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Enhancing Irrigated Agriculture Productivity through

Multifunctional Water Users' Associations and Its Dissemination:

A Pilot and Demonstration Activity (PDA) After Care

Supported by:

RETA 6498: Knowledge and Innovation Support for ADB’s Water Financing

Program – Pilot and Demonstration Activity for Nepal

Inception Report

Prepared by:

International Network on Participatory Irrigation Management (INPIM) - Nepal

February 2012

The views expressed in this paper/presentation are the views of the author and do not necessarily reflect the views or

policies of the Asian Development Bank (ADB), or its Board of Governors, or the governments they represent. ADB does not

guarantee the accuracy of the data included in this paper and accepts no responsibility for any consequence of their use.

Terminology used may not necessarily be consistent with ADB official terms.



ii

Abbreviations and Acronyms

ADB Asian Development Bank

AMIS Agency Managed Irrigation System

APP Agricultural Perspective Plan

CBO Community Based Organization

CMIASP Community Managed Irrigated Agriculture Sector Project

DADO District Agricultural Development Office

DOI Department of Irrigation

DOA Department of Agriculture

FFS Farmers’ Field School

FMIS Farmer Managed Irrigation System

FMIST Farmer Managed Irrigation System Promotion Trust

INPIM-Nepal International Network of Participatory Irrigation Management-Nepal

IWRM Integrated Water Resources Management

NARC Nepal Agricultural Research Council

NGO Non-Governmental Organization

NFIWUAN National Federation of Irrigation Water Users Associations-Nepal

NWRS Nepal Water Resources Strategy

O&M Operation and Maintenance

PDA Pilot and Demonstration Activity

RETA Regional Technical Assistance (for knowledge and innovative support)

UNDP United Nations Development Program

VDC Village Development Committee

WUA Water Users’ Association



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Table of Content

Topics Page

Acronyms ii

Table of Content iii

1. INTRODUCTION ................................................................................................................1

1.1 Background . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . 1

1.2 Objective of PDA . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. 1

2. DESCRIPTION OF PROPOSED ACTIVITIES .........................................................................3

2.1 Proposed Activities. . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. 3

2.2 Process Documentation . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . 3

2.3 Case Study . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . 4

2.4 Handbook Preparation . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . 5

2.5 Orientation Training . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 5

2.6 Backstopping to CMIASP Sites . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . 5

2.7 WUA Orientation Workshops . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . 5

3. IMPLEMENTATION SCHEDULE AND FINANCIAL PLAN ....................................................7

3.1 Implementation Schedule . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . 7

3.2 Financial Plan . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . 7

3.3 PDA Outputs. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . 8

4. MANAGEMENT AND INSTITUTIONAL ARRANGEMENT ..................................................9

4.1 Stakeholders . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . 9

4.2 Accountability and Responsibility . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. 9

4.3 Institutional Arrangements . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . 10

5. MONITORING AND REPORTING SYSTEM ......................................................................11

5.1 Monitoring of Activities . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . 11

5.2 Reporting System. . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 11

Annexes

Annex 1: Schedule of Project Activities 20

Annex 2: Cost Estimate of Activities 21

Annex 3: Measurable Performance Indicators 19

Annex 4: Detailed Description of Process Documentation 21



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1. Introduction

1.1 Background

International Network on Participatory Irrigation Management - Nepal (INPIM-Nepal) carried out a

study titled “Demonstrating Enhanced Productivity in Irrigated Agricultural System through

Multifunctional Water Users’ Association” under ADB’s RETA 6498 during from July 14, 2009 to

December 31, 2010. The key conclusion of the study was the need to recognize the WUAs as an

effective institutional entity in the rural development setting contributing to the core needs of

irrigation infrastructure and services and irrigated agricultural production system. The WUAs were

observed to possess the natural potential of accepting and delivering much wider roles in the

irrigated areas beyond simple operation and maintenance. With large number of viable WUAs in the

country and their time tested capacities in organizing and managing irrigation infrastructure and

services, the potential of linking them to the economies at the local and national level through theirincreased roles in input supply, agriculture extension, diversification of agribusiness, marketing, etc.

revealed a huge opportunity to uplift the economic conditions of the agriculture based rural

communities of the country.

INPIM Nepal published and disseminated the study findings to all the related stakeholders in Nepal.

The work was well appreciated by ADB as well as other stakeholders.

In order to give continuity to the efforts and to build up on the achievements made by the PDA,

INPIM Nepal developed a follow-up PDA. A proposal was submitted to ADB in June 2011 and finally

approved in December 2011. This PDA after care has been entitled “Enhancing Irrigated AgricultureProductivity through Multifunctional Water Users' Associations and Its Dissemination”. The aim this

time was not only to make the previous effort comprehensive and complete but also to take the

findings one step ahead toward materializing them by providing the necessary backstopping to the

existing ADB supported irrigation projects in Nepal.

This inception report has been prepared to explain in detail the activities proposed in the PDA, its

work schedule, management and financial plan, institutional arrangement, and monitoring and

reporting system.

1.2 Objective of PDA

The main objective of this PDA is to give continuity and build up on the previous efforts of evaluating

the potential for and merit of building multifunctional water users associations (WUAs) in Nepalese

irrigation systems and to take it one step ahead by disseminating those findings through trainings

and workshops. The specific objectives of the research aspect are as follows: (i) to document the

process of evolution of multifunctional WUAs after the rehabilitation (construction) works; (ii) to

evaluate the factors, environment, and prerequisites for the evolution of multifunctional WUAs



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through success and failure case studies that are representative of the different agro-ecological

zones of Nepal; (iii) to develop training material and to provide necessary trainings / backstopping in

terms of promoting multi-functionality in the ADB supported irrigation projects, namely, Community

Managed Irrigated Agriculture Sector Project (CMIASP) and Community Irrigation Project (CIP).

Thus the activities proposed in this PDA are expected to make significant contribution towards

institutionalizing multifunction among the WUAs. It is expected not only to establish the right

procedure through research but also to apply the findings through field level execution. More

specifically, it is considered to be very useful in linking the activities and achievements made by the

ADB-funded CMIASP to the project goal of enhancing agricultural productivity and sustainability of

farmer-managed irrigation systems by empowering WUA. Moreover, it is also expected to give a

right direction to CIP by timely orienting the staff and consultants about the approach for socio-

institutional strengthening of WUA.

1.3 Scope for Replication

Participatory Irrigation Management (PIM) has been adopted as distinct policy framework in

irrigation development in most countries in south and south-east Asia. In most of these countries,

the performance of irrigated agriculture continues to remain below satisfactory. This also continues

to remain challenge for the donors, government and development agencies to ensure food security

and livelihood improvement for the growing population. The quest has been enhancing the

productivity of irrigated agriculture through rehabilitation of irrigation infrastructures and

institutional improvements for enhanced operation and management services leading to water use

efficiency, crop diversification, increased cropping intensity and increased harvest size. The

objectives, expected outcomes and implementation frameworks foreseen in CMIASP and CIP are not

an isolated example in the region. Similar initiatives are underway in most countries in the region.The findings of this PDA, in selected subprojects under CMIASP and CIP, is therefore, expected to be

relevant to similar initiatives in other parts of the world. The relevance and modality of replication

of the study outcome would however be dictated by specific national and local level context of the

countries in question.



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2. Description of Proposed Activities

2.1 Proposed Activities

The activities under this PDA shall essentially include:

Process Documentation and diagnosis for development / promotion of multifunctional

WUAs in selected FMISs under CMIASP

Case Study of selected irrigation systems (FMIS and AMIS) demonstrating successful and

failure models/examples of evolution of multifunctional WUAs

Preparation of Handbook suggesting process and areas for development of multifunction of

WUAs based on the study and research thus far;

Orientation Training for the CIP project staff and consultant on the process of developing

multifunction among the WUAs

Backstopping to CMIASP for promoting multifunction among WUAs in 9 selected sites

Organization of WUA Orientation Workshops on developing multifunction covering all theregions

These activities have been discussed one by one in further detail in the remaining sections of this

chapter of the Inception Report.

2.2 Process Documentation

For the process documentation, the same three subprojects under CMIASP selected earlier, will be

continued. They are:

Tanting Kalikoshi Irrigation System in Arujundhara VDC in Jhapa District

Sikhar Kateri Irrigation System in Ravi Opee VDC in Kavre District

Iku Dha Irrigation System in Thaibe VDC in Lalitpur District

In documenting the processes of developments of the WUA, efforts will be made to use the same

Farmer Observers (FOs) used earlier as they have already been trained and are also aware of the

historical background. They will be stationed in the respective subprojects and will document and

analyze the activities and changes in the WUAs. They will participate in the CMIASP implementation

activities on a daily basis and work with relevant WUA subcommittees, such as the Agriculture andSocial Development Subcommittee and the Subproject Monitoring Subcommittee. Through inquiry

with the water users, the FOs will also try to cover the missing period of gap between this study and

the previous one.

Process documentation will be mainly focused on:

i. Improvement of physical infrastructures in the irrigation schemes undertaken as a part of

the support under CMIASP

ii. Capacity development of the WUAs relating to operation and management functions and



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delivery of irrigation services.

iii. Improvement in the agricultural technology and practices aimed at enhancing the

productivity of irrigated agriculture.

iv. Initiatives of market promotion, women participation, micro-credit and income generating

activities aimed towards diversification of income opportunities of water users and their

livelihood improvement.

This part will be completed by June 2012 and analysis and report writing will be done during the

month of July 2012. Appropriate strategies for backstopping will be identified during August 2012

and will be implemented from September to December 2012.

2.3 Case Study

For the case study, it has been proposed that nine (9) irrigation systems: three (3) from each of the

agro-ecological zones of Nepal: high mountains, middle hills and terai (flat planes), will be selected.

Additionally, the selection will be such that different community mixes are selected and at least onesystem out of three from each zone must be a failure case.

The distinction between success and failure cases will be made on the basis of whether the WUA has

been able to effectively take up multifunctional roles. Thus, those WUAs which have been register as

a farmers’ cooperative and have been reported to as being engages in multiple functions will be

considered as successful WUAs while those that have failed to do so will be considered as failure

cases. In order to confirm this, preliminary information of potential cases will be collected from the

regional irrigation offices.

The case studies will essentially be exploratory, diagnostic and narrative in nature. The study in each

system will be accomplished in two stages. The first stage will involve review of secondary sources

of information (published and unpublished reports, diagnostic studies, feasibility studies and past

research works). This will help generating the background information on the systems. The second

stage will involve in-depth diagnosis of processes and stages that led to evolution of multifunctional

WUAs. The lines of inquiries at this stage will involve:

i. Timelines of multifunctional engagements of WUAs

ii. Areas of multifunctional engagements

iii. Benefits resulting to water users from multifunctional engagements of WUAs

iv. Supporting and contradicting effects of multifunctional WUAs

v. Support services available from government and non-governmental organizations

vi. Lessons learnt

A diagnostic analysis will be made based on the information collected from the different cases as to

what elements contributed to the success or failure in developing multi-functionality. Also,

distinction will be made between the strengths and weaknesses among organically evolved WUAs

and agency sponsored WUAs while carrying out this analysis. Finally, the recommendations will be

made based on correlation between the parameters of success and failures and the technical, socio-

cultural, political and financial data pertaining to the different cases. The recommendation will also



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include institutional structure and responsibilities, both at central and districts levels.

The case studies will be conducted scheduled during June-August, 2012. This period has been

selected for the case study considering that it coincides with the irrigation activity and major

agricultural activities.

2.4 Handbook Preparation

For the Handbook preparation, the contents will mainly be focused on the process of promoting /

developing multifunctional WUAs in Nepal. It will be primarily based on the findings of the studies

conducted so far (including the follow-up study mentioned above). It will be in simple Nepali and

will be at the level of the general farmers. INPIM Nepal will also collaborate with NFIWUAN for the

purpose of finalizing the content of the handbook.

2.5 Orientation Training

The Orientation Training for the CIP project staff and consultant will basically be aimed at creating

general awareness among the new staff and consultants in the projects about WUAs and how they

can be motivated to be engaged in multifunction. The training will be conducted tentatively during

August / September 2012. CIP is currently in the process of selection of the consultants. A meeting

was held with the Project Coordinator of CIP. It was decided that it will be better to develop the

program of the orientation training in consultation and coordination with the project team after the

consultants are hired.

2.6 Backstopping to CMIASP Sites

For the backstopping to CMIASP for promoting multifunction among WUA, nine of the CMIASP sites

will be selected. INPIM Nepal team along with the concerned CMIASP staff will make site visits to

the selected sites and conduct several rounds of discussions with the WUA to identify their present

status in terms of adapting multifunction and to recommend specific ways of going about it.

The nine sites will be representative of all CMIASP sites. They will be selected to include systems in

all agro ecological zones, including terai and hill systems, and they will include systems in both

eastern and central development region.

2.7 WUA Orientation Workshops

The WUA Orientation Workshops will mainly be targeted towards WUAs in the subprojects

supported by CMIASP and CIP. INPIM Nepal will take support from the two projects in selecting the

appropriate target group will also collaborate with NFIWUAN for reaching out to the WUA. Four



6

workshops will be conducted to cover the different area: in Biratnagar (for eastern region), Chitwon

(for central region), Pokhara (for western region) and Nepalgunj (Midwestern and Far-western

region).

The orientation workshops will also be based on the findings and lessons learned from the previous

and current process documentation and case studies. They will be conducted during the months of

October and November of 2012. Interaction and discussions will be held on the challenges that theWUAs face in moving towards multi-functionality. Appropriate solutions and measures will be

discussed and disseminated.



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3. Implementation Schedule and Financial Plan

3.1 Implementation Schedule

This PDA will be carried out for a period of twelve months from the beginning of February 2012 up

to the end of January 2013. The activities will be carried out in the sequential order as proposed inAnnex 1. This sequence has been proposed because the findings from the stipulated studies

(process documentation and case studies) will be used for later dissemination activities.

3.2 Financial Plan

In accordance with the Letter of Agreement signed between the ADB and INPIM Nepal, ADB will

provide an amount of US $ 39,615 to cover the expenses for the implementation of the PDA based

as per the following scheme:

Upon signing of this Letter of Agreement $ 5,000

Upon submission and ADB’s acceptance of the Inception Report, and the SOE $15,000

Upon submission and ADB’s acceptance of the Mid-Term Progress Report and SOE $15,000

Upon submission and ADB’s acceptance of the Project Completion Report, and final SOE $ 4,615

INPIM Nepal will make all expenses within the framework of the approved cost estimate.

All cash advances will be liquidated as per ADB regulations together with original copy of invoice,

receipts and other supporting documents. Claim for airfare will be supported by (i) used/e-ticket, (ii)

receipts of purchase, and (iii) boarding passes. All documents will be translated in English. All

unutilized ADB funds will be returned to ADB in the original currency of payment within 30 days

upon completion of the PDA.

ADB funds shall be used exclusively to finance expenditures for the PDA. Goods and services

financed out of the ADB funds shall be procured in accordance with ADB’s Procurement Guidelines

dated February 2007, as amended from time to time, and, consultants financed out of the ADB

funds will be selected and engaged in accordance with the Guidelines on the use of Consultants by

Asian Development Bank and its Borrowers dated February 2007, as amended from time to time.

ADB funds shall not be used to finance expenditures related to capitalization, budget support, or

staffing requirements of the INPIM Nepal and other collaborating agencies, except for incremental

staffing from ADB member countries required for the PDA. It shall not be used to finance any local

taxes or duties.

Apart from the funds from ADB, INPIM Nepal will provide its own counterpart resources in cash or

kind, where appropriate, to complement the available resources for the PDA.



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3.3 PDA Outputs

ADB and INPIM Nepal will jointly own all outcomes of the PDA, including any intellectual property

rights. The parties shall jointly publish the results of the PDA in a form and manner mutually agreed.

PDA outcomes shall be made available in the public domain and may be used in the public interest

by the INPIM Nepal, ADB and/or any of the intended beneficiaries of RETA 6498.

One of the important objectives of the PDA is to produce research results that could be actually

implemented in the existing CMIASP and CIP projects, towards developing effective and sustainable

WUAs.



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4. Management and Institutional Arrangement

4.1 Stakeholders

The implementation of the activities shall be undertaken in tandem with government agencies

mainly DOI, DOLIDAR, and DOA. Close coordination will be maintained with the two main ADBfunded projects, viz. CMIASP and CIP.

The stakeholders of this study include DOI, DOA, CMIASP, ADB, NFIWUAN, WUAs and water users in

the selected subprojects. The participation of the stakeholders in the course of the study and in

utilizing the study findings have been foreseen at both project and sub-project level. At the project

level representatives from both CMIASP and CIP will be consulted from time to time. Progress of the

different PDA activities will be shared with the representatives from these projects. At the

subproject level, monthly meetings with the participation of the subproject personnel, WUA

functionaries and water users would be the forum to share the study findings that is expected to be

useful in micro-policy development specific to the subproject.

INPIM Nepal will contribute materials that can be used to disseminate the PDA’s learning through

ADB’s key initiative towards increasing public awareness and understanding of water issues,

encouraging dialogue among water stakeholders, and disseminating ADB’s water policy to

stakeholders, experts and decision-makers. The contributions can be in the form of case studies,

write-ups for e-newsletter or website, among others.

4.2 Accountability and Responsibility

INPIM Nepal will be fully responsible for the organization and conduction of the PDA. In order to

make each person responsible and accountable for individual tasks, INPIM Nepal will issue

agreements with individuals for each task.

In order to facilitate and assure efficient and effective implementation of the PDA as agreed, ADB

will oversee the implementation of the PDA through the designated activity officer from the

Environment, Natural Resources and Agriculture Division (SAER) of South Asia Regional Department

(SARD). The activity officer will monitor progress of the PDA on a periodic basis to ensure that all the

expected outputs are being achieved. The activity officers may undertake field visits to the pilot sites

as necessary to monitor PDA implementation progress;

The officials responsible for the implementation of this PDA shall be

For ADB: Director, Sustainable Infrastructure Division (RSID) in Regional and Sustainable

Development Division (RSDD), or any officer or officers as duly authorized by ADB in writing

For INPIM Nepal: Mr. Bashu Lohani, Secretary, or any officer or officers as duly authorized by such

representative of the INPIM Nepal in writing.



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4.3 Institutional Arrangements

INPIM Nepal will assign a team for the smooth implementation of the PDA activities. The team will

be a multidisciplinary so that all the socio-technical and cross cutting issues can be effectively

addressed. It will also include a coordinator who will coordinate with the different members of the

team as well as take charge of the administrative and financial matters.

The study team will work in consultation with the concerned WUAs, the community organizers and

NGOs working with those WUAs, and DOI and DOA personnel. The working arrangements of the

PDA will be worked out the study team in collaboration and consultation with relevant government

agencies like DOI, DOLIDAR and DOA

In addition, two workshops have been proposed to be organized in the course of the study. Of the

two workshops, one is proposed to be organized during the stage of compilation of the study finding

so that valuable insights and significance of the data collected can be derived. The second workshop

is proposed to be organized towards the completion of the PDA so that outcome to the activities can

be shared to a wider audience.

A project level review committee has been constituted to review the research results periodically

and think of ways and means of incorporating the study findings in the implementation processes.



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5. Monitoring and Reporting System

5.1 Monitoring of Activities

The activities at the sub-project level will be implemented through the farmer organizers in tandem

with government agencies mainly, DOI, DOLIDAR, and DOA. Close coordination will be maintainedwith the two main ADB funded projects, viz. CMIASP and CIP. The progress of process

documentation in the three sub-projects will be monitored by the three lead researchers. Monthly

report on process documentation outcome shall be prepared and presented at the sub-project level

review meeting on the last week of every month. One of the lead researchers will be present in the

review meeting.

5.2 Reporting System

Three reports based on the outcome of the PDA will be prepared and submitted to Regional

and Sustainable Development Department of ADB as per following schedule:

i. Inception Report: including description of proposed activities, description and

financial plan, institutional arrangement and reporting format to be submitted by

the end of February 2012.

ii. Mid-Term Report: to be submitted by the end of August 2012

iii. Final Report: to be submitted by the end of January 2013

The contents of the report shall include, but not limited to:

i. Activities undertaken and accomplished

ii. Major findings and outcomes

iii. Suggestions on ways and means of incorporating the study findings in the

implementation modalities of CMIASP and CIP

iv. Suggestions on dissemination of study findings to wider audience

v. Statement of expenditure



1

Annex 1

Schedule of Project Activities

S. N. Activities

2012 2013

F M A M J J A S O N D J

1 Preparation and submission of Inception Report

2a Process Documentation of multifunctional WUAs

in selected FMISs under CMIASP

2b Preparation of Process Documentation Report

2c Identify appropriate strategies for backstopping

2d Provide backstopping to WUA in terms of multi-

functions

3 Case Study of selected irrigation systems (FMIS

and AMIS) demonstrating successful and failure

models/examples of evolution of multifunctional

WUAs

4 Preparation and submission of Mid-term Report

5 Preparation of Handbook suggesting process and

areas for development of multifunction of WUAs

based on the study and research thus far6 Orientation Training for the CIP project staff and

consultant on the process of developing


7 Backstopping to CMIASP for promoting

multifunction among WUAs in 9 selected sites

8 Organization of WUA Orientation Workshops on

developing multifunction covering all the regions

9 Preparation and submission of Final Report



Annex 2

Cost Estimate of the Activity

SN Description Qty. Unit Rate Total Remarks

1 Specialists Services:

a. Farmer Observers (FOs) for

Process Documentation

36 Man

months

7,000 252,000 One FO in each system

total 3 in number for

12 monthsb. Researchers for Case

Studies

36 Man

months

5,000 180,000 Nine (9) in number for

4 months

c. Monitoring visits to the

three Process

Documentation sites

36 Man

times

3,000 108,000 Quarterly visits to the

sites by the 3 people

d. Data compilation, analysis

and report writing for the

case studies

4 Man

months

25,000 100,000 One person for two

months

e. Coordination and

supervision works

16 Man

months

20,000 320,000 For overall supervision

of all the activities

f. Data compilation, analysis


process documentation

4 Man

months


months

g. Field visits to nine CMIASP

sites for assistance

54 Man

times

3,000 162,000 2 visits by groups of on

an average 3 people

h. Moderation of workshops

(2+4) and Orientation

Training 1

7 Number 20,000 140,000

2 Equipment and Supplies:

a. Stationeries for FOs 3 No 4,000 12,000

b. Transportation and other

costs during monitoring

visits to process

documentation sites

12 sites 6,000 72,000

b. Training Materials

development for CIP

training

1 Lump

sum

30,000

3 Training, workshop, Seminar and Public Campaign

c. Conduction of Training

Need Assessment

25 particip

ants

400 15,000 For the CIP staff and

consultants

d. Training conduction for theCIP staff and consultant

1 No 150,000 Includes participants'costs and

remuneration for the

resource persons

e. Training evaluation and

follow-up

6 months 10,000 60,000

f. Conduction of WUA

Orientation Workshops

4 No 150,00

0

600,000 Includes four

orientation workshops



3

3

to be held in four

locations

g. Workshops 2 No 50,000 100,000 For dissemination of

study findings

4 Other Outputs

h. Report production 500 copies 200 100,000

i. Handbook printing 700 copies 200 140,000

SUB-TOTAL 2,641,000

5 Contingencies 132,050 5% of sub-total

GRAND TOTAL (in NRs) 2,773,050

In US$ (1 US$ = 70 Rs) 39,615



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4

Annex 3

Measurable Performance Indicators

Design

Summary

Performance

Targets/Indicators

Data Sources/Reporting

Mechanisms

Assumptions

and Risks

Impact:

Enhanced agricultural

productivity andsustainability of FMISs

through multifunctional

engagement of WUAs

i. Increased cropping

intensity, crop

diversification andproductivity

ii. Efficient delivery of

agricultural production

inputs, technology and

related support

services

iii. Effective linkage with

market (infrastructure

and information)

enhancing return tothe farmers

iv. Enhanced engagement

and performance of

WUAs in the operation

and management of

the irrigation scheme

and irrigated

agriculture

• Sub-Project BME

Report

• Sub-Project Progressand Completion

Report

• Sub-Project Evaluation

Report

Assumptions

• Willingness and

cooperation of the WUAsin accepting enhanced

roles in the management

of irrigated agriculture

• Necessary system

operational for continued

monitoring of and

evaluation of performance

• Appreciation of value and

continued support from

within and outside DOI

Risks

• Conducive politicalconditions prevailing

throughout the project

cycle

• Timely execution of the

project cycle envisioned

under CMIASP

Outcome:

i. Evaluation of

possibilities of

enhanced engagementof WUAs in operation

and management of

irrigation and irrigated

agricultural system,

input supply and

marketing of

agricultural produces

ii. Development of

procedural guidelines

and identification of

needs of supportservices fostering

evolution of

multifunctional WUAs

in CMISP and CIP's sub-

projects and other

FMISs

i. Increased role of WUAs

in:

a. Operation andmanagement of

irrigation system and

related decision

making

b. Management of


inputs, knowledge/

technology and

marketing of

agricultural produce

c. networking with line

agencies, developmentorganizations and

private sector for the

mobilization of support

services

ii. Effectiveness of


to be adopted in

• Sub-Project BME

Report


Report


Report

• Review of

international and

domestic experiences

with multifunctional

WUAs• Review of policy

frameworks and

institutional

arrangements

fostering and/or

impeding evolution of


• Process

Assumptions:

• Willingness and

cooperation of the WUAs

in accepting enhancedroles in the management




monitoring of and





• FOs stationed in the

subprojects continue to

get effective cooperationfrom the WUA, users and

project personnel

Risks:

• Conducive political

conditions prevailing


cycle



5

5

CMIASP sub-projects

fostering evolution of


documentation report

on selected

subprojects



under CMIASP

Outputs:

i. Process


focused to factors,

environment andprerequisites for the

evolution of

multifunctional WUAs;

ii. Case study report

documenting success

and failure cases of

development of

multifuntionality in

the WUAs in Nepal;

iii. Preparation of

handbook for

promoting /

developing


in Nepal;

iv. Conduction of

orientation training for

the CIP project staff

and consultants;

v. Backstopping to

CMIASP for WUA

Multifunction

Development in 9

selected sites; and

i. Four WUA OrientationWorkshops for

motivating them

towards multifunction.

i. Process diagnosis of

factors, environment

and prerequisites for

the developmentprocess of


ii. Case study to analyze

the factors

contributing the

development of

multifunctionality

iii. Capacity building of

the related staff in

terms of institutional

strengthening of

WUAs

iv. Dissemination of the

study findings through

appropriate forums

• Previous study

• Subproject process

documentation

reports• Interim procedural

guidelines for

adjustments in

subproject

implementation

framework

• Information collected

during field visits

Assumptions:

• Willingness and


in accepting enhanced

roles in the managementof irrigated agriculture



monitoring of and







get effective cooperation

from the WUA, users and

project personnel

Risks:




cycle



under CMIASP

Activities with Milestones:

1. Process Documentation of the 3 CMIASP Schemes

1.1 Mobilization, orientation and assignment of the

Field Observers.

1.2 Continuous data collection and their compilation

from the 3 selected sites

1.3 Report writing based on the analysis of collected

data

2. Case Study of the Selected 9 Irrigation Systems

2.1 Selection of the irrigation systems

2.2 Data collection from different systems

2.3 Data analysis


data

3. Training for CIP project staff / consultant

Inputs:

ADB

• Comments, suggestions and approval of study

approach and methodology

• Timely disbursement of funds

• Relevant literatures on evolutionary process and

performance of multifunctional WUAs from different

parts of the world

DOI / DOA

• Comments, suggestions and approval of the study


• Formalization of steering committee

• Access to relevant documents and literatures

CMIASP / CIP



6

6

3.1 Conduction of Training Need Assessment (TNA)

3.2 Training course design

3.3 Conduction of the Training on Multi functional

WUA

3.4 Training evaluation and follow up

4. Dissemination of Study Findings

4.1 Conduction of workshops to discuss on the study

findings4.2 Publication of the report containing the study

findings



• Suggestions on selection of subprojects for process

documentation research

• Local logistics (office, local transportation and access

to computer) for FOs stationed at sub-project level.

Honorarium of the FOs to be supported from the

study fund.

NFIWUAN / WUAs

• Support in selecting the appropriate WUAs

• Support in reaching out to the right contact person in

the WUAs

• Access to FOs to WUA documents, minutes of

meetings and decisions

• Access of FOs to WUA meeting

Collaborating Institutions

• Deputation of relevant personnel (as outlined in this

document) to work in the study team for the needed

duration• Access to computation and communication facilities



7

7

Annex 4

Process Documentation Methodology

Definition:

Process documentation is the activity of documenting all the events, their cause and their impact with

the objective of developing a better understanding of the topic.

Scope of Process Documentation:

Institutional develop of WUA towards assuming multiple functions.

Background:

Process documentation is basically the continuation of the activity conducted in the previous PDA.

When the previous PDA ended in December 2010 the physical improvement (construction) works in

most of the irrigation systems were not accomplished. Hence it was desired to see what will be impact

of the construction works on the subprojects and thus the same CMIASP sub-projects selected earlier

were continued. They are:

Tanting Kalikoshi Irrigation System in Arujundhara VDC in Jhapa District Sikhar Kateri Irrigation System in Ravi Opee VDC in Kavre District


Two-prone Objective of Process Documentation:

• Research aspect

• Positive intervention aspect

Research Aspects:

v. Improvement of physical infrastructures in the irrigation schemes undertaken as a part of the

support under CMIASP

vi. Capacity development of the WUAs relating to operation and management functions and


vii. Improvement in the agricultural technology and practices aimed at enhancing the productivity

of irrigated agriculture.

viii. Initiatives of market promotion, women participation, micro-credit and income generating



Output:

- Timeline: major events and activities related to the WUA (February to June 2012)

- Process Documentation Report (July 2012)

- Intervention strategy and work plan (August 2012)

- Positive interventions (September to December 2012)



8

8

Process Documentation Report

Table of content

1 INTRODUCTION ..................................................... ERROR! BOOKMARK NOT DEFINED.

1.1 Location ...................................................................... Error! Bookmark not defined.

1.2 Physical Characteristics .............................................. Error! Bookmark not defined.

1.2.1 Intake ............................................................... Error! Bookmark not defined. 1.2.2 Main Canal ....................................................... Error! Bookmark not defined.

1.2.3 Branch Canal .................................................... Error! Bookmark not defined.

1.2.4 Command Area ................................................ Error! Bookmark not defined.

1.3 Socio-economic Status of Water Users ...................... Error! Bookmark not defined.

1.3.1 Population Status ............................................. Error! Bookmark not defined.

1.3.2 Land Holding Pattern ....................................... Error! Bookmark not defined.

1.3.3 Educational Level ............................................. Error! Bookmark not defined.

1.3.4 Economic Status of Water Users ..................... Error! Bookmark not defined.

1.4 Agricultural Practices and Production Systems ........................................................ 42. EVOLUTION OF PHYSICAL INFRASTRUCTURE ........... ERROR! BOOKMARK NOT DEFINED.

2.1 History of Establishment of Irrigation System ........... Error! Bookmark not defined.

2.2 Major Rehabilitations till date ................................... Error! Bookmark not defined.

2.3 Operation and Maintenance ...................................... Error! Bookmark not defined.

2.4 Allocation and Distribution of Water ......................... Error! Bookmark not defined.

3 WATER USERS ASSOCIATION ................................. ERROR! BOOKMARK NOT DEFINED.

3.1 Formation of WUA ..................................................... Error! Bookmark not defined.

3.2 Functionaries of WUA ................................................ Error! Bookmark not defined.

3.3 Working of WUA ........................................................ Error! Bookmark not defined. 4. CMIASP INTERVENTIONS IN IKUDAHA ................... ERROR! BOOKMARK NOT DEFINED.

4.1 Improvement of Physical Infrastructure .................... Error! Bookmark not defined.

4.2 Capacity Building of WUAs ........................................ Error! Bookmark not defined.

4.3 Improvement in Agriculture Technology .................... Error! Bookmark not defined.

4.4 Initiative of Market Promotion and Income GenerationError! Bookmark not defined.

4.5 Overall Impact of CMIASP Interventions .................... Error! Bookmark not defined.

5 MULTIFUNCTIONAL ENGAGEMENTS OF THE WUA . ERROR! BOOKMARK NOT DEFINED.

5.1 Assessment of Present Status of WUA Engagement . Error! Bookmark not defined.

5.2 Suggestions for Enhancing Multifunctional Engagement Error! Bookmark not defined.



ii

Abbreviations and Acronyms

ADB Asian Development Bank

AMIS Agency Managed Irrigation System

APP Agricultural Perspective Plan

CBO Community Based Organization

CMIASP Community Managed Irrigated Agriculture Sector Project

DADO District Agricultural Development Office

DOI Department of Irrigation

DOA Department of Agriculture

FFS Farmers’ Field School

FMIS Farmer Managed Irrigation System

FMIST Farmer Managed Irrigation System Promotion Trust

INPIM-Nepal International Network of Participatory Irrigation Management-Nepal

IWRM Integrated Water Resources Management

NARC Nepal Agricultural Research Council

NGO Non-Governmental Organization

NFIWUAN National Federation of Irrigation Water Users Associations-Nepal

NWRS Nepal Water Resources Strategy

O&M Operation and Maintenance

PDA Pilot and Demonstration Activity

RETA Regional Technical Assistance (for knowledge and innovative support)

UNDP United Nations Development Program

VDC Village Development Committee

WUA Water Users’ Association



iii

Table of Content

Topics Page

Acronyms ii

Table of Content iii

1. INTRODUCTION ................................................................................................................1

1.1 Background . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . 1

1.2 Objective of PDA . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. 1

2. DESCRIPTION OF PROPOSED ACTIVITIES .........................................................................3

2.1 Proposed Activities. . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. 3

2.2 Process Documentation . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . 3

2.3 Case Study . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . 4

2.4 Handbook Preparation . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . 5

2.5 Orientation Training . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 5

2.6 Backstopping to CMIASP Sites . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . 5

2.7 WUA Orientation Workshops . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . 5

3. IMPLEMENTATION SCHEDULE AND FINANCIAL PLAN ....................................................7

3.1 Implementation Schedule . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . 7

3.2 Financial Plan . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . 7

3.3 PDA Outputs. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . 8

4. MANAGEMENT AND INSTITUTIONAL ARRANGEMENT ..................................................9

4.1 Stakeholders . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . 9

4.2 Accountability and Responsibility . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. 9

4.3 Institutional Arrangements . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . 10

5. MONITORING AND REPORTING SYSTEM ......................................................................11

5.1 Monitoring of Activities . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . 11

5.2 Reporting System. . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 11

Annexes

Annex 1: Schedule of Project Activities 20

Annex 2: Cost Estimate of Activities 21

Annex 3: Measurable Performance Indicators 19

Annex 4: Detailed Description of Process Documentation 21



1

1. Introduction

1.1 Background

International Network on Participatory Irrigation Management - Nepal (INPIM-Nepal) carried out a

study titled “Demonstrating Enhanced Productivity in Irrigated Agricultural System through

Multifunctional Water Users’ Association” under ADB’s RETA 6498 during from July 14, 2009 to

December 31, 2010. The key conclusion of the study was the need to recognize the WUAs as an

effective institutional entity in the rural development setting contributing to the core needs of

irrigation infrastructure and services and irrigated agricultural production system. The WUAs were

observed to possess the natural potential of accepting and delivering much wider roles in the

irrigated areas beyond simple operation and maintenance. With large number of viable WUAs in the

country and their time tested capacities in organizing and managing irrigation infrastructure and

services, the potential of linking them to the economies at the local and national level through theirincreased roles in input supply, agriculture extension, diversification of agribusiness, marketing, etc.

revealed a huge opportunity to uplift the economic conditions of the agriculture based rural

communities of the country.

INPIM Nepal published and disseminated the study findings to all the related stakeholders in Nepal.

The work was well appreciated by ADB as well as other stakeholders.

In order to give continuity to the efforts and to build up on the achievements made by the PDA,

INPIM Nepal developed a follow-up PDA. A proposal was submitted to ADB in June 2011 and finally

approved in December 2011. This PDA after care has been entitled “Enhancing Irrigated AgricultureProductivity through Multifunctional Water Users' Associations and Its Dissemination”. The aim this

time was not only to make the previous effort comprehensive and complete but also to take the

findings one step ahead toward materializing them by providing the necessary backstopping to the

existing ADB supported irrigation projects in Nepal.

This inception report has been prepared to explain in detail the activities proposed in the PDA, its

work schedule, management and financial plan, institutional arrangement, and monitoring and

reporting system.

1.2 Objective of PDA

The main objective of this PDA is to give continuity and build up on the previous efforts of evaluating

the potential for and merit of building multifunctional water users associations (WUAs) in Nepalese

irrigation systems and to take it one step ahead by disseminating those findings through trainings

and workshops. The specific objectives of the research aspect are as follows: (i) to document the

process of evolution of multifunctional WUAs after the rehabilitation (construction) works; (ii) to

evaluate the factors, environment, and prerequisites for the evolution of multifunctional WUAs



2

through success and failure case studies that are representative of the different agro-ecological

zones of Nepal; (iii) to develop training material and to provide necessary trainings / backstopping in

terms of promoting multi-functionality in the ADB supported irrigation projects, namely, Community

Managed Irrigated Agriculture Sector Project (CMIASP) and Community Irrigation Project (CIP).

Thus the activities proposed in this PDA are expected to make significant contribution towards

institutionalizing multifunction among the WUAs. It is expected not only to establish the right

procedure through research but also to apply the findings through field level execution. More

specifically, it is considered to be very useful in linking the activities and achievements made by the

ADB-funded CMIASP to the project goal of enhancing agricultural productivity and sustainability of

farmer-managed irrigation systems by empowering WUA. Moreover, it is also expected to give a

right direction to CIP by timely orienting the staff and consultants about the approach for socio-

institutional strengthening of WUA.

1.3 Scope for Replication

Participatory Irrigation Management (PIM) has been adopted as distinct policy framework in

irrigation development in most countries in south and south-east Asia. In most of these countries,

the performance of irrigated agriculture continues to remain below satisfactory. This also continues

to remain challenge for the donors, government and development agencies to ensure food security

and livelihood improvement for the growing population. The quest has been enhancing the

productivity of irrigated agriculture through rehabilitation of irrigation infrastructures and

institutional improvements for enhanced operation and management services leading to water use

efficiency, crop diversification, increased cropping intensity and increased harvest size. The

objectives, expected outcomes and implementation frameworks foreseen in CMIASP and CIP are not

an isolated example in the region. Similar initiatives are underway in most countries in the region.The findings of this PDA, in selected subprojects under CMIASP and CIP, is therefore, expected to be

relevant to similar initiatives in other parts of the world. The relevance and modality of replication

of the study outcome would however be dictated by specific national and local level context of the

countries in question.



3

2. Description of Proposed Activities

2.1 Proposed Activities

The activities under this PDA shall essentially include:

Process Documentation and diagnosis for development / promotion of multifunctional

WUAs in selected FMISs under CMIASP

Case Study of selected irrigation systems (FMIS and AMIS) demonstrating successful and

failure models/examples of evolution of multifunctional WUAs

Preparation of Handbook suggesting process and areas for development of multifunction of

WUAs based on the study and research thus far;

Orientation Training for the CIP project staff and consultant on the process of developing


Backstopping to CMIASP for promoting multifunction among WUAs in 9 selected sites

Organization of WUA Orientation Workshops on developing multifunction covering all theregions

These activities have been discussed one by one in further detail in the remaining sections of this

chapter of the Inception Report.

2.2 Process Documentation

For the process documentation, the same three subprojects under CMIASP selected earlier, will be

continued. They are:

Tanting Kalikoshi Irrigation System in Arujundhara VDC in Jhapa District

Sikhar Kateri Irrigation System in Ravi Opee VDC in Kavre District


In documenting the processes of developments of the WUA, efforts will be made to use the same

Farmer Observers (FOs) used earlier as they have already been trained and are also aware of the

historical background. They will be stationed in the respective subprojects and will document and

analyze the activities and changes in the WUAs. They will participate in the CMIASP implementation

activities on a daily basis and work with relevant WUA subcommittees, such as the Agriculture andSocial Development Subcommittee and the Subproject Monitoring Subcommittee. Through inquiry

with the water users, the FOs will also try to cover the missing period of gap between this study and

the previous one.

Process documentation will be mainly focused on:

i. Improvement of physical infrastructures in the irrigation schemes undertaken as a part of

the support under CMIASP

ii. Capacity development of the WUAs relating to operation and management functions and



4


iii. Improvement in the agricultural technology and practices aimed at enhancing the

productivity of irrigated agriculture.

iv. Initiatives of market promotion, women participation, micro-credit and income generating



This part will be completed by June 2012 and analysis and report writing will be done during the

month of July 2012. Appropriate strategies for backstopping will be identified during August 2012

and will be implemented from September to December 2012.

2.3 Case Study

For the case study, it has been proposed that nine (9) irrigation systems: three (3) from each of the

agro-ecological zones of Nepal: high mountains, middle hills and terai (flat planes), will be selected.

Additionally, the selection will be such that different community mixes are selected and at least onesystem out of three from each zone must be a failure case.

The distinction between success and failure cases will be made on the basis of whether the WUA has

been able to effectively take up multifunctional roles. Thus, those WUAs which have been register as

a farmers’ cooperative and have been reported to as being engages in multiple functions will be

considered as successful WUAs while those that have failed to do so will be considered as failure

cases. In order to confirm this, preliminary information of potential cases will be collected from the

regional irrigation offices.

The case studies will essentially be exploratory, diagnostic and narrative in nature. The study in each

system will be accomplished in two stages. The first stage will involve review of secondary sources

of information (published and unpublished reports, diagnostic studies, feasibility studies and past

research works). This will help generating the background information on the systems. The second

stage will involve in-depth diagnosis of processes and stages that led to evolution of multifunctional

WUAs. The lines of inquiries at this stage will involve:

i. Timelines of multifunctional engagements of WUAs

ii. Areas of multifunctional engagements

iii. Benefits resulting to water users from multifunctional engagements of WUAs

iv. Supporting and contradicting effects of multifunctional WUAs

v. Support services available from government and non-governmental organizations

vi. Lessons learnt

A diagnostic analysis will be made based on the information collected from the different cases as to

what elements contributed to the success or failure in developing multi-functionality. Also,

distinction will be made between the strengths and weaknesses among organically evolved WUAs

and agency sponsored WUAs while carrying out this analysis. Finally, the recommendations will be

made based on correlation between the parameters of success and failures and the technical, socio-

cultural, political and financial data pertaining to the different cases. The recommendation will also