity and agricultural productivity3.5 Reduction of uncertainty of irrigation supply3.6 Monitoring of pilot areas as a whole

4. Irrigation Performance Assessment of Krishna Western Delta5. Appraisal of Water Management Practices by Computer Simulation6. Participation, empowerment, awareness and partnerships of stakeholders

6.1 Participatory water management6.2 Farmers empowerment through NGO partnerships6.3 Enhanced awareness farming community on improved water management6.4 Enhanced awareness Line Departments and WUAs on improved water management

7. Capacity building on improved agricultural water management

The main center at Bapatla coordinates activities 4 and 5 with participation of scientists from the Project, University and the line departments. Working groups have been formed by the main center which meet regularly at the main center to carry out the activities.

Every centre works in a project area with xx pilot areas. The project area is along a branch/distributary in farmers’ fi elds. The pilot areas are small areas within the project area, three selected outlet service areas per minor. The work at the level of the minor is aiming at the improvement of the system, while the work at the level of the outlet is aiming at demonstrations to reduce the overall agricultural water demand (irrigation water demand in particular. At the tail end groundwater and/or re-use of drainage water can be considered as well).

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The paradigm shift implemented by the University in APWAM Project is that the researchers are carrying out their activities in the farmers’ fi elds. The farmers’ fi elds in the irrigated commands are selected as the pilot areas. The Research Associates belonging to all the disciplines and the fi eld staff of the project stay in villages in which the pilot areas are situated. This gives ample opportunity for the Project staff to live and work with the farmers. This also provides an environment for capacity building of the staff to work with the farmers and to understand their problems.

Information exchange between the centres is done in annual workshops. For instance in the First Annual Workshop held at RARS, Tirupati, 10-12 March 2005, both the results of the fi rst year, as well as the programme for the second year, were presented (APWAM, 2005).

To facilitate the exchange of information and to up-scale the results of the research activities to command area scale to enable the line departments to use the project results, three working groups have been established, one on ‘RS/GIS for Canal Irrigation System Performance Evaluation’, a second one on ‘Hydrological Modelling’ and the third one on ‘Irrigation Modernisation and Management Improvement’. Besides the scientists at the network centres, the scientists from other colleges and research stations of ANGRAU in Hyderabad and Bapatla participate in these working groups.

The Working Group on ‘Irrigation Modernisation and Management Improvement’ consists of engineers from WALAMTARI, I&CADD, agricultural offi cers from AD, farmers from WUAs and scientists from ANGRAU. The WUAs are involved to train them on Proper Water Use and Regulation in the irrigation commands. Some NGOs which have good track record of working with farmers have been associated to establish strong links with WUAs and farmers.

Experiences with capacity building in the APWAM project

The aim of the project is to contribute to increased knowledge and experience in IWRM through enhancing participatory research and implementation skills, developing IWRM enhancing techniques, adoption by farmers, and monitoring long-term impact of IWRM enhancing measures. The project as such can therefore be labelled as a capacity building project. So while the project’s main focus is IWRM, all activities have elements of capacity building. Researchers will enhance their knowledge and experience, as well as farmers and government staff of implementing agencies. Ultimately, the research stations of ANGRAU, as well as WUAs, AD and I&CADD will gain in their capacity for IWRM.

Within the project, several activities outside the research and implementation activities are undertaken under the heading of capacity building.

Activities undertaken in this regard are divided into fi ve groups:1. Training2. Study tours3. Seminars and conferences4. Awareness raising (State and farmer’s level, plus IWRM workshops)5. Advisory services

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These activities are mainly capacity building at the individual level. As referred to in the introduction (Chapter 1), capacity building also takes place at the organizational level and at the level of the enabling environment. The levels are linked together, for example, farmer associations are only possible when at the level of the enabling environment the policy and laws are in place, while the capacity of individual farmers and engineers (e.g. knowledge and skills, leadership, communication) and the organisations (people working together within established rules and values, interacting with other organisations) need to be there in order to make them effective.

Individual levelTraining encompasses training at the individual level for scientists, farmers and government staff of implementing agencies. Even though not foreseen in the initial set-up of the project, it has also been possible to establish an active link with FAO on capacity building. This has, so far, resulted in training for staff of AD on Increase in Agricultural Productivity, and for staff of I&CADD on water measurement, regulation and irrigation modernisation. The Water Management Cell of the FAO Regional Offi ce at Bangkok has organised two training workshops on Irrigation Modernisation, Management Improvement and Benchmarking to fi eld engineers in May and August 2005 in Krishna Delta of Andhra Pradesh where the main center of the project is situated. With this Capacity Build-Up the I&CADD will be able to prepare modernisation plans for different irrigation projects in Andhra Pradesh. The fi rst such modernisation plan is for the Krishna Delta which irrigates about 0.5 million hectares.

Organizational levelThe project’s aim to work towards IWRM has been translated into practical research on water use effi ciency, water distribution and productivity. The research activities as such are a contribution to capacity building in IWRM in the state of Andhra Pradesh. It is most likely that changes in working methods occur, and these in their turn will result in changes at the organizational level for research, implementation of water management by the line agencies, and by the operation of the WUAs. The experience in working with NGOs as such, is new and for the fi rst time an agricultural university is working with NGOs for a Water Management Project.

Enabling environmentThe APFMIS Act of 1997 creates an enabling environment for the management of irrigation water through Water Users’ Associations. However, so far, not enough capacity is in place for water management. The WUAs are formed under the Department of Irrigation (I&CADD). The Agricultural Department therefore has no link with WUA, and therefore extension is not linked to the water users directly. This is experienced as a drawback particularly while advocating crop cultivation methods using less water as done by ANGRAU. Also the implementation of systems of water delivery to the crop based on the weather forecast is becoming extremely diffi cult under the poor link situation between the AD and I&CADD. During the project, a link between the WUA, agricultural research, I&CADD and AD is established, thus addressing the gap between the right policy and effective research in water management. Hence, the project is part of the whole changing view of the Government of Andhra Pradesh and the reform efforts.

The project contributes with research and demonstrations to fi nd solutions for water use effi ciency and productivity. It can make a contribution to the reform process by preparing stakeholders for their role in IWRM.

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Conclusions

The APWAM project, on improvements in water use effi ciency and productivity, aims to contribute to a movement towards IWRM in Andhra Pradesh, and undertakes capacity building in order to achieve this.

The capacity building comprises activities at the individual level for researchers, farmers and government staff, such as training, collaborative research, workshops and study tours.

There is also a part of capacity building in the project which is not labelled directly as capacity building: working together with farmers and government in the pilot areas, in order to come to new approaches in water management. Besides capacity building at the individual level, these activities also have an impact at the organizational and enabling environment levels: when farmers, engineers and scientists can work together to achieve that water can be used more effi ciently, this contributes to the wish of the Government of Andhra Pradesh, to become a facilitator.

Therefore, capacity building takes place in this project at all three levels indicated by Kay and Terwisscha van Scheltinga (2003). The activities at the three levels are interlinked, and in practice both in the design and implementation of the project not separately distinguished. The project is not centred around the capacity building per se, but around a rather technical/scientifi c programme on water management towards IWRM and from there focussing on capacity building.

The project is embedded in the existing structure of the University. It has a link to the existing set-up of the Water User Associations under the I&CADD; to work within the existing structure, is both an advantage as well as a drawback.

By building capacity at all three levels, with active support from all stakeholders, the project is contributing to changes in water management practices and a movement towards IWRM in the state of Andhra Pradesh.

References

Acharya N.G. & Alterra-ILRI. 2003. Part 4, Research on the control of waterlogging and salinisation in irrigated agricultural lands. Human resource development and establishment of a training centre. Ranga Agricultural University (ANGRAU), CSSRI, Karnal, India and Alterra-ILRI, Wageningen, The Netherlands http://www.alterra.wur.nl/Internet/webdocs/ilri-publicaties/project_reports/India_IDNP/prep4/prep4.pdf

Acharya N.G. & Alterra-ILRI. 2001. Souvenir. State Level Workshop on Capacity Building for Agricultural Water Demand Management. 28-30 November, Hyderabad. Organised by Acharya N.G. Ranga Agricultural University Hyderabad, Andhra Pradesh, India and International Institute for Land Reclamation and Improvement, Wageningen University and Research Centre, Wageningen, The Netherlands

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Alterra-ILRI. 2004. Proceedings 9th International Drainage Workshop (IDW9), 10–13 September 2003, Utrecht, The Netherlands, Alterra-Report 998, CD-Rom, Alterra, Wageningen, The Netherlands.ht tp: / /www.al terra .wur.nl / Internet / / / /Modules/pub/PDFFiles/Alterrarapporten/AlterraRapport998.pdf

Alterra-ILRI. 2005. Andhra Pradesh Water Management Project, Network Operational Pilot Project on Agricultural Water management in Andhra Pradesh, Semestral Report No.2, 1 January – 30 June 2005, Alterra-ILRI, Wageningen University and Research Centre, Wageningen, The Netherlands

Andhra Pradesh Water Management Project (APWAM). 2004. Project Document GCP/IND/176/NET, Project Centres Bapatla, Garikapadu, Jagtial, Tirupati and Undi, Acharya N.G. Ranga Agricultural University, Hyderabad, Andhra Pradesh, India

Andhra Pradesh Water Management Project (APWAM). 2005. Proceedings of the First Annual Workshop held at RARS, Tirupati during 1-12 March 2005, Acharya N.G. Ranga Agricultural University, Bapatla, Garikapadu, Undi, Jagtial, Tirupati, Andhra Pradesh, India

FAO/ICID. 2004. Proceedings of the International Workshop on ‘Capacity Development in Irrigation and Drainage: Issues, challenges and the way ahead’, 16 September 2003, Montpellier, France, FAO Water Report No. 26, FAO, Rome, Italy. http://www.fao.org/documents/show_cdr.asp?url_fi le=/docrep/007/y5524e/y5524e00.htm

Global Water Partnership Technical Advisory Committee (GWP TAC). 2000. Integrated Water Resources Management, TAC Background Papers No.4, Global Water Partnership, Stockholm, Sweden. http://www.gwpforum.org/gwp/library/TACNO4.PDF

IPTRID/FAO-ICID. 2005. The 55th IEC Meeting of the International Commission on Irrigation and Drainage (ICID), Workshop Proceedings on Capacity Development in Agricultural Water Management, Moscow 2004, Final Report, IPTRID Secretariat, FAO, Rome, Italy. ftp://ftp.fao.org/agl/iptrid/moscow_icid.pdf

Kay, Melvyn and Terwisscha van Scheltinga, Catharien. 2003. Towards Sustainable Irrigation and Drainage through Capacity Building, Paper no. 128, presented at the 9th International Drainage Workshop, 10–13 September 2003, Utrecht, The Netherlands. In: Alterra-ILRI, 2004. http://www.peatwise.alterra.nl/idw9site/Content/Linked/4%20Kay%20and%20Terwisscha.htm

Oblitas, Keith & Raymond, Peter J. 1999. Transferring Irrigation Management to Farmers in AndhraPradesh, India, World Bank Technical Paper No. 449, World Bank, Washington D.C., USA. http://www.wds.worldbank.org/servlet/WDSContentServer/WDSP/IB/1999/11/13/000094946_99110305303710/Rendered/PDF/multi_page.pdf

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Raymond, Peter J. 2004. Capacity building for participatory irrigation management – the case for Andhra Pradesh, Country Paper No. 4, Presented at the FAO/ICID International Workshop ‘Capacity Development in Irrigation and Drainage: Issues, challenges and the way ahead’, 16 September 2003, Montpellier, France. http://www.fao.org/documents/show_cdr.asp?url_fi le=/docrep/007/y5524e/y5524e00.htm

Van Koppen, Barbara, R. Parthasarathy & Constantina Safi liou. 2002. Poverty dimensions of Irrigation Management Transfer in Large-Scale Canal Irrigation in Andhra Pradesh and Gujarat, India, Research Report No. 61, International Water Management Institute, Colombo, Sri Lanka. http://www.iwmi.cgiar.org/pubs/pub061/Report61.pdf

Vehmeyer, P.W. & Wolters, W. Eds., 2004. Workshops Capacity Building for Agricultural Water Demand Management, Final Report, Alterra-report No. 932, Alterra, Wageningen, The Netherlands. http://www.alterra.wur.nl/Internet////Modules/pub/PDFFiles/Alterrarapporten/AlterraRapport932.pdf

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9. Knowledge networks for Capacity Building: a tool for achieving the MDGs?

byJan Luijendijk and Diego Mejia-VelezUNESCO-IHE Institute for Water Education, Delft, the Netherlands

“International institutions, country donors and the broader development community are rapidly coming to the conclusion that knowledge is central to development – that knowledge is development” 1.

Background

In the last fi fteen years more than US$1 000 billion were invested in the water sector2. To achieve the targets of Vision 21, the current annual expenditures of around US$75 billion need to be further boosted to reach a level of about US$180 billion in 20253. However, there was no corresponding investment in the local capacities to manage such infrastructure4. Up to one quarter of the investments made in water-related sectors by developing countries during the last decades has been ineffective due to lack of governance and management capacity5.There is a growing consensus among policy-makers in the developing world that this lack of ‘capacity’ is a primary constraint on sustainable development and management of water services6.

A good, illustrative example of the effect of capacity building can be taken from recent experiences with a pilot project in Indonesia7, where Water User Associations (WUAs) were empowered through capacitybuilding and where appropriate regulatory changes were made. Where conventional rehabilitation projects traditionally have had an Economic Rate of Return (ERR) of 10-18 percent, an economic analysis showed that, when an enhanced capacity of the WUAs was made, the ERR rose to 30-40 percent. The conclusion seems to be justifi ed that the social capital of the water sector is the “heart ofthe matter” while the works are the “vehicle” through which the capacity is built.

Defi nitions

Capacity DevelopmentThe defi nition of capacity building is still in a stage of formation8. Some development agencies use a narrow defi nition focused on strengthening organizations and skills, while others use a much broader defi nition that encompasses the level of capacity of individuals to the extent of the whole society9.

According to UNDP, capacity development is the process by which individuals, organizations, institutions and societies develop abilities (individually and collectively) to perform functions, solve problems and set and achieve objectives10. Within the water sector Capacity Building is defi ned as the process to provide individuals, organizations, and the other relevant institutions with the capacities that allow them to perform in such a way that the sector as an aggregate can perform optimally, now as well as in the future11. In that sense, a nation’s capacity can be defi ned as the combination of three distinct levels:

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• An appropriate policy and legal framework (the enabling environment).• Effective, fl exible and adaptive organizations (institutional capacity). • Individual capacities (human resources).

Three levels of capacity building, its activities, outputs and goals are described in Figure 1.

Figure 1. Capacity development: Levels, activities, outputs and goals12

Capacity requires a broad and holistic view on the central concerns of management to:• manage change• resolve confl ict• manage institutional pluralism• enhance coordination• foster communication • ensure collection, analysis, and sharing of data and information

Knowledge ManagementAs knowledge plays a central role in capacity building it is found useful to take advantage of the theory and practices of Knowledge Management. Also here the defi nitions and theories of knowledge tend to be embedded in vague and general terms as knowledge is diffi cult to observe as an empirical phenomenon13. Probably the most authoritative defi nition is provided by Nonaka, who defi nes knowledge as “justifi ed true belief that increases an entity’s capacity for effective action” following a concept

INDIVIDUALLEVEL

INSTITUTIONALLEVEL

ENABLINGENVIRONMENT

BEHAVIOUR

SERVICEDEVIVERY

PERFORMANCE

SECTORPERFORMANCE

EducationFormal - informalBasic,vocational,

professional expertise

TrainingCompetency - task oriented

Vocational, on the job, seninars,workshop, short courses, exposure,

coaching

Human resourcedevelopment

Defining structure, tasks andinternal accountability mechanisms

Development of policies, legislation,organizationa, regulationa and

procedures

Defining mission, responsibilities andexternal accountability mechanisms

Knowledge

Skills

Attitude

Incentive structure

Coaching

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introduced by Plato. He distinguishes between “explicit” knowledge and “tacit” knowledge. The fi rst form of knowledge “can be expressed in facts and numbers and can be easily communicated and shared in the form of hard data, scientifi c formulae, codifi ed procedures, or universal principles.” The second form, however, “is highly personal and hard to formalize. Subjective insights, intuitions and hunches fall into this category of knowledge.” Nonaka further distinguishes two dimensions of tacit knowledge: a technical dimension, consisting of skills and know-how, and a cognitive dimension, consisting of mental models, beliefs, values and perceptions14,15,16. Weggeman17 regards knowledge as an artifi cial production factor (commodity) on the same level as natural resources, labour and capital. Knowledge is considered as a property of individuals and defi ned as “a (personal) capability that is the product of Information, Experience, Skills and Attitudes a person possesses at a given moment: K = I × ESA”. The I (information) corresponds to explicit knowledge, while the ESA (experience, skills and attitudes) constitute the more implicit, tacit dimension of knowledge.

The term of Knowledge Management (KM) was for the fi rst time addressed at a 1986 European management conference sponsored by the International Labour Organization of the United Nations18.Knowledge management focuses on conceptualizing the processes of knowledge creation, and refi ning and developing practices to manage them19,20,21,22. In spite of its growing popularity, there is no universally agreed defi nition yet. Box 1 highlights some of common defi nitions on KM23.

Box 1. Some Defi nitions On Knowledge ManagementFor Liebowitz and Wilcox (1997)24 Knowledge management is the explicit control and management ofknowledge within an organization aimed at achieving organizational objectives. Knowledge management entails:• Formulating a strategic policy for the development and application of knowledge.• Executing the knowledge policy with the support of all parties within the organization.• Improving the organization where knowledge is not optimally used or is not adapted to changing

circumstances.According to Beijerse (1999)25 Knowledge management is achieving organizational goals through the strategy-driven motivation and facilitation of (knowledge) workers to develop, enhance and use their capability to interpret data and information, experience, skills, culture, through a process of giving meaning to these data and information. While for Wiig (1997)26 it is the systematic, explicit, and deliberate building, renewal, and application of knowledge to maximize an enterprise’s knowledge-related effectiveness and returns from its knowledge assets.

During the last decades knowledge management has enjoyed an increasing popularity across disciplines and industries all over the world. Management scholars begin to proclaim the possibility of KM becoming ‘the most universal management concept in history’ (Takeuchi, 200127 as reported in Zhu, 200428).

Knowledge creationThe starting point is the well-known SECI (Socialization–Externalization–Combination- Internalization) model of cyclical knowledge creation. Nonaka et al. adopt an epistemological dimension in their model, distinguishing between tacit and explicit knowledge that are continuously converted in a social learning process. The interplay between the two types of knowledge leads to processes of knowledge conversion, expansion and innovation.

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Knowledge is created in a continuous cycle of socialization, externalization, combination and internalization, in which knowledge is produced (see Figure 2). Socialization is the process of creating new tacit knowledge out of existing tacit knowledge through shared experiences, for example in informal social gatherings. Socialization leads to sympathized knowledge. Externalization is the process of converting tacit knowledge into explicit knowledge, for example concept creation in new product development. Externalization leads to conceptual knowledge. Combination converts explicit knowledge into more complex and systematic sets of explicit knowledge, called systemic knowledge. This is where databases and computer-supported analysis comes in. Internalization, fi nally, is the process of turning explicit knowledge into tacit knowledge, for example by training. This type of knowledge is called operational knowledge.

Figure 2. Types of knowledge and the knowledge creating process (conversion)29 ,30

Knowledge nanagement for Capacity Development

Knowledge is intimately linked to all three levels of capacity previously discussed, and its knowledge base relates to the acquisition, archiving and analysis of the already huge and still growing amount of data and information. These data are encapsulated explicitly in every human artefact: databases, documents, models, procedures, tools and its knowledge base also includes implicit or tacit knowledge inherent in people, namely their skills, experience and natural talents to understand, create and apply knowledge. In this way implicit knowledge becomes a synonym for capacity-to-act or a competence to solve problems. This emphasizes that implicit knowledge is contextual, and it underlines the importance of local, traditional or indigenous knowledge.

The differences between KM and CB are more related to the environment in which they are used and applied. KM operates in an environment with relatively strong institutions and where knowledge is

TACI TKnowledge

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EXPL ICI TKnowledge

EXPL ICI TKnowledge

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(externaliza tion)

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(Socialization)

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considered a constraining factor for further development and improved effi ciency of the organization, CB primarily deals with environments with weak institutions and poor governance. Thus, KM tends to be oriented to industrialized economies and mature corporations, while CB focuses more on developing countries where the challenges are as much a matter of effectiveness as of effi ciency. CB will therefore have a greater interest in public administration and behavioral sciences than KM, and will have lower propensity to rely on more powerful ICT as the contextual knowledge to properly benefi t from ICT may not always be available. Nonetheless, the basic questions are the same, i.e., how decision-making processes can be improved, and how tasks can be executed properly, by applying appropriate knowledge that has been collected in raw form or acquired through sharing in networks.

For capacity development, knowledge management offers a number of new opportunities. Over the past years, increasing attention has been given to the role of information and knowledge in enhancing the capacities of organizations and the sector. Organizations within the water sector are becoming more conscious of the use of knowledge within them and also how it is to be shared with the outside world: other organizations and individuals. This focus on knowledge is certainly not out of place because capacity development initiatives are comprised of knowledge-based practices31. It is recognised that information and knowledge can contribute to improving the performance and effectiveness of both individuals and organizations, provided that there is a basic capacity in place to manage this resource. The capacity to manage information and knowledge needs to be viewed as an integral part of organizational capacity building strategies. As knowledge is becoming the main source of an organization’s competitive edge, so will be the access to knowledge.

ICT as a catalyst for Networking Many emergent phenomena of our present world are the direct consequence of the enormous advances made in Information and Communication Technologies (ICT) during the last 50 years. For example, globalization, which is seen as a threat to many local communities, owes its pervasiveness to the worldwide networks that provide instant communication, including Internet. Along with the disadvantages come the advantages of the ‘death of distance’32 as a determining factor in human communications. More routinely, there has emerged the ability to access data, information and knowledge in ways that would have astounded our grandparents. Video conferencing is commonplace. We can work and learn together in a collaborative way remotely from each other. New e-learning tools mean that we can experience a sophisticated, interactive learning experience in the comfort of our own homes. Gradually we are seeing the uptake of the merger between television, the mobile phone and the computer. This all provides huge changes for the next generations of learners.

However, universal access to data, information and knowledge clearly does not yet exist, and for many developing countries, it is still a distant aspiration. Access to ICTs, notably the telephone, mobile phone, internet and broadcast networks, remains unequally distributed. There are, for example, more computers in Brazil, more fi xed line telephones in Italy, more mobile phones in Japan and more internet users in France, than in the whole continent of Africa. Yet the population of Africa and the needs of its people greatly exceed those of these other countries33. However, despite problems, access by developing countries to the World Wide Web is growing fast. Latin America is a clear example. It shows a rapid growth in connections to the World Wide Web with more than 100 million connected to Internet at the turn of last century. However, the challenging question is how much can or will be made of the Internet

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for educational purposes and learning. Despite the incipient development of ICT in Africa, a successful case of a network in southern Africa (WaterNet) is described in the Box 2.

Although technology alone is not enough, Information and Communication Technology (ICT) is crucial to support knowledge management activities. ICT for knowledge management includes in principle three kinds of systems: systems to support knowledge storage, like knowledge and information systems; systems that help to improve knowledge processes, and systems that improve organizational learning. Besides there are also systems that can combine the functionality of more than one of the systems mentioned above such as groupware systems, internet and intranet and Lotus Notes.

Box 2. WaterNet

Collaboration with WSP-SA and Cap- Net to facilitate training for GWP-SA’s Country Water Partnerships in compiling IWRM plans committed to be set in the WSSD action plan from Johannesburg.

Research is being stimulated through WaterNet’s symposia, staff exchange between institutions in the region, the Master thesis research projects supported from the WaterNet Fellowship Fund, and the collaboration with WARFSA (Water Research Fund for Southern Africa) resulting in some synergies in research support.

WaterNet is a UNESCO-IHE supported regional network of university departments and research and training institutes specializing in water. Its mission is to enhance regional capacity in Integrated Water Resources Management (IWRM) through training, education, research and outreach by sharing the complementary expertise of its members, based in Botswana, Kenya, Lesotho, Mozambique, Namibia, South Africa, Tanzania, Uganda, Zambia and Zimbabwe. Strategy:A network for capacity building in IWRM

Raising awarenessStimulating regional cooperationIncreasing accessibility to training and education in

IWRMStimulate and strengthen research in IWRM in Southern

AfricaResults so far:

To raise awareness, an annual Symposia has been held since 2000. Its number of participants has been increased from 45 in 2000 to 150 in 2003 whereas the number of scientifi c papers increased from 30 to 90 in the same period. The best papers are published in Physics and Chemistry of the Earth, an Elsevier international peer reviewed science journal.

A modular Master Degree Programme with fi ve specializations (water resource management, hydrology, water and environment, water for people and water and society) has been developed. Water managers from 11 countries have been awarded with 83 full Master Scholarships to pursue it.

English language courses have been offered to ease the access to the courses delivered to participants from non- English speaking countries of the area.

Source: WaterNet (2005)

Kenya

Uganda

Tanzania

DR Congo

Angola

Zambia

MozambiqueZimbabwe

NamibiaBotswana

South Africa

Malawi

Lesotho

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Networking for social learning

The network paradigm is a seductive vision to solve all the above ills in one go: why not connect the North with the South and cross-connect all the involved actors with networks? With such linkages, activities could be coordinated, knowledge could be shared between North and South as well as within and among the countries of the South, best practices could be exchanged, and common standards and procedures developed. Many have succumbed to this alluring vision and countless networks exist in the development sectorTP34PT.

With the growing recognition that most learning is informal, and that connecting people can help sharing knowledge, the focus has become on human groupings under various labels, like communities of ideas35,communities of practice (CoPs)36, formal knowledge networks and virtual teams37, knowledge networks38,thematic networks39, virtual knowledge communities40, international networks for knowledge sharing41

and thematic groups42. Learning, particularly social learning in groups and organizational learning is the key. Social (or collective) learning, fundamental to how development practices are improved, is key for these networks. They have emerged nowadays as a principal organizing concept in sharing knowledge. The physical interaction of participants is usually found to be essential in launching such communities or networks, but once they are launched, technology can extend the reach of a network around the globe. ICT is becoming a catalyst in this process. ICT makes it possible to get access to global information in a way that was never possible before43.

Organizations and groups of professionals are taking advantage of the opportunities offered by the new technology to initiate these communities and networks. They are used to upgrade the quality of the activities, outputs and impact of organizations, to facilitate a collective learning process, and to contribute to a ‘shifting up’ to an international audience44. An example of the growth in the number of communities can be demonstrated with the example of Cap-Net (http://www.cap-net.org), a UNDP project for capacity building in Integrated Water Resources Management (See Box 3).

According to Engel46 one of the main problems constraining the development of sustainable solutions is the one-sidedness of many social and institutional learning processes. Many theories and practices promote linear and exclusive ways of thinking and one-dimensional ‘rationalization’ rather than empowering people to apply multiple rationalities, so that they can adapt themselves effectively to rapid changing circumstances. Innovation however has to be approached as a process of interplay among social actors from relevant social practices. This interplay is a diffuse social process which leads to new or modifi ed problem defi nitions and practical solutions. It can be qualifi ed as networking in-and-between relevant social practices. Over time, this process of networking may lead to the gradual development of a pattern of more or less durable relationships among a number of social actors who perceive each other as relevant. Therefore, we need to introduce the concept of networking47. Advantages of this are that the concept of networking entails explicit recognition of ourselves as social beings, and it is connected to our concern for sustainability, since this can only be achieved where people have worked out a way of interacting with each other.

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Box 3. Cap-NetCap-Net is an international network made up of

autonomous international, regional and country networks and institutions committed to IWRM capacity-building. The networking concept is being used by Cap-Net to bring cooperation and coherence to scale up capacity-building in water management. To date, the programme has trained 550 trainers, who have in turn impacted thousands of decision-makers, water managers, and fellow capacity builders – exponentially increasing capacity in IWRM. The programme has addressed issues such as legal and institutional reform, confl ict resolution, IWRM planning, gender and water, and other aspects of IWRM are to follow.

• 20 geographic networks and 4 thematic networks affi liated with Cap-Net.

• Over 1,000 member institutions organized in regional and country networks.

• 55 planned network training events and education programmes.

• 9 operational topic or geographic e-discussion groups on capacity-building in Integrated Water Resources Management (IWRM).

Source: Cap-NetTP45PT

The interest in networking for learning has been growing during recent years. The term ‘network’ is now a buzzword in the fi eld of international development48. Creech and Willard49 recognise four fundamental drivers behind this interest:

• The emergence of ICTs in the 1980s and 1990s has made (global) networking much easier. Global information exchange and learning with people from different parts of the world has become accessible for large parts of the world.

• A sense of urgency: the growing complexity and inter-relatedness of major social, economic and environmental problems and the failure of some of the former approaches to solve issues like HIV/AIDS, environmental degradation and poverty alleviation makes multi-stakeholder and widespread learning unavoidable and highly needed.

• A sense of frustration: among public and academic actors because of the lack of impact that relevant research has had on public policy recently.

• Due to the private sector experiments with knowledge management and the impact on the private sector, the public sector and civil society organizations have also become interested in it.

Networking for development

Recent fi eld research by Pinzás and Ranaboldo50 points out that networking knowledge for development produces its most signifi cant results if the network develops itself into a space for innovation,experimentation and learning. The total sum of learning-oriented networking initiatives in any particular fi eld or region provides civil society with a critical ‘cortex’ that enables it to go beyond the intuitive

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and beyond individual interests. It helps channel the knowledge and experience gained through local initiatives, into higher levels of shared understanding and improved policy advocacy. In a way, it provides the network of thinkers and doers that permits civil society to learn from experience, to develop its own knowledge base and to transform it into original policy proposals, without having to adhere to ‘one-size-fi ts-all’ approaches and solutions. In that sense learning-oriented networks represent civil society’s answer to the challenges of the emerging knowledge society (see also Engel and van Zee51). Donors should recognise this central role of networking initiatives in boosting the knowledge base, learning processes and the civil society actors’ capacity to generate and advocate proposals, and relate their funding to the relative importance they attach to it. Capacity development, institution building, advocacy and societal change, to name just a few, are unthinkable without a considerable investment in improving networking and learning among relevant development actors. Donors should invest in learning-oriented networking amongst their partners because they want to enable civil society both globally and locally to play a strong role in shaping the ideas and knowledge that determine our future. Besides, such investments are vital to sustain their own learning; sponsoring learning-oriented networking cannot be lacking in donors’ global knowledge for development strategies52.

Networking among scientists and professionals has become the new model to tackle capacity building and offers great challenges to developing countries. However, access to global information without knowledge of the local situation and context has little sense. Therefore creating international networks of professionals and communities of practice that share best practices and lessons learned from both the South and the North could be a very effi cient way to this end. When they function well they provide suitable knowledge 'just in time' and 'just enough', and the benefi ciaries have a much stronger sense of ownership.

Moreover through such networks, developing countries can learn directly from each other by sharing indigenous knowledge and recent development successes and failures as well as from donor-country experts. In this way the traditional “expert counterpart” model assuming a one-way fl ow of knowledge from the North to the South will be replaced by the two-way fl ow of knowledge, which allow professionals in developing countries to “scan globally and reinvent locally”53. At the same time it allows development institutions in the North to become more responsive to demand and knowledge fl ows in the South.

Knowledge networks

The “knowledge network” advantages over other individual or collaborative approaches to change are:• Knowledge networks emphasize joint value creation by all the members within the network:

moving beyond the sharing of information to the aggregation and creation of new knowledge.• Knowledge networks strengthen capacity for research and communications in all members in the

network.• Knowledge networks identify and implement strategies to engage decision makers more directly,

linking to appropriate processes, moving the network’s knowledge into policy and practice.

Knowledge networks tend to be more focused and narrowly-based than information networks; more cross-sectoral and cross-regional than internal knowledge management networks; more outward-looking than communities of practice; and they involve more partners than some strategic alliances.

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Several operating principles are characteristic for Knowledge networks:• They are purpose driven.• They are working networks.• They require institutional commitment beyond the participation of individuals and experts with

regard to accountability, continuity and commitment of resources• They are built on expertise, not just interest.• They are cross-sectoral and cross-regional.• They develop and strengthen capacity in all members.• They are communication networks.

Main building blocks

Hereafter some essential conceptual and system elements for the development of a network will be elaborated. The fi rst concept is the notion that “providers” and “consumers” of knowledge should be brought together to enhance an effective knowledge transfer process. Maybe the most important building block of Knowledge Networks is the so-called “community of practice”. It is argued that this is the place where knowledge is generated, shared and disseminated. The third building block is the concept of Internet-based learning and education. With respect to dissemination of knowledge it is observed that both formal education and (informal) learning are changing rapidly due to the availability of modern ICT tools. Finally the concept of an internet-based, interactive platform is introduced as a promising knowledge management tool to offer functionalities and to deliver services to the members of the network.

Box 4. Nile Basin Capacity Building Network (NBCBN)

The Nile Basin Capacity Building Network for River Engineering (NBCBN-RE) was established in 2002 as a regional knowledge networkto strengthen the human and institutional capacity of the Nilotic States to manage the water resources in the Basin. Members are water sectorindividuals and institutions from all 10 Nile Basin countries. Over 200 water professionals are collaborating in 13 Communities of Practice.

Special focus is on building an environment for stimulating andsupporting collaborative applied research. In parallel to the node (in-country) development activities, the network supports the developmentof joint regional research clusters in which in principle professionalsfrom all 10 Nile basin countries are participating. Six country nodes act as the host institution for a particular regional research cluster:Egypt (GIS and Modelling), Ethiopia (River Structures), Sudan (RiverMorphology), Tanzania (Hydropower), Uganda (Environmental aspects) and Kenya (Flood Management).

Regular research cluster events are being organized in each of thesehosting countries. In between these face-to-face events, the researcherscontinue to interact over a custom-designed platform; (http://www.nbcbn.com).This virtual meeting space allows people to work collaboratively,

independently of when and where they work.

Source: Luijendijk et al. (2000)TP

54PT

EG

SU

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Building block 1: Providers and consumers conceptFor every knowledge network it is essential to know where and what the problems are. Moreover it is equally important to get access to places where relevant knowledge is generated and produced. In both cases it is necessary to get direct access to the main players in the fi eld: the water professionals active in both public and private water sector institutions (ministries, research institutions, water utilities, consultants and contractors) and local capacity builders (universities, poly-techniques, professional organizations, research and study teams). In other words, the success of the network depends on a sound interaction and communication between the 'providers' and the 'consumers' of knowledge.

Effective communication can only be achieved if the provider presents knowledge that the consumer has a desire to receive and in a form that the consumer can assimilate. Internet has opened up new opportunities for a two-way communication and collaboration. The establishment of a network will be in support of this opportunity. In particular, services can be tailored to meet the needs of the individual and the group. This feature is probably one of the most important benefi ts of Internet, and lies at the heart of the network initiative.

Main building block 2: Community of PracticeKnowledge Networks are primarily networks of people, who share a common interest, exchange ideas, and help each other. They often develop among people with a common (professional) background, but they can form around almost anything. Networks in general often have little sense of common identity. Although individuals within a network may meet frequently person-to-person, the whole network rarely meets or sees itself as a whole. Real interaction between people takes place in smaller groups called: “Communities of Practice” (CoPs). Communities of Practice are the places where real value is produced through sharing ideas, insight, information, experience and tools. (Wenger et al) Communities of practice are groups of people that gather around a common interest or theme, and deepen their knowledge by interacting on an ongoing basis.

Such communities are where people are attracted to share a common (technical) interest, where they learn, teach and trust each other, and invent and develop a common sense of purpose. In practice, all kinds of communities exist that have emerged of their own accord. They can consist of three, 20 or maybe 30 people that have found themselves drawn to one another by a force that is both social and professional.

A special type of communities of practice is the “distributed” community of practice. These communities cannot rely on face-to-face meetings and interactions since they link people across time zones, countries, organizational units, languages and cultures. They rely heavily on (ICT) technology. Since members have less contact it is more diffi cult to build trust and personal relationships, which are key factors for these communities to function. Communities of practice are seen as one of the most important drivers for building capacity of both individuals and organizations.

CoP’s are becoming an important KM tool for an increasing number of multi-nationals (HP, BP, Chevron, Ford, Xerox, Shell, World Bank, etc.). It is considered as one of the best models to share “Soft Knowledge” through sharing experiences and working knowledge. The CoP model is especially attractive for research groups and is an excellent model of adult learning.

The life cycle of a community of practice involves in principle fi ve stages of development as indicated in the diagram below (Figure 3).These stages can be evaluated according to the three structural elements of a CoP: domain, community and practice55.

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Figure 3. Stages of community Development56

Potential stageCoPs continually evolve, but typically they start as loose networks that hold the potential of becoming more connected. During this initial stage a community must defi ne its domain and its focus and make sure that the topic scope is broad enough to bring in new people and new ideas.

Coalescing StageGenerating energy in the community is imperative so that members build connections and coalesce into a community. During this stage, the domain issue becomes one of generating energy about the topic(s) and the mutual value of sharing both tacit and explicit knowledge in that domain.

Maturing StageOnce formed, the community membership and knowledge base grow through sharing knowledge and experience. When mature, communities go through cycles of high and low activity. During this stage the community’s relationship among other domains and the total organization is defi ned.

Stewardship StageDuring this stage communities face the main issue of sustaining momentum through the natural shifts in its practice, members, technology and relationship to the organization. It continuously addresses its function in terms of relevance and strategic direction. The community must be vigilant in keeping the “tone and intellectual focus of the community lively and engaging” by introducing new topics, controversial speakers, joint meetings, or vendor and supplier sessions on new technologies.

Transformation StageTransformation occurs when a community comes to a natural or unnatural end because of “changing markets, organizational structures, and/or technology renders the domain irrelevant. The community may fi nd greater value in merging with another CoP or splitting.

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Main building block 3: Internet-based Learning & EducationOne of the major changes that can be observed in the emerging knowledge society concerns the notions of learning, education and training. For centuries, learning, education and training were clearly distinct activities, whereas nowadays there is a growing sense in which the boundaries between them are much less well defi ned. This is apparent as education and training programmes focus more on learning through problem solving, while the notion develops that professionals are destined to life-long learning. As both education and training are dealing with the conversion of knowledge, principles of knowledge sharing, group learning, collaborative working, group decision-making and e-learning can be applied to both students and professionals when it comes to learning. The challenge is how to make use of the Internet to open up new possibilities for learning.

Main building block 4: Knowledge platformsApplying web-based knowledge management tools towards Communities of Practice will allow the basic functions to be handled more effi ciently, and will allow the communities of practice to evolve into more holistic entities. True knowledge management platforms provide information/knowledge on critical work processes, while at the same time providing a medium to exchange and share ideas and thoughts about particular information/knowledge. Implementation of knowledge management platforms provides people and businesses with the opportunity to break through bottlenecks in information fl ow.

However, to realise the benefi ts of a knowledge management platform, it is essential to break the barriers that depend on exclusive access to information: people will need to share information rather than protect it.

A well-managed platform becomes a place where people and information come together and generate new ideas, new ways of learning and education, new product-market combinations and more time for creativity. An example of a possible generic platform is shown in Figure 4.

Figure 4. An example of a possible generic environment for communities of practice

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It is envisaged that different communities of practice will develop their own platform with an appropriate set of functions. The closer the relations are between people the less they will require many of the functions from the platform. Although a community of practice is seen as the most powerful connection between people added value will be created when different communities of practice can be linked. In that case use can be made of the knowledge and information that is available in other communities. However, this will require more and better functions and calls for a better connecting infrastructure.

In thinking of more global and distributed networks one question is whether communities of practice can be scaled up through improved electronic communications. The other even more important question is whether a family of local communities can be developed towards a local, regional and eventually a global community structure or network. This is what UNESCO-IHE attempts with its global knowledge network (See Figure 5).

Figure 5. General Knowledge Network for Water Education and Research

Knowledge network approach

As indicated in the previous chapters, the mechanism to attain the project objectives is through activating the knowledge and learning cycle and facilitating a network development process for professionals. In this way it will contribute to the realization of the international and regional development goals and to a sound socio-economic development of countries.

The main challenge for developing (and developed) countries is to enhance the speed of knowledge fl ow from the places where knowledge is available and generated (researchers) to the places where this (new) knowledge will be applied (users). In most developing countries the main parts of the knowledge chain are weakly developed: hardly any research tradition and culture, low level of cooperation among researchers and water-related sector professionals, weak water curricula at higher education level, rare

Cali networkIndonesia network

IHE Basin CapacityBuilding Education

Nile Basin CapacityBuilding NetworkWater Net

(south Africaregional network)

Communities of Practiceexisting & potential

Communities of Practiceexisting & potential

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or no training opportunities in the region for mid-career professionals, and absence or low capacity of the private sector institutions and NGOs. It all can be summarized as a structural lack of capacity in the water-related sectors.

Box 5. CKNet-INA

The Collaborative Knowledge Network consists of 10 universities in Indonesia concerned with human resources capacity building in the fi eld of infrastructure, water and environmental management (IWEM). The overall main objective of the network is to strengthen the performance of the water sector in Indonesia and to support the Water Sector Reform activities. The particular focus is on building the capacity of Indonesian universities to deliver demand oriented training courses in the management of water resources and irrigation at national, regional and local levels. Capacity Building programmes are implemented to enable the CKNet-INA partners to deliver demand responsive programmes to strengthen the capacity of both professionals and institutions active in the water sector. It has established a communication network among partners to mediate and facilitate the knowledge sharing activities among network partners in order to create and maintain an enhanced and up-to-date knowledge base in the fi eld of IWEM in Indonesia. In the long term it will expand the network by the creation of linked networks in every province in Indonesia.

Source: CKNet-INA (2005)

Through the creation and strengthening of the knowledge network and its related Communities of Practice, the knowledge cycle process will be activated leading to a faster fl ow of knowledge towards the end users in the region. The network identifi es, mobilizes and activates the individual and organizational capacities in the different institutions and countries; facilitates the process of sharing knowledge and experiences between people not only from the region but also with experts from the North; creates and supports opportunities for knowledge dissemination (training, education, workshops, seminars, etc.), and guides people to become involved in the application of knowledge in the real, knowledge-driven world, where quality is the key to success.

The CoPs of the knowledge networks are considered as the places where knowledge on specifi c water issues is shared, created and to a certain extent disseminated. The network itself oversees and cares about the whole knowledge cycle process and has as its main function to deliver the infrastructure to connect the geographically dispersed knowledge elements. The ultimate challenge for the network will be to bring knowledge into application and so to contribute to improvement of the performance and innovative capacity of the water-related sectors. Figure 6 illustrates this concept by focusing on the value chain of both knowledge and people.

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Figure 6. Knowledge fl ow through Networks, CoP’s and project teams

In this network approach, typical Capacity Building components like Education, Training and Applied Research are integrated. The strength of knowledge networking is that it starts immediately with the places where the main knowledge exists: the professionals. These people will group in communities that will form together the backbone of the network. This bottom-up approach is the main reason for the success of the networking concept. Experience with the establishment of such networks has shown that once a certain level of trust, confi dence, commitment and transparency has been reached, the network will evolve quite fast. This is contrary toexperiences with the traditional top-down approach. However, at a certain moment in the development process, a more formal institutional embedding is needed to make the network more effective in delivering added value for the sector institutionsand the water sector as a whole. Therefore it is crucial that, at a certain moment more formal partnerships are formed between the capacity building institutions and the professional sector institutions. This process is illustrated in Figure 7.

Figure 7. Institutional Framework for Capacity Building

Professionals

CoP CoP CoP CoP

Researchcluster

Researchcluster

KnowledgeNetwork

R&D T

R&D T

R&D T

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Conclusions

Knowledge management tools such as Communities of Practice and learning networks are important elements to support capacity development activities. Strategic partnerships within the water sector create the environment for cooperation. Activities intended to increase the knowledge base such as applied research under knowledge sharing circumstances have a high potential for building capacity among partners. It is crucial that all stakeholders be involved in these networks for capacity development, and that there is a high level of commitment of related institutions to successfully implement shared activities.

In spite of the various types of building blocks required to successfully create, operate and maintain knowledge networks, Communities of Practice are the main building block of any of them. Therefore, attention must be paid to critical success factors such as the clear defi nition of their domain, their effective coordination network and the extra attention required while building distributed communities, as in most of the presented cases.

1 World Bank. 1998. Knowledge for Development, World Development Report no. 21, World Bank, Washington, DC. http://www.worldbank.org/wdr/wdr98/index.htm

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