i

MURAT RIVER WATERSHED REHABILITATION

PROJECT

PROJECT IMPLEMENTATION MANUAL

March 2013, ANKARA

ii

PAGE

CURRENCY EQUIVALENT vi

WEIGHTS AND MEASURE vi

ABBREVIATIONS AND ACRONYMS

vii

PART A: PLANNING 1

I. Introduction 2

II. Project Framework 4

a. Components 4

b. Project Target Group 5

III. Implementing Parties Duties and Responsibilities 5

a. Enablers and Financiers 5

b. Implementing and Cooperating Parties 6

PART B: IMPLEMENTATION GUIDELINES AND PROCEDURES 7

I. Implementation Arrangements for the Project 8

a. Central Operations Unit 9

b. Field Operations Unit 9

c. Provincial Project Teams 10

d. Project Steering Committee 11

II. Financing Project Expenditures 11

a. Project Costs and Financing 11

b. Special Account 13

c. Flow of Funds 14

d. IFAD Disbursement Procedures 15

e. Withdrawal Applications 15

TABLE OF CONTENTS

iii

f. Audit Procedures 16

g. Financial Monitoring Report (FMRs) 16

h. Financial Management Supervision 17

i. Project Completion 17

III. Annual Work Plan and Budgets 19

IV. Detailed Activities and Implementation Procedures by Component 19

Component 1. Natural Resources and Environmental Management 20

a. Introduction 21

b. Awareness Raising 22

c. MC Selection Process 23

d. MC Plan Concept 25

e. Participatory Tool and the Process 26

f. Implementation Arrangements and Procurement 27

Component 2. Investments in Natural Resources and Environmental Assets 31

a. Introduction 32

b. Investment Menu 33

Soil Conservation 33

Rehabilitation of Degraded Forests 34

Rehabilitation of Degraded Grazing Land 36

Investments in Rangeland Infrastructure 36

c. Implementation Arrangements and Procurement 39

Component 3. Investment in Livelihood Improvement 41

a. Introduction 42

b. Impacts and Linkages 42

c. Investment Menu 43

Improving wheat and barley productivity 43

Expanding area under forage crops 44

Improving of livestock stable conditions 44

iv

Establishing modern orchards 45

Improving vegetable production 45

Water storage ponds 46

Rehabilitation of existing irrigation infrastructure 47

On-farm low pressure drip irrigation 47

Contracted seedling production 48

Promoting energy saving technologies 49

d. Knowledge and Skill Development 49

e. Implementation and Procurement Arrangements 55

PART C: REPORTING, MONITORING, SUPERVISION and EVALUATION 57

I. Introduction 58

II. Progress Reporting 58

III. Monitoring and Evaluation 59

VI. Inception Review 62

V: Assessment of Project Impact 62

PART D: IFAD SUPERVISION 65

I. Introduction 65

II. Field Visit 66

III. Mission Report (Aide Memoire) 70

VI: References for Additional Information 71

TABLES

Table 1. Composition of Central Operations Unit (COU) 9

Table 2. Composition of Field Operations Unit (FOU) 10

Table 3. Schedule II of Loan Agreement 12

Table 4. Financing Plan by Component 12

Table 5. Financing Plan by Expenditure Accounts

13

FIGURES

v

Figure 1. Organizational Chart 8

Figure 2. Flow of Funds

14

Figure 3. Measuring Results and Impacts

60

BOXES

Box 1. Criteria for MC Selection

24

Box 2. MC Plan Preparation Steps

26

ANNEXES

Annex 1. Terms of Reference for Secretary/Translator

72

Annex 2. Terms of Reference for Deputy Project Manager (DPM) 73

Annex 3. Terms of Reference for Provincial Project teams (PPTs) 75

Annex 4. Letter to Borrower 78

Annex 5. Disbursement Semester and Government Cash Flow

79

Annex 6. Checklist for Withdrawal Applications 80

Annex 7. Format for Financial Statements

82

Annex 8. Terms of Reference for Auditors

83

Annex 9. Format for AWPB 88

Annex 10. Guidelines for Participatory Integrated MC Plans 89

Annex 11. BCPSBS Process 96

Annex 12. Term of Reference for Micro Catchment Planning Teams (MCTP) 100

Annex 13. Guidelines for Successful Demonstrations 103

Annex 12. Logical Framework 110

CURRENCY EQUIVALENT (March, 2013)

vi

Monetary Unit = Turkish Lira TL

1 USD = TL 1.8

1 TL = USD 0.56

1 kilogram (kg) = 2.204 pounds

1 000 kg = 1 metric ton (mt)

1 kilometer (km) = 0.62 miles

1 meter (m) = 1.09 yards

1 square meter (m2) = 10.76 square feet

1 decare (da) = 0.1 hectare (ha)

1 hectare (ha) = 2.47 acres

WEIGHTS and MEASURES

vii

AGM General Directorate of Afforestation and Erosion Control (former)

AWPB Annual Work Plan and Budget

BCPCPS Beneficiary Centered Problem Census Problem Solving

CEM General Directorate of Combatting Desertification and Erosion

Control (Turkish acronym)

COU Central Operations Unit

FMR Financial Monitoring Report

FOU Field Operations Unit

HBS Household budget survey

HH Household

IC Individual Consultants (procurement method)

ICB International Competitive Bidding

IY Implementation year

GIS Geographic Information System

IPSAS International Public Sector Accounting Standards

M&E monitoring and evaluation

MAPs Medicinal and Aromatic Plants

MFAL Ministry of Food, Agriculture and Livestock

MC micro-catchment

MCP Micro-catchment Plan

MCPT Micro-catchment Planning Team

MFWA Ministry of Forestry and Water Affairs

MoU Memorandum of Understanding

MRWRP Murat River Watershed Rehabilitation Project

MTR Mid-term Review

NCB National Competitive Bidding

NGO non-governmental organization

ABBREVIATION AND ACRONYMS

viii

NRDP National Rural Development Plan

NRDS National Rural Development Strategy

NRM natural resource management

NWFP non-wood forest product

O&M operation and maintenance

OBM Regional General Directorate of Forestry (Turkish acronym)

OGM General Directorate of Forestry (Turkish acronym)

OIM Provincial General Directorate of Forestry (Turkish acronym)

ORKOY General Directorate of Forest Village Relations of MOFWA (Turkish

Acronym)

PCE/IA Project Completion Evaluation/Impact Assessment

PDA Provincial Directorate of Agriculture

PDO Provincial Directorate of OGM

PIM Project Implementation Manual

PPL Public Procurement Law

PPP public-private partnership

PPT Provincial Project Team

PY project year

RIMS Results and Impact Management System

SBD Standard Bidding Document

SOE Statement of Expenditure

TA Technical assistance

WS Watershed

1

PART A

PLANNING

2

1. The present Murat River Watershed Development Project (MRWDP) design is aligned

with the objectives set out in the Results-based Country Strategic Opportunities Program

(COSOP) of 2006 and its 2011-12 Addendum, in particular the emphatic statement that

sustainable natural resource management is a necessary condition for rural poverty

reduction. The 2006 COSOP notes that the support from IFAD should aim to combine

targeted interventions, geared towards quality of life improvements in poorer villages, with

primarily self-targeting measures to stimulate, where feasible, broader-based growth in

economic activity that can generate jobs and increase income for poorer rural people. The

Addendum 2011-2012 served mainly to provide updated information and analysis with

regard to the 2006 COSOP, and to steer the focus of the IFAD country program towards

improved natural resource management with pronounced emphasis on the participatory

rehabilitation of degraded forests and agricultural lands together with creating income-

generating opportunities for poor forest dwellers.

2. The MRWDP Loan Agreement was signed on 5 November 2012. The Project

Completion Date is …….. 2018 and the Financing Closing Date is on ………. 2016.

3. The overall goal of the Project is to reduce poverty among the upland communities of

the Murat river watershed. The objective is to support Government‟s efforts to check further

degradation of watersheds and to improve the natural resource base as a means to raise

income and livelihood in upland villages. The Project will specifically focus on village dwellers‟

involvement in the decision making and implementation processes relating to the

rehabilitation of the existing natural resources while facilitating the creation of a strong sense

of ownership among the upland communities and thereby ensuring sustainability of

investments.

4. Considerations that have shaped the design of the MRWDP include: (i) compliance

with Government strategies and policies, in particular, the Government‟s Long-term

Strategy (2001-2023), Ninth Development Plan (2007-2013), National Rural

Development Strategy (2010-2013), National Forest Program (2004-2023); National

Action Program on Combating Desertification and National Climate Change

Strategy (2010-2020), (ii) compliance with IFAD‟s strategies and policies including:

Strategic Framework 2011-15; Targeting Policy – Reaching the Poor; Gender Strategy;

Engagement with Middle-Income Countries; Climate Change Strategy; Environment and

Natural Resource Management Policy; Policy on Supervision and Implementation Support;

and Environmental and Social Assessment Procedures; iii) IFAD‟s 2006 Country Strategic

Opportunities Paper (COSOP) for Turkey and the Addendum for 2011-2012; (iii) the urgent

and well-recognized need to break the vicious cycle between natural resource degradation

and rural poverty in the Murat river watershed characterized by a high degree of

environmental deterioration and widespread poverty in the upland villages; iv) the

communities‟ expressed needs as well as the physical and economic feasibility of the

I. INTRODUCTION

3

selected activities; vi) criteria-based targeting of project interventions; vii v) mitigation and

perhaps reversal of outmigration;) complementarities with and lessons learned from the two

ongoing IFAD-financed projects in Turkey, the Sivas-Erzincan Development Project (SEDP)

and the Diyarbakir, Batman and Siirt Development Project (DBSDP).

4. This Project Implementation Manual (PIM) for MRWDP sets out the project

strategy, operational activities, steps and procedures, and responsibilities of key

stakeholders. PIM also includes a Monitoring and Evaluation (M&E) operational plan.

5. IFAD has supported eight projects in Turkey since 1982. The overall record of

implementation was mixed. Difficulties arose from the highly centralized and bureaucratic

nature of government administration and a supply-driven attitude towards development. In

the past, these problems were compounded by unstable and adverse macroeconomic

conditions but recent stabilization and rapid growth of the economy accompanied by fiscal

and structural reforms has improved markedly the overall climate for investment and

development. Nevertheless, bureaucratic procedures continue to act as a constraint on the

smooth and successful implementation of projects. However, in the last six years these

difficulties have been addressed through a series of measures including: Collaboration with

UNDP for assistance in procurement and flow of funds; direct supervision and

implementation support by IFAD; a more focused design of investments; and clearly defined

modalities and institutional responsibility for Project implementation. These initiatives have

resulted in a decrease in the time required for declaration of effectiveness and an

accelerated disbursement for the three projects currently under implementation. Specific

problems have included delays in declaring projects effective, slow rates of disbursement,

and difficulties in managing the flow of funds. In some cases, portfolio restructuring, partial

loan cancellation or resource reallocation has been necessary, resulting in adjustments to

loan agreements and Project administration arrangements.

6. In Turkey, some constraints to implementing IFAD projects in the past have arisen

from required bureaucratic procedures and an historical tendency to supply-driven

development, which was not based on technical, financial feasibility, or concerns for

marketability of produce. Specific difficulties, experienced not only by IFAD that support

eight projects in Turkey since 1982 but also by other agencies such as the World Bank,

include: (i) long delays in declaring projects effective; (ii) slow rates of disbursement; and

(iii) difficulties in maintaining the flow of funds. There are also some lessons learned that

need to be applied to new projects to mitigate the constraints to successful implementation.

The following lessons learned were taken into consideration in defining the implementation

steps and procedures and responsibilities of key stakeholders in the PIM: i) institutional

responsibility for implementation should be streamlined with clear assignment to one arm of

the administration for overseeing project execution thus minimizing the need for

coordination within the state apparatus; ii) project management needs to be decentralized

to the province level with a certain amount of authority for decision making related to

implementation, and iii) projects financed by the Fund in Turkey require frequent follow-up

and assistance to implementing parties.

II. PROJECT FRAMEWORK

4

7. The MRWDP would comprise three components: (i) Natural Resources and

Environmental Management; (ii) Investments in Natural Resources and Environmental

Assets; and (iii) Investments in Improved Livelihoods.

8. Component 1: Natural Resources and Environmental Management (about

USD 3.18 million) this component seeks to promote the establishment of environmentally

conscious communities capable of planning and management of natural resources. The

component focuses on assisting Government institutions‟ efforts to make planning and

management more people oriented, and to built ownership and sustainability into its

programs for investments in the upper watersheds of Eastern Turkey. The centerpiece of

the Project is the generation, negotiation, preparation, and implementation of around 25

viable and replicable micro-catchment plans. The Project will seek to promote participatory

co-management modalities under which the village communities‟ livelihood strategies are

aligned with the sustainable use and improvement of public/shared natural resources.

Contracted Micro-Catchment Planning Teams (MCPT) will assist villagers from selected MCs

to make informed decisions about committing themselves to work with OGM to rehabilitate

their degraded natural resources (in the short term) and manage them sustainably (in the

medium and long term). The participatory planning will result in the preparation of village

plans addressing both NRM management and improved livelihood. The village plans

constitutes the building blocks of an integrated Micro-Catchment Plan comprising sub-plans

for forestry land, pastureland, agricultural land, water and energy.

9. Component 2: Investments in Natural Resources and Environmental Assets

(about USD 15.6 million). The component will make investments through activities as

identified in the MCPs for rehabilitation and protection of degraded areas in public land

(gazetted forest land including rangelands). Reversing degradation and checking of erosion

will establish the base for a sustainable economic development and poverty reduction in the

upland communities. Natural resources rehabilitative measures will be implemented under

the direction of the General Directorate for Forestry (OGM) with assistance from village

communities. The investments for the management of land, vegetation and water will

include: (i) soil conservation investments; (ii) rehabilitation of degraded forests;

(iii) rehabilitation and sustainable management of degraded grazing land/rangelands; and

(iv) livestock watering structures.

10. Component 3: Investments in Improved Livelihood (about USD 18.5million).

This component‟s outcome is improved living conditions through supporting small-scale crop

and livestock production on private land. The Project will provide opportunities on a cost-

sharing basis to raise the income of MC communities reinforcing the adoption of

rehabilitation activities. Contracted multidisciplinary Project Provincial Teams (PPTs) will

assist villagers in the implementation of activities. A forester from the provincial Forest

a. Components

5

Directorate (OIM) will be seconded to each PTT as a focal point for the liaison between OIM,

PPT and local communities. The Governors‟ Offices in the Project provinces will provide

necessary coordination and linkages between the Project and the resources of Provincial

Directorates of Agriculture (PDAs) for extension and training support. The investments in

livelihood improvements will target: (i) improved grain production; (ii) forage crop

production; (iii) improved livestock stables; (iv) orchard establishment; (v) improved

vegetable production; (vi) small-scale irrigation; and (vii) contracted seedling production;

and viii) promotion of energy saving technologies. The selected areas of investments will be

based on the agro-ecological and socio-economic conditions in each village as well as

farmers‟ resources and needs and wishes as expressed in the village plan for the MC plan.

11. The MRWRP‟s primary target group would be poor women and men smallholders,

living in upland villages in the selected MCs within Elaziğ, Bingöl and Muş provinces. A

secondary target group would be other non-farming stakeholders in the locality who would

benefit from improvements of the physical environment and living standards in the micro-

catchment. Together, these groups total an estimated 80 000 very poor potential direct

beneficiaries (12 500 households) usually resident in the targeted MCs. The majority lack

the means to escape poverty either by earning sufficient incremental income locally, or by

migrating permanently within Turkey or beyond. Tertiary indirect beneficiaries are the

general population living downstream.

12. Within the objective selection of whole village communities by virtue of their

location, the state of their local natural resource base and degree of household poverty, all

subsequent Project interventions would be demand driven and self-targeting. Whilst all

upland villagers would benefit from the substantial investments in public goods, and some

from the provision of energy-saving technologies for individual households, participation in

the promotion of small-scale agriculture would be entirely individual voluntary basis.

13. The major enablers/financers of MRWDP are: i) IFAD, and ii) the Government of

Turkey (also the borrower). These parties developed the project concept collaboratively

through consultation with the local beneficiaries. Then, the detailed project design was

undertaken. Focus Group Meetings in the villages and individual interviews with local

III. Implementing Parties and Responsibilities

b. Project Target Group

a. Enablers and Financers

6

stakeholders provided information on the prospects and bottlenecks in rural livelihood from

their perspective.

14. The Project is to be financed not only by IFAD and the Government of Turkey but

Project beneficiaries as well. IFAD provided a loan and a grant to the Republic of Turkey in

the amount of approximately USD27.2 million and US$ 410.000 respectively. The

Government of Turkey‟s contribution as counterpart financing is approximately equivalent to

USD 1.5 million in cash contribution and approximately USD 6.4million to cover taxes and

duties on all Project inputs that involve funding from the IFAD loan.

15. The ratio of MRWDP support to beneficiary contribution varies according to

components and component activities. It could be in cash or in-kind (labor or land) and

varies between 5% and 30% depending on the activities.

16. The details of financing are presented under the heading II. Financing Project

Expenditures below.

17. The implementing parties of MRWDP are: i) Government of Turkey through Ministry

of Forestry and Water Affairs (MFWA) at the central and provincial levels, and ii)

beneficiaries. In the MFWA, two general directorates is responsible for implementation:

o General Directorate of Forestry (OGM) through the following 6 departments: i)

Afforestation; ii) Soil Conservation and Watershed Rehabilitation; iii) Forest-

Village Relationship; iv) Strategy Development; v) Data Processing and vi)

Nursery and Seed Affairs.

o General Directorate of Combating Desertification and Erosion Control (ÇEM)

through its Department of Watershed Planning and Land Rehabilitation.

18. The details regarding role and responsibilities of MFWA and the Central (COU) and

Field Operational Unit (FOU) are presented under Part B.

19. During implementation of the Project by the Ministry and beneficiaries, IFAD will

administer the loan, supervise the project and provide support in project implementation.

20. Supervision: The Project will be supervised directly by IFAD. IFAD supervision

missions (a team of experts) will be undertaken at least once a year or more frequently if

considered desirable. The details are given in Part D of this Manual.

b. Implementing and Cooperating Parties

7

PART B

IMPLEMENTATION GUIDELINES AND PROCEDURES

8

21. Overall responsibility for the management and implementation of WRWDP would rest

with MFWA through OGM (Figure 1). Under WRWDP leadership the following management

structure would be established: i) Central Operations Unit; ii) Field Operations Unit; and iii)

Project Steering Committee.

Figure1. Organizational chart for the Project

I. IMPLEMENTATION ARRANGEMENTS FOR

THE PROJECT

9

22. The unit will be established within OGM in Ankara. It will be responsible for assisting

in the overall and day-to-day management and implementation of the Project.

23. Principal functions of the COU: i) to provide broad based management support

including planning, programming, budgeting, monitoring and documenting progress;

ii) elevating experiences and lessons learned through the steering committee to the policy

level; and iii) to report to the Ministerial level and general directorate level and IFAD.

24. Composition of the COU: it comprises a Project Manager, a Central Focal Point (CFP),

a technical team, and a secretary/translator (Table 1).

Table 1: Composition of Central Operation Unit (COU) in Ankara

Position in Project Position in OGM Type of recruitment

Project Manager (PM) Deputy General Director Seconded

Central Focal Point (CFP) Head, Department of Afforestation

Seconded

Technical Staff

Senior Forestry Engineer Procurement Specialist

M&E Specialist Procurement Officer Finance Officer

All OGM forest engineers and

administrative staff

Seconded

Secretary / Translator - Contracted

25. The technical staff (seconded) will use approximately 20% of their time (yearly

average) on COU related work. Appropriate office premises and infrastructure for the COU

will be provided by the OGM. The TOR for the secretary/translator is provided as Annex 1.

26. The COU will receive technical support through the Afforestation and Soil

Conservation and Watershed Department (Components 1 and 2) and the Forest-Village

Relations Department (ORKÖY) (Component 3). Both departments are integral parts of OGM

reporting to the General Director.

27. This will be established at the Regional Directorate of Forestry (OBM) in Elazığ, with

seconded staff from OBM and supported by a Deputy Project Manager hired through a

national competitive recruitment process and based on prior review by IFAD.

a. Central Operations Unit (COU)

b. Field Operations Unit (FOU)

10

28. Principal functions of the FOU: (i) to provide management support at the field level;

(ii) to coordinate the planning and reporting between Provincial Directorates of Forestry

(OIMs), the OBM and OGM in Ankara; and (iii) to handle day-to-day management and

implementation of the Project. The FOU will take the lead in the procurement of all civil

works, goods and services, and technical assistance that relate to the field activities.

29. Composition of the FOU: It comprises a Field Project Manager (FPM), Deputy Project

Manager (DPM), and Focal Points for each province and an administrative team (Table 2).

Table 2: Composition of FOU/Elazığ

Position in Project Position in OBM/Elazığ Type of recruitment

Field Project Manager (FPM) Deputy Regional Director Seconded

Deputy Project Manager (DPM) Assistance to FOU and COU Contracted

Provincial Focal Points (PFPs) OIM forest engineers Seconded

Administrative Staff Senior Forestry Engineer M&E Officer Finance Officer Procurement Officer

All OBM forest engineers and administrative staff

Seconded

30. Field Project Manager (FPM): The Deputy Regional Director of OBM in Elazığ assumes

the position as FPM. He is supported by the DPM who is contracted.

31. Deputy Project Manager (DPM): He will be stationed in Elazığ and support The FPM

but will have frequent assignments with the COU in Ankara. He reports to the FPM as the

immediate supervisor and the PM of the COU in Ankara. The TOR for the DPM is provided as

Annex 2. He will be employed by using CQ procurement method.

32. Provincial Focal Points (PFPs): in each OIM, one forest engineer will be seconded as

PFP and remain stationed at their respective OIMs. Their task is to ensure coordination

between: i) their respective OIMs, and DPM in Elazığ and ii) OIM, Provincial Project Teams

(PPT) and local communities for the implementation of Component 3.

33. The administrative staff (seconded) will use approximately 20% of their time (yearly

average) on COU related work.

34. The teams will be based in Elazığ, Bingöl and Muş OIMs with regular visits to

Regional Forestry Directorate (OBM) in Elazığ as required to provide requisite support to OIM

according to the approved MC plans.

c. Provincial Project Teams (PPTs)

11

35. Team composition: each team will comprise a forest engineer, a crop production

specialist (agronomist with capacity in the fields of land and water management), and a

livestock production specialist (zoo technician or veterinarian).

36. Major tasks : as indicated in the TOR Annex 3, these include: i) ensuring that the

Project is implemented in accordance with the design and agreement with Turkish

Government (MFWA/OGM) and IFAD; ii) collecting relevant data and information to be used

as input to the Project M&E System; iii) initiating the awareness raising campaign before the

MC planning process is started ; iv) providing technical and logistical support to MCPT during

participatory process; v) developing action plans for each village, based on the MC plans for

efficient and effective implementation of Component 3, to a certain extent to Component 2

(rehabilitation of degraded grazing land) and Component 3 (farmer exchange visits), and vi)

implementing Project activities included in the MC plans through a multi-sectoral, client-

focused, coordinated, demand-driven and participatory advisory services.

37. This will be established within MFWA will be chaired by the Deputy Undersecretary

for Forestry.

38. Composition of the SC: Membership comprises the Director General of OGM and the

Heads of the following departments: (i) Afforestation; (ii) Soil Conservation and Watershed;

(iii) Forest-Village Relations; (iv) Strategy Planning; v) Data Processing; and (vi) Nursery and

Seed Activities. The DPM will act as secretary and be responsible for the dissemination of the

decisions and follow-up.

39. The role of the SC: i) to provide overall policy guidance and oversight, ii) to approve

the Annual Work Plans and Budgets and the Program Implementation Plan, and, iii) to ensure

that overall Project operations are within the legal and technical framework agreed between

the Government and IFAD.

40. Detailed implementation arrangements for the three components are given in

Chapter IV of this document under the following heading: Detailed Activities and

Implementation Procedures by Component.

d. Project Steering Committee (SC)

II. FINANCING PROJECT EXPENDITURES

a. Project Costs and Financing

12

41. The Project is to be financed by IFAD, the Government and Project beneficiaries.

Table 3 sets forth the Categories of Eligible Expenditures to be financed by the IFAD Loan

and IFAD Grant and the allocation of the amounts of the IFAD Loan and the IFAD Grant to

each Category and the ratios of expenditures for items to be financed in each Category.

Table3. Schedule II of Loan Agreement (SDR)

Category

IFAD Loan Amount

Allocated (in SDR)

IFAD Grant Amount

Allocated (in SDR)

% of Expenditures to be Financed (net of taxes)

1. Civil Works 10 194 162 100% net of taxes, beneficiary and Government contribution

2. Vehicles, Equipment, Goods 4 261 000 100% net of taxes and Beneficiary Contribution

3.Technical Assistance, Training, Studies and Workshops

2 991 000 280 000 100% net of taxes and Government Contribution

3. Recurrent Costs

a. salaries

257 000

100% net of taxes, and net beneficiary contribution

b. Recurrent costs b. other operating expenditures

252 000 100% net of taxes and Government Contribution

TOTAL 17 955 162 280 000

42. Tables 4 and 5 gives the financing plan by components and expenditure accounts

respectively.

43. IFAD Contribution: the IFAD loan in the amount of USD 27.2 would be used to

finance 75% of the costs of Component 1, Natural Resources and Environmental

Management, 74.8 of the costs of Component 2, Investments in Natural Resources and

Environmental Assets and 68.2% of the costs of Component 3, Investments in Improved

Livelihood. On the other hand, the Loan would finance 81.4% of the expenditures related to

the Operations Unit. IFAD Grant that is approximately USD 410.000 is allocated for technical

assistance, studies and workshops.

Table 4. Financing Plan by Components (thousand USD)

13

Table 5. Financing Plan by Expenditures Accounts (thousand USD)

44. Government contribution is estimated at approximately USD1.5 million in the

form of foregone taxes and duties. In conformity with the principle that no taxes or duties

would be financed out of the proceeds of the IFAD loan, any future changes in the rates and

or structures of taxes and duties would apply, thus affecting the amount of foregone

revenues. About 7% (USD1.5 million) of the Component 1 would be financed by

Government. This ratio is 0.7% for Component 2. For the expenditures of the Operations

Units, the contribution of Government is 9.5%.

45. Primary beneficiary contribution: beneficiaries would provide approximately

USD3.0 million. It could be in cash or in-kind (labor or land) and varies according to

components and component activities:

Component 1: no contribution by the beneficiaries

Component 2: for rehabilitation of degraded grazing lands that includes

temporary closure, livestock drinking structures and simple shelters for

communal use, the ratio is 5 %,

Component 3: i) for water storage ponds and rehabilitation of earth canals

the ratio is 5%, ii) for the remaining investments, the ratio is 30%.

46. A Special Account in US Dollars (USD) will be established by the Government

(Undersecretariat of Treasury) in the Central Bank for the exclusive purposes of receiving

advance liquidity in support of Project implementation from the Loan Account. The Strategy

Department (SDD) of the OGM will be authorized to operate this account. The SDD will

b. Special Account (SA)

14

channel the funds through its OGM corporate account based on approved Annual Work Plan

and Budgets (AWPB) and track the funds through specially assigned codes.

47. After the SA has been opened, upon the borrower‟s request, IFAD shall make one or

more withdrawals in aggregate from a „Loan Account‟. The SA will be administered in

accordance with Section 4.08 of the General Conditions (Special Account) and will be

replenished from time to time upon request, in such minimum amounts as IFAD may specify

by notice to the Borrower.

48. The flow of funds arrangements is presented in Figure 2.

Figure2. Flow of funds

c. Flow of Funds

15

49. The IFAD Loan of Special Drawing Right (SDR) 17.955.162 (approximately USD

27.2million) will be disbursed over 7 years. The Loan Closing Date is the 7th anniversary of

the date when the project was declared effective. No disbursement from the loan can be

made in respect of goods or services or other expenditures incurred after the project closing

date.

50. All Operations Units (COU and FOU) related expenditures would be financed jointly

from the IFAD Loan Proceeds and Government contributions including the incremental

operating costs required for the operations of the COU and FOU. It is important to remember

that the IFAD loan cannot be used to pay for land purchase and custom duties or taxes.

51. According to Schedule 2 of the Loan Agreement, the loan proceeds will be disbursed

as shown in Chapter I, paragraph 1. The attached Letter to Borrower (Annex 4) sent by

IFAD explains the action to be taken by the Borrower in order to start withdrawing funds and

spells out the methods and procedures for withdrawal of funds, procurement of goods, works

and consulting services as well as the financial and audit reporting requirements.

52. The IFAD loan will be disbursed over a seven-year period. The disbursements by

semesters and government cash flow are given in Annex 5. Disbursement by IFAD for

expenditures of less than USD …………. and for incremental credit will be made against

certified statements of expenditure. The PMU will retain the relevant documents and make

them readily available for inspection and review by supervision missions and auditors.

Contracts over USD ………will require full documentation. No taxes and duties will be financed

out of the proceeds of the IFAD loan. Funds from the Special Account may finance all IFAD

disbursement categories.

53. For costs incurred at the Central level, the Operations Unit (OU) at OGM will be

responsible for approving and releasing the payments. Payments for works, goods and

services procured at provincial level would be executed by the Regional Directorate of

Forestry (OBM), who is responsible for field implementation. Payments made at provincial

level (OIMs) would be authorized by the Governor‟s Office, in line with the practice for

Government-financed projects, against approved work plans and associated budgets.

54. Four standard disbursement procedures may be used for withdrawal of financing: i)

advance withdrawal; ii) direct payment; iii) special commitment and iv) reimbursement.

55. Regardless of the procedure applied, disbursement will be based on a withdrawal

application submitted by the Borrower. Each withdrawal application is made up of two

d. IFAD Disbursement Procedures

e. Withdrawal Applications

16

integral parts. The first part is the withdrawal application itself, in letter form, which

mentions the total amount to be withdrawn and contains requisite statements and agreement

as well as the signature of the Borrower. The second part consists of one or more summary

sheets with supporting documentation as appropriate. The checklist for withdrawal

application is provided in Annex 6.

56. IFAD will accept withdrawal applications for reimbursement, direct payments and

special commitments. Replenishment of the Special Account from the loan account at IFAD

will be by way of withdrawal applications, supported by appropriate documentation or

certified statements of expenditure prepared by the COU endorsed by the Ministry of Finance

and submitted to IFAD for approval and payment.

57. Financial statements would be prepared on an accrual basis of accounting in

accordance with International Standards on Auditing (ISA) that reflect receipts, payments

(by disbursement category) and fund balance for the current reporting period and the

cumulative period from the commencement of the Project. Format for Financial Statements is

provided in Annex 7.

58. Annual financial statements for the Project will be audited by the Undersecretariat of

Treasury in accordance with International Standards on Auditing and under Terms of

Reference (TOR) agreed upon with the IFAD. Audits will also cover expenditures made by the

Project provinces and include specific opinions on the financial management arrangements of

each province.

59. The auditors would issue separate opinions covering the financial statements, FMRs,

and the management of the designated account, including accounts in provinces. IFAD‟s

generic template for Auditors TORs that is given in Annex 8 included for guidance.

60. The audited financial statements and audit reports would be submitted to IFAD and

the Government. For IFAD, audit reports would be submitted within six months after the end

of each fiscal year and after the financing closing date. In addition, management letters

outlining any internal control weaknesses shall be issued by the auditor.

61. The FMRs will be prepared on a semi-annual basis by the COU using the accrual basis

of accounting. As the FMRs will be used as a monitoring tool, they will summarize: i) the

Project progress and provide budget versus actual variance analysis; ii) financial statements

on sources and uses of funds; iii) Project financial position; iv) expenditures and physical

progress compared with plans; v) procurement and contract monitoring reports. Such reports

will be prepared on a timely basis and be submitted to IFAD by the COU within 45 days after

the end of each 6 months starting from when the first disbursement is made.

f. Audit Procedures

g. Financial Monitoring Reports (FMRs)

17

62. Annual financial statements will be prepared individually by the FOUs and

consolidated by the COU. The annual financial statements for the Project are subject to

annual audit by an external auditor.

63. The Financial Management Manual prepared under the World Bank financed Anatolia

Watershed Rehabilitation Project will be utilized for MRWDP. This manual includes formats for

Financial Monitoring Reports (FMRs) that would be included in Project semi-annual reports to

IFAD. Relevant guidance will be provided in the form of start-up training but also provided in

detail in the Letter to the Borrower.

64. Full documentation in support of FMRs would be retained by the OGM for at least ten

years after the Financing Closing Date. This information would be made available for review

during supervision by IFAD staff and for annual audits which would be required to comment

specifically on the propriety of FMR disbursements and the quality of the associated record-

keeping.

65. This will be aligned with risk-based supervision for financial management

arrangements. At least one “on-site fiduciary-focused visit” would be carried out each year,

and more, if deemed necessary.

66. In the final year of implementation, as part of the preparation of the IFAD-required

Project Completion Report (PCR), M&E data collected during implementation will form the

basis for an overall assessment of Project achievements, particularly in terms of documented

improvements to the natural resource base as well as changes in the livelihoods of villagers

living in the targeted MC areas.

67. Stakeholder Workshop: The PCR process will include a workshop in each Project

province to provide an opportunity for stakeholders themselves to evaluate performance, to

promote accountability, to identify and elaborate upon factors that will improve sustainability,

and to lay out key successes and shortcomings. Equal representation of different interest

groups should be promoted and female representation in the stakeholder workshop is a

must. If required, female stakeholders may have a distinct evaluation process.

68. Assessment of the Project‟s impact: This will be based on monitoring data including

in annual reporting. Monitoring data will be compared with data contained in the micro-

catchment plans on pre-program erosion level and living conditions. An impact study in

selected villages from previous years‟ implementation will be carried out at the last year of

the Project to allow for a post-Project comparison. Only villages where Project activities had

commenced by the fourth implementation year will be used for comparative purposes. As

h. Financial Management Supervision

i. Project Completion

18

proxy, the post-Project impact review will cover at least one micro-catchment (MC) not

supported by the Project in each of the three provinces.

69. The main categories of information to be collected during the planning phase and

used to assess Project impact are detailed in the MC Plan guidelines. These include but are

not be limited to:

(a) Socio-economic characteristics: number of households in the village,

composition of the households, employment and migration data, household income

and expenditure patterns (in particular for food and energy);

(b) Physical characteristics: location of village (longitude and latitude), distance

from and access to provincial center, housing and roofing material, sanitation and

drinking water;

(c) Agriculture and livestock: Number of livestock owned by villagers (type and

average per household), size of grazing/rangeland, number of functioning livestock

drinking points and shade structures, livestock productivity, rainfed area (by crop),

irrigated area (by crop), size of household plots (irrigated and rainfed), crop yields;

and

(d) Natural resources: state of forested area, eroded land, grazing/rangeland.

GIS maps will be prepared at completion for the selected MC and compared to

those prepared during the planning phase. These provide evidence of

improvements to natural resources. As a complimentary modality, photos with

marked with date/time and GPS coordinates should be taken at specified time

intervals to accompany written information and linked into the GIS system.

70. Provisions are made for the use of innovative monitoring measures such as cameras

with integrated GPS function possible combined with aerial photos, which can be used to

detect physical changes in the MC, landslides, gully formation and vegetative cover. Photos

should be taken in few locations with characteristics typical for the MC. Photos should as far

as possible be taken at the same time of the year. 64. GDAPD, acting on behalf of the

PMU that may then be closed, will submit to the IFAD, the Project Completion Report/Impact

Assessment (PCR/IA) no later than six months after the Project Completion Date that is 30

September 2015. This report examines the implementation process and the final results of

the project. It therefore serves to make a formal identification of both those aspects of the

project that succeeded and those that failed. IFAD uses the project completion report,

together with its own internal project evaluation process, to evaluate the success of its

lending operations and applies the lessons learned to new lending activities. It should be

noted that at a minimum, the PCR would address the following: i) i) the costs and benefits of

the Project; ii) achievements of its objectives; iii) the performance of TUGEM and P/DDAs, iv)

lessons learned.

71. M&E data collected over the period of project implementation would be fed into an

overall assessment of Project achievements, particular, in terms of changes in the income

and livelihood status of beneficiaries targeted by the respective components and in terms of

sharing lessons learned and knowledge of development. The PCR/IA process would include

19

stakeholder workshops to provide an opportunity for stakeholders themselves to evaluate

Project performance, to promote accountability, to identify and elaborate upon factors that

would increase the likelihood of sustainability and to lay out key successes and shortcomings.

72. If an assessment of country level impact is required then countrywide information

from a variety of sources will have to be traced once at Project start and again at closure.

73. The Micro-Catchment Plans (MCPs) developed for each targeted MC and the Project

Implementations Plan (PIP) forms the basis for all further planning. OGM supported by the

Coordination Units (FOU/COU) prepares the Annual Work Plan and Budgets (AWPBs) in

accordance with procedures agreed with IFAD and detailed in the PIM. The AWPB format is

given in Annex 9. The inputs for the AWPBs will be provided by OBM and the Deputy Project

Manager (DPM), in line with the Micro-Catchment Plans (MCP). The FOU/COU will assist in

generating the AWPBs that would be submitted to OGM for review and formal approval in the

Steering Committee and presented to IFAD for no objection.

74. These AWPBs will clearly describe which activities will be carried out the coming

year. The AWPBs will link the proposed budgetary envelope with physical results to be

achieved, taking into account previous years‟ achievements. The FOU will review and approve

provincial AWPBs and send a consolidated version to the COU in Ankara. The COU inserts its

contributions and complete the AWBP. The Deputy Project Manager supports the AWPB

preparation process at both the FOU and the COU level. Finally the Project Steering

Committee reviews and approves the AWPB in time for Project activities to be included in the

normal government budgeting process, and submits the AWPB to IFAD at least sixty days

prior to the commencement of the fiscal year.

75. Starting from the next chapter, the details of project activities, implementation

processes and procedures, and beneficiary targeting are elaborated by components.

III. ANNUAL WORK PLANS AND BUDGET (AWPBs)

IV. DETAILED DESCRIPTION OF ACTIVITIES

AND IMPLEMENTATION PROCEDURES BY COMPONENTS

20

C1. NATURAL RESOURCES

AND

ENVIRONMENTAL MANAGEMENT

21

76. The component concentrated on both the management and modalities of

Government‟s ambitious investment program of environmental remedial works in the upper

watersheds in the east of the country. Inadequate arrangements in the past for the

sustainable economic use of fragile forests and rangelands have contributed to the depleted

and deteriorating state of the landscape, both close to human settlements and at higher

altitudes.

77. The experience gained in identifying, planning, implementing and then maintaining

productive natural resources in the project area is expected to contribute to the realization of

national environmental goals. A gradual change in the effectiveness of land use management

is a necessary condition for reversing the deterioration of the natural resource base and the

related livelihood in the upper watersheds. Expensive rehabilitation works will not be

sustainable in terms of physical conditions or poverty reduction without far greater

involvement of the local communities.

a. Introduction

22

78. MC Concept: The project adopts a participatory, demand driven approach based on a

micro-catchment (MC) area as the smallest unit of intervention. A MC is a small hydrological

unit in a watershed that supplies water by surface or subsurface flow to a given drainage

system (stream, river or lake).

79. Number of MCs for the Project: The project aims at working in a fourth

(approximately 25 MCs) from the estimated 100 MCs of the Murat Watershed. The

interventions will be selected and implemented based on site-specific participatory

rehabilitation and investment plans prepared for each.

80. The component finances awareness-raising activities for the target beneficiaries

(men, women, and youth) and other stakeholders (including local administrations, provincial

agencies, OGM field staff and school children) regarding the project‟s approach and terms of

participation in MC development.

b. Awareness Raising

23

81. Before starting MC planning, it is particularly important for the MC communities to

make educated decisions about committing themselves to work with OGM to rehabilitate their

degraded natural resources (in the short term) and manage them sustainably (in the medium

and long term). To achieve this they will benefit from the awareness campaign and also

village-to-village visits. These visits will be organized to challenge their pre-conceived notions

and predispositions regarding mainly forestry activities by exposing them to MCs in the region

that were rehabilitated earlier by other projects thus enabling interaction with the villagers in

those MCs. Such activities will help to increase transparency in project implementation and

encourage beneficiaries to participate and articulate demands for project services. It will also

complement and improve the effectiveness and ownership of the investments undertaken

under Components 2 and 3.

82. Following awareness raising, the Project staff will select the MCs in their respective

provinces and the “integrated MC plans” will be prepared in a participatory manner for

implementation by the Micro-catchment Planning Teams (MCPTs).

83. The selection is a three-step process and criteria based (Box 1). It is important to

ensure that this process is objective and transparent.

84. First step: A map indicating the existing MCs in the Project area is available and

statistical data from the Governor‟s office. The OIMs in each of the three provinces make an

initial screening of the 100 MCs (estimated total number of MCs in the Project area) and

produce a long list of possible candidate MCs for their respective provinces. The long list will

form the basis for a further scrutiny of the MCs.

85. Second step: The MCs in the three long lists will be discussed at OBM. Then these

will be visited by a team comprising representatives from OIMs of each province and the OBM

to make observation and collect ground truth data.

86. Third step: The available information and field observations for the long listed MCs in

each province will be used by the same team at OBM to evaluate and rank the MCs on a 1-5

scale to come up with a short list for each of the provinces. For screening, a set of criteria will

c. MC Selection Process

24

be used (Box 1). Considering the benefit of synergy between communities, preference will be

given the selection of neighboring MCs as much as possible.

Box 1. CRITERIA FOR MC SELECTION

Severity of natural resource degradation: has to be rated as severe, a well identified cause of poverty and the area already subject to flooding and land slides, high levels of sedimentation effecting downstream investments for irrigation and drainage,

Reversibility of degradation: Possibility of reversing the natural resource degradation in a sustainable and economic way; investments should lead to sustainable rehabilitation of degraded natural resources,

Risk of natural disasters: through flood, land slides and rock falls,

Accessibility of the MC: adequate degree of access is needed for project staff and contractors/transporters. It is also important for demonstration purposes; if a MC is too remote there will be almost no chance to be seen by other communities

Level of potential for introducing income raising activities: availability of sufficient resource base (pastures, agricultural land, water) for crops and livestock where incomes may be increased to be used as leverage for better natural

resource management

Level of rural poverty: as demonstrated by rural out migration and measured through estimated annual incomes

Willingness of rural communities to participate in the project: prepared to make in kind and/or cash contributions and take responsibility for specific activities (e.g. small infrastructure investments, pasture management, conservation of new

plantations and use of irrigation water), and prepared to change the way they use natural resources

Social harmony in and between MC villages: conflicts (i.e. over water and pastures) will hamper the success of the project,

25

Short listing for the 1st and 2nd year: For each province, the short list of MCs will

be comprised of those ranking in the top 25% that may be treated by the

Project. For planning in the 1st and 2nd year, the top 3 will be selected from its

respective pool for each province (a total of 9). The final selection will be done

jointly by OIM and the Regional Forest Directorate (OBM) based on physical as

well as socio-economic criteria.

Demo MCs: One of the three MCs that will be planned in the first year will have a

demonstration effect in the Project provinces. Therefore, the proximity of the

MCs is important considering the initial difficulties in implementing such a

participatory and, integrated project that will need frequent visits and close

supervision/monitoring. It should be taken into consideration that potential for

success is also important since it will pave the way for the other MCs and

communities. The experience gained in these first MCs will shed light on

potential issues and risks and will allow both the central and field managers to

take necessary actions for more efficient and effective implementation in

succeeding MCs and years.

87. For each selected MC, an integrated plan will be prepared for each of the villages

located in the MC in a participatory manner with the resident communities for the

rehabilitation and subsequent care of the natural resources and the improvement of

livelihoods of the resident households. The plan is “participatory” because it is prepared

based on communication, collaboration and agreements of the resident communities and

“integrated” because it includes sub-plans for several sectors; forestry land, grazing land,

agricultural land, water and energy. These sub-plans are interlinked where each of the

activities included have dual impact upon both natural resources and rural livelihood. For

each MC, plans will be prepared for each of the villages located in the MC.

88. Each plan will include an MC activity map and associated maps to include soil,

erosion, topography and vegetation, and ten pre-determined chapters: i) overview of the MC;

ii) current status of the natural resources, land-use, crop and livestock production; reasons

for selection of the MC; iii) participatory process and priority problems as identified by the

communities; iv) forestry sub plan; v) grazing land sub plan; vi) agricultural sub plan; vii)

water sub plan; viii) energy sub plan, ix) costs, and x) agreements and arrangements. In

preparing the sub-plans, the main principle is to keep a ratio between rehabilitation and

income-generating interventions by taking the nature of the project into consideration.

89. In any MC, implementation interventions may be carried out only in some parts of a

MC and in some villages of the MC based on clearly established priorities agreed with the

communities. The main principle to stop the erosion, starting from the upper MCs and move

downward.

d. MC Plan Concept

26

Forestry sub-plan: is prepared for forest land and includes rehabilitation of

eroded areas and improvements in degraded forest land.

Rangeland sub-plan: includes investments for rangelands/livestock and

interventions regarding sustainable management.

Agricultural sub-plan: is prepared for agricultural land and includes crop

(grain, forage and horticultural crops, and greenhouse production) and

livestock interventions. It will also include training and demonstration

program.

Water/irrigation sub-plan: is prepared for the investments for: i) the

development of small water sources for small-scale irrigation purposes and

rehabilitation the existing irrigation infrastructure; ii) livestock drinking water,

and iii) village sanitation.

Energy use sub-plan: is prepared for the investments regarding energy

saving and renewable technologies.

90. The MC planning process comprises 14 steps (Box 2). MCPs will be prepared by the

MC Planning Teams (MCPTs) that will be multi-disciplinary service providers. The guidelines

for preparing MC plans are given in Annex 10.

91. The MC planning, implementation and monitoring will be participatory. To achieve

this, the participatory tool called “Beneficiary Centered - Problem Census - Problem Solving

(BCPCPS)” modality will be used (Annex 11). The appropriate tools of IFAD methodology will

Box 2. MC Plan Preparation Steps

Step Action 1 Awareness raising

2 First field trip to the MC

3 Informing local communities about the project

4 Compilation of data and information

5 Problem identification

6 Analysis of the problems

7 Solution of identification

8 Preparation of the first Draft MC Plan

9 Preparation of the draft Map of Activities

10 Display of the first Draft MC Plan in MC villages

11 Preparation and approval of the final draft at the local level

12 Signing of the Final MC Plan

13 Display of the signed plan at the local level

14 Budget allocation for the MC Plan

e. Participatory Tool and Process

27

fill the gaps in the BCPCPS process when relevant. During planning process, focus group

discussions and community consultation will also be undertaken, when needed.

92. Approach: The BCPCPS provides the setting in which all members of the community

have equal voice irrespective of gender, age and social status. Particular efforts are made to

encourage women‟s participation, so as to assure that gender issues are mainstreamed into

MC development planning and implementation. In villages where local culture does not allow

undertaking the process with mixed groups, separate meetings will be held with women.

93. Management responsibility for the Component: it belongs to the OBM in Elazığ

through the FOU. Main responsibilities of the OBM are: i) procurement of all service

providers in the field; ii) planning and execution of the workshops, study tours and exchange

visits under the component and iii) organizing and delivering the sensitization and awareness

raising programs.

94. Service providers to be recruited: For the component, 2 contracted teams will carry

out the envisaged activities: i) MC Planning Teams (MCPTs), and ii) Provincial Project Teams

(PPTs). Procurement of the teams will be handled by the Procurement Specialist (seconded)

of the FOU. The Deputy Project Manager (DPM) in Elazığ, oversee the recruitment of the

MCPTs and PPTs under the oversight of COU. One of the following methods will be used in

procurement: i) National Competitive Bidding (NCB) or ii) Direct Contracting (DC) in the case

of Universities.

MCPTs: Teams will be responsible for preparing integrated MC Plans in a

participatory manner as detailed in TOR (Annex 12) for the pre-identified areas

where the Murat River Watershed Rehabilitation Project is being implemented. While

the composition of MCPT is flexible in terms of the size and would be decided by the

Consultancy Contractor as a minimum, the following specialists will be made

available as MCPT members: forester, crop production specialist (agronomist),

livestock production specialist, rural sociologist, rural infrastructure engineer, and

economist. MCPTs will be supported by: i) respective OIMs in Elazığ, Bingöl and

Muş, and ii) Provincial Project Teams (PPTs) in terms of technical and logistical

support in the BCPCPS process and in the preparation of the MC plans. Provisions

are made for preparation of 25 MC plans (USD75.000/MC plan including cost of

consultants, 6-7 visits/MC by the team, soil surveys and detailed physical planning.

PPTs: Three teams will be recruited for each of the Project provinces based on the

TOR (Annex 3). The teams will be based in Elazığ, Bingöl and Muş with regular

visits to Regional Forestry Directorate (OBM) in Elazığ as required reporting and

coordination and monitoring. Each team will comprise a forest engineer, a crop

Implementation Arrangements for the Component

28

production specialist (agronomist with capacity in the fields of land and water

management), a livestock production specialist (zoo technician or veterinarian).

Their TOR includes various tasks for the Project. However, for the component, each

team will spearhead the awareness-raising campaign before the MC Planning

process is started and working closely with the MCPTs to develop the village visit

plans, arrange venues through the village administrations, and ensure the

participation of women and the elderly. The teams also assist the MC Planning

teams by providing technical and logistical support in conducting the BCPCPS

process and preparation of the MC plans to ensure congruity with the norms and

approaches outlined in this PIM. The Teams will assist the PFPs who are seconded

foresters in each of the OIMs responsible for ensuring coordination between their

respective OIMs and the DPM in Elazığ.

95. Phasing: One MC will be selected for each province (3 MCs for the Project/year).

Every MC plan will be implemented in 3 years, successively. To be able to complete the

implementation of the all MC plans during the life of the Project, 4th year will be the last year

for planning (Table 6). Most of the physical works can be undertaken in the first year (or 1.5

years) and maintenance will be carried out in the following two.

Table 6. Phasing of planning and implementation of 25 MCs

Project Year

1 2 3 4 5 6 7

PY* IY**-1 IY-2 IY-3

PY IY-1 IY-2 IY-3

PY IY-1 IY-2 IY-3

PY IY-1 IY-2 IY-3

No. of MCs

in the work

program

3 6 8 8 3 2 1

* Planning Year (PY) ** Implementation Year (IY)

96. Training /Technical Assistance and Workshops: this Category covers the capacity

building activities for both technical staff (OGM) and MC communities:

Technical assistance: funds are made available for: i) a GIS/data management

specialist to layer information from the MC plans onto GIS maps; ii) upgrade of

existing monitoring system of physical interventions including soil erosion and

linking to the GIS system. IFAD Procurement thresholds and guidelines would

apply for the procurement of consultants. Selection based on Consultants‟

Qualifications (CQ) will be employed in hiring the specialists.

Workshops: i) natural resource economics for OGM and PPTs; ii) planning and

technical subjects identified, for PPT, OGM and Regional OGM staff, annually,

29

and iii) carbon sequestration. Local shopping (LS) would be used for the

expenses related to workshops, the venue, office supply etc.

Training courses: funds are made available for courses on :i) preparation of

multi-functional forest management plans for sustainable management of forest

ecosystem services including environment for recreation and education, nature

conservation, timber and fuel wood production, and ii) project approaches and

implementation guidelines for PPTs. The funds allocated are for training related

expenses including the venue and training material that will be procured through

LS.

Studies: Several studies that deemed to be useful for the Project and MFWA will

be funded under the Component. These are: i) natural resource economics; ii)

assessment of opportunities for carbon sequestration; iii) assessment of

opportunities for non-wood forest products; iv) assessment of alternatives for

energy sources including wind, and v) private/public nursery feasibility study.

For hiring the individual specialists who will carry out these studies, CQ

procurement method will be used.

Awareness raising: PFPs and PTTs under the supervision of the DPM will be

responsible for the awareness raising activities in the Project area. PPTs will start

the awareness-raising campaign before the MC Planning process is started and

later working closely with the MCPTs develop the village visit plans, arrange

venues through the village administrations, and ensure wide participation with a

special emphasis of women, youth and the elderly. Funds are allocated for 25

visits during 4 first years of the Project covering various expenses. Procurement

method is LC.

Farmer Exposure Visits: These will be organized for the MC villages to expose

them to the OGM and General Directorate of Combatting Desertification and

Erosion Control (ÇEM, former AGM) work, previous project sites (e.g. Eastern

Anatolia Watershed Rehabilitation Project), and challenge their preconceived

ideas and predispositions about interventions foreseen under the Project. These

visits will also help the participating villagers to: i) interact with other villagers

who have experience regarding natural resource and watershed rehabilitation

activities, ii) open up themselves to explore different ideas and broaden their

understanding, and iii) develop a vision for their village and surrounding. Funds

are allocated for 50 visits over the life of the Project covering various expenses.

Procurement method is LC.

97. Vehicles/Equipment and Goods: All items in this Category will be will be procured

through LS:

Vehicle rental: Provisions are made to rent vehicles for: i) PPT‟s (4x4): for

each of the teams 200 days/year including driver, maintenance, fuel and

insurance, and ii) villagers‟ exposure visits (minibus): for groups of villagers

to make around 50 visits to various sites,

30

Office equipment: Provisions are made for office equipment for three PPTs,

OBM and OIMs: 3 computers for each PPT, one printer/province and one

photocopier/province and 3 handheld GPS/PPT.

Software: GIS software and GIS maps

98. Cost Sharing: There is no cost sharing foreseen for the Component, all will be

financed 100% by IFAD Loan and IFAD Grant (technical assistance, studies and planning and

technical subjects identified, for PPT, OGM and Regional OGM staff, annually). The others will

be financed 100% by the IFAD Loan.

99. Bidding documents: All bidding documents for the procurement of goods, works and

services shall be prepared by the procuring entity (relevant Procurement Officers) with the

participation of the OBM and/or OU/FOU specialist(s) as required. At the provincial level, the

responsible team of the line agencies would prepare the procurement documents under the

supervision of central management of the relevant agencies and OU. All the procurement

documents would be cleared by the OU before any action is taken.

31

C2. INVESTMENTS IN NATURAL

RESOURCES

32

100. The primary objective of the Component 2 is to invest in activities as identified in the

MCPs to protect and rehabilitate degraded areas in gazetted forest land including rangelands

to stem further degradation and erosion.

101. It should be noted that: i) this Component comprises interventions on public land

while interventions under Component 3 are for private land and ii) Component 2 and 3 are

interlinked. Interventions under Component 2 have impact on the activities under

Component 3 by protecting agricultural land from flooding and landslides, improving water

supply and quality for irrigation, contributing to livestock productivity by improving

vegetative cover and providing small but useful structures in grazing lands thus increasing

drinking water availability. Component 2 also effects livelihood of the villages by providing

temporary employment, reducing flood and land slide risks, and allowing communities to

benefit from fruit bearing trees and plant material obtained from oak coppice rehabilitation

and support beekeeping by improving the flora.

102. The component includes investments for land, soil, vegetation and water:

i) soil conservation investments,

ii) rehabilitation of degraded forests,

iii) rehabilitation and sustainable management of degraded grazing land/rangelands,

103. To protect the areas where the above investments are made, protection of these is

important. It was estimated that about 10% of the total area rehabilitated fencing will be

needed. Provisions are made to finance fencing under the Component.

a. Introduction

33

104. Soil conservation investments: The purpose of the investment is to put in place

measures to conserve soils and vegetation in micro-catchments and to introduce mechanical

and biological approaches toward catchment conservation, management and rehabilitation of

forestry land.

105. The investment will include the following interventions: i) erosion control and

slope stabilization measures such as gully rehabilitation; ii) shallow/manual terracing for

improved moisture retention; iii) plantations of forest and fruit-bearing tree species as

agreed with communities; and iv) closure of specific and agreed areas to grazing

investments for land, soil, vegetation and water. MC, one or more of these interventions

could be selected based on the: i) magnitude of the erosion; ii) soil type; iii) percentage of

slope; iv) type of vegetation cover; v) rainfall characteristics, vi) land use, and foremost,

vii) the agreement of the resident communities.

b. Investment Menu

34

106. Rehabilitation of the degraded forests: this will include: i) oak coppice

rehabilitation, and ii) tree planting (afforestation) on the degraded forestland. The

rehabilitated areas will be closed off to grazing by fencing for a period of time (2 3 years) to

35

enable the seedlings to grow to above a height that could be damaged/eaten by the small

ruminants.

Oak coppice rehabilitation: In the mountains of the Project are, particularly in

Bingöl there are oak coppices/forests. The prominent oak species are: i) Quercus

infectoria Olivier, ii) Q. ithaburensis Decne. subsp. macrolepis (Kotschy) Hedge,

iii) Q. brantii Lindley, Q. libani A. Rich., iv) Q. robur subsp. pedunculiflora (K.

Koch) Menitsky and v)Q. petraea Lieble. However, many parts of these oak

forests are degraded and unproductive due to illegal grazing, illegal using of

leaves and branches for livestock feeding (mainly for goats) and illegal cutting for

firewood. These degraded forests can be transformed to productive forests by

rehabilitation. By taking the actual condition of the stands into consideration one

or more of the improvement techniques will be applied including i) throat cutting

of the stem to enable the tree to regenerate, ii) supplemental seeding with

acorns, and iii) supplemental planting with oak seedlings.

36

Tree planting on degraded forestland: forest degradation in the Project area is

the result of overutilization, unsustainable forest management, the socio-

economic problems of local forest dwellers, ownership and land tenure problems,

converting forest land to agriculture. To restore these areas, afforestation will be

undertaken and the species will be selected based on various factors including: i)

soil type and depth; ii) type of bedrock; iii) climatic conditions; degree of

erosion; and v) local preferences.

107. Rehabilitation of degraded grazing land: will be undertaken to reduce grazing

pressure on forest rangelands/ grazing land and improve the carrying capacity of the

degraded rangelands. This will be achieved by: i) closing the area, and ii) promoting

rotational grazing.

closure of the area: this will be achieved by fencing the area to grazing for a

period of time in order to increase the carrying capacity in terms of both

biomass and botanical composition. Forage crop seeds will be provided to

livestock owners on cost sharing basis to be used in the agricultural land

(under Component 3) to compensate temporary closure of the rangelands.

helping the users to adopt rotational grazing as a routine practice through

providing training and demonstration for shepherds and livestock owners.

108. Investments in rangeland infrastructure: The Component will also finance

investments in rangeland infrastructure to ensure the participation of the livestock owners

and also to increase the livestock productivity per animal. These investments will include: i)

livestock drinking water structures; ii) shades and scratch posts, and iii) simple shelters in

the grazing land.

Scratch posts: One or two will be installed in the grazing land per 50 ha.

37

Simple shelters/pens: Provisions are made to construct simple

shelters/pens in the rangeland for protection of shepherds and the

livestock against theft, negative weather conditions and wild animals.

There will be one shelter per 50ha. These structures will be open to

communal use in the MC.

109. Livestock drinking water structures will provide access to water in grazing lands and

so reduce animal travelling distances for drinking. The benefits derived are two-fold: i)

reduction in the risk of spreading animal diseases, and ii) increased productivity per animal.

38

The structures will be: i) water troughs and ii) watering ponds. It should be noted emphasis

will be on the water troughs. Only a few watering ponds will be constructed

Water troughs: these will be poured-in-place concrete (mostly) or prefabricated

sheet metal with dimensions of about 10 x 1 x 0.6 meters and will be installed

strategically over the rangeland as one per 300 ha.

The construction of livestock watering ponds in rangelands for direct use during

the summer grazing period will be supported in villages where livestock

production is the main activity and where water sources are scarce but site

conditions are favorable to collect surface runoff.

Typical ponds will be of the watershed (or embankment) type with a maximum

total embankment height of five meters and riprap protection on the upstream

slope. Ponds should be fenced and include a control structure with a drainpipe

through the embankment used to supply water to a set of troughs in order to

avoid direct livestock access. Investments in ponds should include formal

arrangements for communal use of the facility. The detailed design may also

include catchment afforestation measures to reduce siltation. A geologic note, an

environmental impact assessment note and a brief hydrological study assessing

the recharge regime will also be part of the feasibility analysis. All investments in

livestock watering facilities should include a basic financial analysis relating

investment cost to the expected increase in production and revenues.

39

110. Sediment measurement stations: Erosion will be measured in all 25 MCs through in

situ erosion measurement and sediment capture and will be combined with GPS marked

photos in predestined locations of the catchment area. This will serve the dual purpose of a)

obtaining data, which can document impact of NR rehabilitating activities directly in the MC

areas and b) create awareness by involving communities in the installation, management and

data collection. The stations will be installed at each MC during the MC planning phase.

111. The OIMs in Elazığ, Bingöl and Muş will be responsible for the implementation of the

component and will report to the OBM. The forestry-related activities, including those that

relate to the rangeland investments under this component will be implemented according to

the MC plans that have been finalized under Component 1.

112. Civil works: The works to be financed under the Component include: i) forestry work,

and ii) livestock drinking water structures.

Forestry work: this includes but not limited to the following: afforestation of

degraded forests (including terracing, planting trees, pocket terraces around

the trees planted), protection and improvement of degraded soils, coppice

rehabilitation (including regeneration cutting, supplemental seeding,

supplemental planting. These contracts would be procured through NCB/LS in

accordance with the procedures acceptable to IFAD. The OIM will hire the

service providers, e.g. the village administrations or local contractors, for the

rehabilitation and afforestation activities or other small civil works. All work

related to rehabilitation, afforestation and the maintenance and guarding of

same is expected to be undertaken by the resident villagers (hired under the

village administration or individually) in the respective MCs. In case sufficient

labor is not available, the OIM will contract the work to eligible service

providers that will be competitively recruited as described in the PIM.

Livestock drinking water structures: The civil works for livestock drinking

water and ancillary facilities will be competitively contracted (LS) at the

provincial level by the OIMs. Provincial Project Teams (PPTs) will be

responsible for the monitoring of these works and the reporting to the

Provincial Focal Points (PFPs). The OIM/OBM will make arrangements with the

relevant Governors‟ office and Government agencies in the provinces, e.g.

Agricultural Department (PDA) to receive technical support on an “as-needed-

and as-agreed” basis.

113. Vehicles/Equipment/Materials/Goods: for the component there are 2 items in this

category: i) seeds and seedlings, and sediment measurement equipment.

c. Implementation Arrangements and Procurement

40

Seeds and seedlings: As standard OGM practice to ensure steady and risk-

free supply, the required seedlings will be bought from nurseries that are

capable of producing such at prices that are annually determined by OGM.

The suppliers include state owned nurseries in Elazığ and Muş. Other public

nurseries and private producers that are capable of supplying the desired

seedlings may be contracted in accordance with the needs determined in the

MC plans with respect to timing, quantity and quality,

Sediment measurement equipment: Provisions are made under Equipment

and Goods category for the procurement of 25 equipment kit through LS.

114. Bidding documents: All bidding documents for the procurement of goods, works and

services shall be prepared by the procuring entity (relevant procurement officer) with the

participation of the OBM and/or OU/FOU specialist(s) as required. At the provincial level, the

responsible team of the line agencies would prepare the procurement documents under the

supervision of central management of the relevant agencies and OU. All the procurement

documents would be cleared by the OU before any action is taken.

115. Cost sharing: the following investments will be financed 95% by IFAD and 5% by the

Government: i) soil conservation investments and ii) rehabilitation of degraded forests. The

investments for the rehabilitation of degraded grazing lands, livestock drinking water

structures and simple shelters will be financed 95% by IFAD and 5% by the beneficiaries. If

and when needed, guard could be hired per MC. The cost will be cover totally, by the

Government. The equipment for sediment measurement will be financed 100% by the Loan.

41

C3. INVESTMENTS IN LIVELIHOOD IMPROVEMENT

42

116. The primary objective of the Component 3 is to improve livelihood in MC villages

through support to small-scale crop and livestock production on private land and improve

living conditions in settlement areas.

117. It should be noted that Component 2 and 3 are interlinked. Interventions under

Component 2 have impact on the activities under Component 3 by protecting agricultural land

from flooding and landslides, improving water supply and quality for irrigation, contributing to

livestock productivity by improving vegetative cover and providing small but useful structures

in grazing lands thus increasing drinking water availability. Component 2 also effects

livelihood of the villages by providing temporary employment, reducing flood and land slide

risks, and allowing communities to benefit from fruit bearing trees and plant material

obtained from oak coppice rehabilitation and support beekeeping by improving the flora.

118. Investments under Component 3 address both poverty (directly) and natural

resource degradation (both directly and indirectly).

119. Impact on poverty: some activities reduce poverty directly by increasing the

household income and others by decreasing the expenditures:

Activities increasing income: Crop production: wheat/barley and forage crop

production with some degree of mechanization on relatively larger plots will have

direct effect on income as a result of improvements in crop yields and total

production. Vegetable and fruit production will also provide income but from

smaller plots by utilizing family labor where income per unit of cultivated area will

be higher. Investments for small-scale irrigation (water storage ponds,

rehabilitation of earth canals and on-farm drip irrigation) will directly improve

earning capacity of the households. All of these will also have positive impact on

the nutritional status of families. Contracted seedling production will not only

generate income but may create models/opportunities for future small-scale

businesses. Livestock production: forage crop production on agricultural land that

integrates crop and livestock production, improvement of livestock stables will

improve the livestock productivity and contribute to the household income.

Activities decreasing expenditures: Investments regarding alternative energy

resources comprising solar water heaters, energy efficient stoves and house

insulation, the effects of which are compounded when used in combination.

a. Introduction

b. Impacts /Linkages

43

120. Impact on natural resource degradation: the impact is both direct and indirect:

Direct impacts are derived form: i) improvements of wheat and barley yield

(correcting land use by freeing slopes from annual production that cause surface

runoff and loss of top soil and fertility, moving away from monoculture that

continuously depletes soil moisture and nutrients from the same depth, results in

building up of certain weeds, insects and diseases), ii) fallow reduction

(protecting land from wind and water erosion for about 12 months by creating

vegetation cover), iii) expanding forage crop production with nitrogen fixating

leguminous crops (increasing soil organic matter content, improving soil strength

by increased aggregate stability and increasing water retention capacity); iv)

establishment of fruit orchards, if done particularly on slopes replacing annual

cropping mainly wheat (stabilizing slopes and reducing surface runoff), v)

improving small-scale irrigation (improving water use efficiency through reducing

conveyance losses, adopting water efficient methods like drip irrigation), vi)

contracted seedling production (establishing good ground cover reducing erosion,

and by steady supply of seedlings enabling successful afforestation), vii)

alternative energy sources (reducing fuel wood consumption resulting in

improved land cover). For all crop production, soil tillage parallel to contours will

be encouraged. This will stop creation of small furrows on the slopes that cause

significant topsoil, soil fertility loss and lead to gullying.

Indirect impacts are created by: i) expanding forage crop production (reducing

pressure on forest land and grazing land); ii) leguminous forage production

(increasing water supply by increasing water retention in soil, improving soil

fertility); iii) establishing good ground cover with cereals, forage crops,

vegetables and fruit trees (improving water quality by reducing sedimentation).

121. The investment menu for private land will include: i) improvement of the

productivity of wheat and barley; ii) forage crop production; iii) improvement of livestock

stables; iv) orchard establishment; v) improving vegetable production; vi) small-scale

irrigation; vii) contracted seedling production; and viii) promoting energy saving

technologies.

122. The menu offered will vary with agro-ecological and socioeconomic conditions in each

village as well as farmers‟ resources and needs. The approach will be flexible and the scale,

scope, timing/phasing and associated costs for all activities will be detailed in the agricultural

sub plans made in the negotiated MCPs.

123. Improving wheat and barley productivity: Poor crop productivity and low profitability

will be addressed by assisting smallholders to adopt better agronomic practices under

prevailing agro-ecological conditions to match cropping patterns to the productive and

c. Investment Menu

44

physical limitations of agricultural lands. This will help to reduce soil erosion and associated

soil fertility loss in fragile land where annual cropping has been practiced for years. The

agronomic practices will include improved soil cultivation and seedbed preparation (on

contour for erosion prevention), improved timing of planting, and quality seeds (certified) of

higher yielding varieties resulting in production of satisfactory grain yields, and quality hay

and feed grains. Yield improvement will reduce the need for additional land and/or number of

plots to be dedicated to wheat and barley enabling farmers to allocate more land for forage

crops. The component will introduce nitrogen fixating annual forage crop (Hungarian vetch)

into the existing crop rotation (fallow-wheat rotation or wheat monoculture) that use the

same piece of land and available rainfall more efficiently and effectively that support livestock

production but also increase grain yields due to improved soil fertility.

124. Expanding area under forage crops: forage production will be encouraged in the MC

villages under both rainfed and irrigated conditions will be supported. For rainfed conditions,

winter vetch (Hungarian vetch) or spring vetch by replacing fallow that leaves land idle and

unprotected (exposed to water and wind erosion) for about 12 months. Sainfoin (a perennial

forage crop, korunga) will be introduced to the plots on slopes with effective erosion control

measures to avoid the annual disturbance (soil tillage for annual grain production) of the

earth that increases soil and land degradation. In areas of higher annual precipitation (about

750-800 mm), silage maize will be promoted. For irrigated conditions, alfalfa and silage

maize will be priority crops particularly for villages where dairy cattle production is gradually

developing.

125. Improving of livestock stable conditions: this will address one of the major issues in

livestock production (sheep and cattle) by financing materials and equipment to upgrade

traditional stables. Measures will include ventilation and chimney windbreak, window opening,

lighting, improved feed and watering units, paint/whitewash, and disinfectant and spraying

on a cost-sharing basis. All these will decrease the parasite and disease incidence in the

stables and improve stable/barn hygiene.

45

126. Establishing modern orchards: although the agro-ecological conditions are

appropriate for fruit production in a number of upland villages, there is no orchard

established with appropriate geometry and technique. Individual trees of outdated varieties

are scattered on the farmers‟ fields and backyards and kept poorly. The component will

support investment in small modern orchards for production of soft and stone fruits (e.g.

apple, pear, plum) and nuts (e.g. almond, walnut or chestnut) by providing seedlings.

127. Improving vegetable production: there is a proven demand for fruits and vegetables

in the region. However, poverty, lack of technical information and skills, finance issues, and

outdated varieties and practices limit production. Therefore, production under plastic tunnels

and open fields will be supported in MC villages where climatic conditions are favorable, good

agricultural land is limited and household labor is available. Provisions are made for 500 m2

plastic tunnels, plastic sheets, iron frames, and drip irrigation (drip tube accessories) with

initial skills transfer and advice.

46

128. Small-scale irrigation: Support will be provided for off-farm and on-farm irrigation.

Small-scale off-farm irrigation investments will ensure a reliable supply of water for irrigation

and expand the irrigated area available to a village, if any, by improving irrigation efficiency.

Given the sloped nature of the irrigated areas, drainage is not expected to be an issue

requiring additional investment or to create any negative environmental impact.

129. The investments will include: i) small water storage ponds (off-farm) for multiple

users with established water use rights, and ii) improvement and rehabilitation in the water

conveyance systems (off-farm) by conversion to concrete canals or where feasible to PVC

pipe, and iii) on-farm drip irrigation.

Water storage ponds: these will enable farmers to: i) store water from small

springs/streams (with a discharge less than 15 liters/second) to be used in

periods of water shortage, and ii) engage in production of more profitable

crops. The ponds will be concrete and about 400 m3 in size with requisite

inlet and outlet structures and fittings. In selecting the water source to be

developed, the main criterion in addition to technical feasibility will be the

number of households that will benefit. In the case of civil works for

irrigation, arrangements for in-kind contributions by the beneficiaries will be

negotiated during the preparation of each MC Plan. The remote location of

these investments predicates civil works designs that require minimal use of

heavy machinery. Further guidance regarding the design parameters will be

provided in the PIM.

47

Rehabilitation of the existing irrigation infrastructure will be undertaken by: i)

replacing damaged and poorly functioning parts of existing open canals with

pipes (PVC or glass fiber) and ii) concrete lining of earth canals to reduce

water conveyance losses and modification of the canal profile (trapezoidal

instead of rectangular).

On-farm low pressure drip irrigation: provisions under the Component are

made to support for on-farm low-pressure drip emitters for horticultural and

forage crops complementing and benefitting from off-farm project

investments in water harvesting. A typical installation will include the

rehabilitation of the intake, the construction of a reinforced concrete tank and

the installation of an underground LD/HDPE pipeline (including valve boxes

for air valves, washouts and hydrants). The valve boxes will be made of

steam-cured pre cast units. Due to the harsh weather conditions in the

project area, specific minimum pipe laying depths are required.

48

130. Contracted seedling production. The project will support the establishment of tree

nurseries in the MC villages. The objective is to ensure a steady supply of quality industrial

tree and nutty fruit tree seedlings that are of local provenance for the need of OIMs. There

will be a buy back guarantee by the OGM. For the surplus could be sold to individual farmers,

communal entities (such as village administrations) and commercial entities.

49

131. Promoting energy saving technologies: The activity is designed to reduce the overall

demand for fuel and excessive reliance on fuel wood and to promote the use of affordable

renewable energy sources in the upland villages. The Component will introduce new and

scale-up on existing modalities of energy conservation in order to reduce pressure on the

forests and to improve living conditions of the rural communities. The interventions comprise

mainly solar water heaters, energy efficient stoves, and alternative small-scale energy-saving

technologies including house insulation.

132. Knowledge and skills required for these investments will be provided through: i)

farmer training courses, ii) on-farm demonstrations and iii) farmer exposure visits. Timing of

these is important. Ideally, these should be conducted before the start of the investments.

This will enable the beneficiaries to utilize the investments efficiently and effectively.

d. Knowledge and Skill Development

50

Farmer training courses: these will be conducted to: improve knowledge and

skills of farmers in order to reduce the technology and farm management

gap; ii) to enable them to interact with peers and specialists; iii) stimulate

their thinking, reflecting and connecting ideas, exploring knowledge and

enjoying learning, and iv) challenging their preconceived ideas and

predispositions.

Training courses will be structured to cover both classroom and hands-on

training (in the field). About 300 training courses could be conducted for the

life of the Project. Major topics include livestock husbandry and waste

management, forage and cereal crop production, greenhouse and open field

vegetable production, small scale irrigation and seedling production. Unit cost

(300 USD/course) includes course material and beverages and simple food for

25 participants.

Separate training courses will be provided to women farmers systematically

throughout project implementation. Youth will be given priority in all training

programs. Women will also benefit from farmer exposure visits that will be

organized for couples and youth. Depending on the activities included in the

MC plans, the PPTs analyze the capacity building needs for the implementing

community members and technical assistance.

51

On-farm demonstrations: these will be conducted to: i) kindle interest and

create awareness about behavioral change, ii) enable farmers to observe new

practices in crop and livestock production to reduce the differential between

potential and actual yields by accelerating technology transfer (i.e., to reduce

the technology gap) and helping farmers become better farm managers (i.e.,

to reduce the management gap), iii) actively engage them in the learning

process, iii) motivate them for trying for what they have observed.

Provisions are made to conduct about 300 demonstrations in 25 MCs (3

provinces) in 7 years. Major topics include livestock husbandry and waste

management, forage and cereal crop production, greenhouse and open field

vegetable production, small scale irrigation and seedling production.

Depending on the objective of the demonstration, it is recommended to plan

and design them to: i) show before-and-after, control-versus-test, side-by-

side comparisons; ii) expose farmers to only one or two treatment/practice,

or to whole package of practices, and iii) conduct one-year (e.g. wheat

cultivars, seedbed preparation) or multi-year (e.g. crop rotations, tree crops,

livestock feeding).

52

The number of demonstrations per MC varies from 1 to 3. For example one

concrete manure storage demonstration should be sufficient for one of the

villages in each MC (in total 25) or orchard demonstrations could be 15 in

total (in 15 MCs where the agro-ecological conditions are suitable). Forage

demonstration should be 3/MC while 3 irrigation demonstrations could be

conducted in each MC. Unit cost (500 USD) for each demonstration includes

inputs and cost for agricultural operations.

53

It should be noted that if a demonstration:

o does not reflect technical expertize and discipline,

o is not significantly different from an average farmer field and practice

and is not easily visible among local/traditional practices,

o does not attract the attention of those who pass by the demonstration

field and make them stop and look,

it should be cancelled and the sign has to be removed. There is nothing

harmful for a project than a “bad/failed demonstration”. Guidelines for

successful demonstrations are given in Annex 13.

Farmer exposure visits: these will be organized to help the participating

farmers to: i) interact with better farmers, successful companies; ii) open up

themselves to explore different ideas and broaden their understanding; iv)

develop a vision for their holding and v) sharpen their interest in the Project.

on the average, 3 couples or sister/brother or father/daughter from each MC

village would benefit from these visits. It is important to ensure the

participation of women. Each tour using Project minibus can include 25

couples. It is envisaged that during the life of the Project about 30 tours could

be organized on about 7 different topics (livestock husbandry and waste

management, forage and cereal crop production, greenhouse and open field

vegetable production, small scale irrigation and seedling production). Visits

should target private companies, large farms, leader farmers, other project

activities and interventions. Field days organized by government agencies

and local or regional fairs are good opportunities for the MC communities.

54

55

• The main principles in preparing and implementing the program will be: i)

spouses or brothers/sisters will participate, ii) the majority of the visits will be daily;

every year only one visit for 2 days will be planned; iii) upon their return to their

villages, the participants will share their experiences in one of the training programs

or in a meeting organized by the VH.

133. The Component will provide opportunities on a cost-sharing basis to raise income of

MC communities reinforcing the adoption of rehabilitation activities undertaken Component 2.

It will be implemented by OGM through contracted multi-disciplinary Provincial Project Teams

(PPTs) comprising a forest engineer, an agronomist and a livestock specialist. OIM will second

a forester to each PTT to be a focal point for the liaison between OIM, PPT and local

communities. The governors‟ offices in the Project provinces will provide necessary

coordination and linkages between the Project and the resources of Provincial Directorates of

Agriculture (PDAs) for extension and training support.

134. Provisions are made for training of the three PPTs on technical topics as well as in

poverty targeting and gender issues at the beginning of their work and for refresher training

in third and fifth year of implementation. Both PPTs and OGM staff will participate in training

in participatory methods and gender/poverty sensitization.

135. Civil works: this Category includes all small scale irrigation investments.

Procurement method is LS.

136. Training/ Technical Assistance/Workshops: demonstration, farmer training and

farmer exposure visits are under this Category. Provisions are made to finance the related

expenditures: agricultural operations and inputs for demonstrations, organizational expenses,

audio-visual and printed material for farmer training and exposure visits, vehicle rental, and

meals. Procurement method is LS.

137. Vehicle/Equipment/Materials/Goods: Livestock shelter rehabilitation, and energy

saving technologies are under this category and the procurement method is Community

Procurement (CP). Seeds and seedlings needed for productivity and profitability improvement

for wheat, barley, rainfed and irrigated forages, vegetable and fruit production is covered

under this category and these inputs will be procured through LS.

138. Bidding documents: All bidding documents for the procurement of goods, works and

services shall be prepared by the procuring entity (relevant procurement officer) with the

participation of the OBM and/or COU/FOU specialist(s) as required. At the provincial level, the

responsible team of the line agencies would prepare the procurement documents under the

Implementation and Procurement Arrangements

56

supervision of central management of the relevant agencies and OU. All the procurement

documents would be cleared by the OU before any action is taken.

139. Cost sharing: All farmer demonstrations, training and exposure visits will be financed

100% by IFAD Loan. Irrigation ponds and rehabilitation of existing irrigation infrastructure

will be financed 95% by IFAD and 5% by the beneficiaries. The following investments

(including provision of seeds and seedlings) that will be made for: i) improvement of wheat

and barley production; ii) improvement of livestock production; iii) improvement of

horticultural production and iv) on-farm drip irrigation will be financed 70% by IFAD and 30%

by the Government.

57

PART C

REPORTING, MONITORING, SUPERVISION and EVALUATION

58

140. As part of its responsibility for implementing the project, the MARA/TUGEM is

required to report periodically on project progress in order to satisfy IFAD that the project is

being carried out properly and is likely to achieve the objectives of the loan. Two types of

reporting are required: i) Semi-annual Progress Reports, and ii) Annual Performance Reports.

These reports will be in English with Turkish translations if and when required by

OGM/CEM/MFWA. The PMU will maintain a website where all project related reports are

disclosed for interested readers.

141. The purposes of the Progress Reports are: i) to provide essential information on the

physical and financial progress of Project activities, and ii) regular assessment of Project

impact. Such reports would be prepared semi-annually and annually. These reports provide

information on the progress in implementation, spending and achievements. A brief summary

of activities undertaken and results achieved in each MC will also be provided. The progress

reports include regular information on Project outputs broken down by province and to the

extent possible, outcomes, and where appropriate reference to the baseline situation.

142. Semi-annual Progress Reports: Twice a year (every six months), the COU will submit

a progress report to OGM and IFAD, no later than three months after the end of each six-

month period during the project implementation period. The exact dates for submission of the

progress reports will be announced during the Project Start-up Workshop. The COU will

develop quarterly financial and physical progress reporting formats for service providers and

such conditions will be incorporated into the contracts to be engaged with these service

providers. Based on these reports prepared by service providers, COU will issue a

consolidated report on all service providers and include these in the Semi-annual Reports.

143. Annual Progress Report: One of the semi-annual reports will be the Annual

Performance Report that will have broader coverage and sent to IFAD. It will contain

summarized information on all aspects of the Project implementation by province. The report

will allow supervision missions and evaluators to be fully informed of Project activities,

achievements and constraints, clearly indicating planned and actual targets for key indicators

agreed between the Government, IFAD and the OGM. Paper copies will be also sent to the

Treasury, Ministry of Development (MOD) and Provincial Governorates.

144. The format is provided in Annex 15. However, it should be noted that these reports

should address the following at a minimum:

Introduction

Progress Reporting

59

quantitative and qualitative progress made in implementing and achieving

project objectives, including detailed financial and procurement data as well

as staffing,

analysis regarding community participation, transparency in selecting

districts, villages, smallholders and infrastructure investments,

sustainability of the investments,

effect of interventions on rural environment

problems encountered during the reporting period,

gender mainstreaming and bottlenecks experienced,

steps/actions taken or proposed to mitigate or solve these problems,

the status of problems that have been raised in IFAD Supervision reports,

the proposed program of activities and the progress expected during the

following reporting period

145. The monitoring and evaluation (M&E) function will be guided by the Project‟s logical

framework and integrated in the Project‟s reporting to assess impact of implemented

activities. Information from a variety of sources including the socio-economic and physical

baselines as derived from the MCPs, will form the basis for an integrated management

information system (MIS) focusing on continued analysis of, rather than generation of,

information. The analysis of Project results will be used to manage Project activities so as to

be more responsive to the beneficiaries‟ needs and priorities vis-à-vis the Project‟s objectives,

which in turn will lead to enhanced achievement of impact.

146. The Project M&E system will be based on existing structures for reporting of primary

or 1st level results (e.g. ha of land afforested, ha of land rehabilitated, grazing land

rehabilitated, livestock drinking water points established) and on activities directly targeting

improved livelihoods in the villages (farmers trained in improved livestock production

practices, crop and vegetable production, etc.). To that end, the Project M&E function will

focus on analyzing key results indicators, rather than on the collection of data, although data

collection will serve as an input to the M&E. All Project stakeholders, (including national,

regional and provincial OGM staff and communities) have a role in monitoring and/or

assessing Project implementation. Provision has been made in the Project design both to

assess the impact on villagers‟ livelihoods and to measure efficiency and impact of erosion

mitigation investments. The Project area will be visited regularly by OBM and Ankara based

OGM staff in order to provide them with first hand opportunities to interact with villagers and

assess progress.

Monitoring and Evaluation

60

147. Staff responsibility for M&E: The Project Manager (PM) and the Field Project

Manager (FPM) will be responsible for ensuring that a responsive M&E system is established

and regular monitoring and progress reporting is in place for Project activities. The M&E

Specialist of the COU together with the M&E officer of the FOU will have day-to-day

responsibility for collecting and analyzing data and preparing, as required but at minimum

quarterly reports, on progress and results achieved and implementation issues arising from

monitoring activities. These reports will be directed at Project management, but may be

shared with the Project Steering Committee. Within the COU, provision for supplementary

studies has been made, the findings of which will feed into M&E arrangements over the

course of implementation. Provision has also made for computer training of staff to enhance

their skills in using computer application to support analysis.

148. The relationships among program entities are set out in Figure 3, which depicts the

linkages within the proposed information system.

Figure 3: Measuring Results and Impact - Information and Feedback Flows

149. The M&E system comprises both performance and impact monitoring. All M&E data

will be disaggregated by gender and province. The Logical Framework indicators combined

with a selection of indicators from the MCPs form the basis of the monitoring system. During

the start-up workshops, one in Ankara and one in each of the three provinces, further

recommendations will be made on specific indicators and Means of Verification (MoVs). The

61

methodology that will used to analyze such indicators and MoVs will also include information

regarding their source, baseline values and periodicity of reporting. In large part, baseline

values for each MC will be defined in the MCPs. The existing GIS system at OGM will be

utilized as a mainframe for visualizing baseline and monitoring data, which will detail the

extent of environmental degradation at baseline. OGM has in-house capacity to measure

erosion following internationally recognized methods and this experience will be made

operational in the erosion control monitoring.

150. Micro-catchment communities will participate in the monitoring of surface and

rill/gully erosion through the set-up of simple field trials consisting of rectangular erosion

plots on level land, and using metal sticks to measure the development of rill and gullies.

Forestry Research Institute in Elazığ can provide assistance for this. Participatory monitoring

will also be applied in the collection of data from sediment traps at the waterways draining

run-off areas within and at the border of the micro catchment. Participatory monitoring can

be very cost effective and at the same time raise community awareness.

151. The participatory monitoring may be supplemented by data collected at larger

watershed area, possible at provincial level, and at the macro watershed/basin level. The

macro level data is routinely collected by the hydro electrical dam authorities, and will serve

as a reference to measure the data collected at micro-catchment and possible watershed

level.

152. At the annual Planning Workshops, findings from M&E, various studies, and field

trials will guide decisions on the future scope and course of the Project. The workshops will be

a forum for revising elements of the Project‟s logical framework such as indicators and MoVs,

and to discuss implications of the results achieved in the previous year(s) with respect to set

milestones and the Project‟s objective and long-term goal. This analysis will provide the basis

to: (i) Review the overall implementation progress and poverty focus; (ii) identify successes

and means for replication; and (iii) analyze problems encountered in the course of

implementation and agree on corrective actions.

153. OGM already possesses a robust, computerized system for tracking progress in terms

of physical works. Data on expenditures and activities carried out are entered into this

system at provincial level. These data form the backbone of the M&E system, and to the

extent possible be supplemented with existing government data as well as data from erosion

monitoring and social surveys carried out during the Project‟s implementation. An early task

of the M&E specialist will be to identify data sources and periodicity of reporting for the

agreed indicators.

154. Contracts with service providers will clearly stipulate the results to be achieved,

whether in terms of land and water improvements, agricultural production or with respect to

people trained. Final payment to service providers should be contingent both on acceptance

of the works or services rendered and on receipt of a report quantifying the results achieved.

Such reports will be made public in the villages and certified by the village headmen. Data on

training will be disaggregated by gender, age group and type of training provided. If

information from service providers cannot be accommodated in the existing computer

system, the data will be stored in Excel or similar commercial computer application.

62

155. This review will take place after the first 18 months of implementation to assess the

(i) effectiveness of institutional modalities; (ii) planning and implementation interactions; and

(iii) monitoring system. A Mid-Term Review is planned to be conducted at the end of three

years of implementation. It will cover: (i) an assessment of achievement of Project outcomes,

physical and financial progress as measured against design and the AWPBs; (ii) performance

and management of contracted implementing partners and an assessment of the efficacy of

technical assistance and training programs; and (iii) institutional implications, in particular

related to sustainability of the Project achievements and potential for scaling up or replicating

the Project approach. These Reviews‟ findings will inform decision-making on possible

adjustments to the content, targeting and financing of the Program components.

156. In the final year of implementation, as part of the preparation of the IFAD-required

Project Completion Report (PCR), M&E data collected during implementation will form the

basis for an overall assessment of Project achievements, particularly in terms of documented

improvements to the natural resource base as well as changes in the livelihoods of villagers

living in the targeted MC areas. The PCR process will include a stakeholder workshop in each

province to provide an opportunity for stakeholders themselves to evaluate performance, to

promote accountability, to identify and elaborate upon factors that will improve sustainability,

and to lay out key successes and shortcomings. Equal representation of different interest

groups should be promoted and female representation in the stakeholder workshop is a must.

If required, female stakeholders may have a distinct evaluation process.

157. The assessment will be based on monitoring data including in annual reporting.

Monitoring data will be compared with data contained in the MTPs on “before project”

erosion level and living conditions. An impact study in selected villages from previous years‟

implementation will be carried out at the last year of the Project to allow for a “after

project” comparison. Only villages where Project activities had commenced by PY 4 will be

used for comparative purposes. As proxy, the “after project impact review” will cover at least

one MC not supported by the Project in each of the three provinces.

158. The main categories of information to be collected during the planning phase and

used to assess Project impact are detailed in the MC Plan guidelines. These include but are

not be limited to:

a. Socio-economic characteristics: number of households in the village,

composition of the households, employment and migration data, household

income and expenditure patterns (in particular for food and energy);

Inception Review

Assessment of Project’s Impact

63

b. Physical characteristics: location of village (longitude and latitude), distance

from and access to provincial center, housing and roofing material, sanitation

and drinking water

c. Agriculture and livestock: Number of livestock owned by villagers (type and

average per household), size of grazing/rangeland, number of functioning

livestock drinking points and shade structures, livestock productivity, rainfed

area (by crop), irrigated area (by crop), size of household plots (irrigated and

rainfed), crop yields; and

d. Natural resources: state of forested area, eroded land, grazing/rangeland.

GIS maps will be prepared at completion for the selected MC and compared to

those prepared during the planning phase. These provide evidence of

improvements to natural resources. As a complimentary modality, photos

with marked with date/time and GPS coordinates should be taken at specified

time intervals to accompany written information and linked into the GIS

system.

19. Provisions are made for the use of innovative monitoring measures such as cameras

with integrated GPS function possible combined with aerial photos, which can be used to

detect physical changes in the MC, landslides, gully formation and vegetative cover. Photos

should be taken in few locations with characteristics typical for the MC. Photos should as far

as possible be taken at the same time of the year.

64

IFAD SUPERVISION MISSIONS

a. Introduction

65

159. Although the Borrower is responsible for project and program implementation,

ensuring an efficient implementation, resolving implementation problems and obstacles as

they arise and enhancing the achievement of development objectives, impact and

sustainability is the shared concern of all stakeholders. Supervision and implementation

support is IFAD‟s contribution to this effort, with the explicit objective of building the capacity

of national implementation partners and policy makers. Supervision during project

implementation, despite its importance, is only one of many factors that determine project

performance. These factors include: (i) quality of the project design and preparation; (ii)

quality of project management; (iii) the political and economic environment; (iv) commitment

and ownership by government, co-financiers and implementation agencies; and, (v) quality

and timing of supervision inputs.

160. Objective of the Supervision Mission: IFAD puts together a team of experts

(Supervision Mission) and send them to the borrowing country at least once a year or more

frequently- if considered desirable in order to: i) ascertain whether satisfactory progress is

being made, ii) ensure the early identification of problems requiring remedial action, and iii)

find out whether the project is implemented with the interests and concerns of its target

groups as a primary focus of attention. Mission staffing takes into account the nature of the

project and any special expertise that may be needed to address specific problems.

161. Supervision Mission Terms of Reference (TOR): Before the departure of the

mission from Rome where the IFAD Headquarters is, the management sends a Supervision

Mission TOR to the implementing agency (MFWA). The TOR reflects the principal objective of

the mission i.e. to ensure that the project‟s development objectives are being met, and to

satisfy IFAD‟s fiduciary responsibilities. The timing of the missions are planned and agreed in

advance with the implementing agencies.

162. A typical TOR includes the following:

• Introduction: a summary of the Project to be supervised (effectiveness

and closing date, loan size, project components, major developments,

issues)

• Aspects of the project implementation that will be supervised:

1. overall performance

2. financial management and procurement

3. management and coordination

4. activities and output under each component

5. component‟s compliance with the AWPB in terms of targeting

6. project‟s performance with respect to gender mainstreaming

7. actions taken on the recommendations of the previous

Supervision Mission

66

• Mission composition: a list of members and their area of expertise and

their individual responsibilities for the supervision

• Itinerary and program

163. Field program: As indicated in the TOR, the supervision missions travel to the project

provinces at the dates agreed with main implementation agency (OGM) to undertake field

visits to the project area to spot check and verify reported physical progress, interact with

the beneficiaries (men and women) local technical staff, and local administrators (if

necessary) to ascertain whether the implementation progresses as planned and whether

there are bottlenecks and issues that require remedial action. The COU in coordination with

FOU is expected to prepare a detailed visit program (with timing) for the mission. A sample

program is presented in Table 6.

Table 6. An Example for a Supervision Mission Itinerary and Program

MISSION ITINENARY and PROGRAM

164. As indicated in the sample program in Table 7, the provincial visit program should

include but not limited to the following:

• Visiting Director of the OBM

• Briefing by the Project Staff

• Visiting project office of the FOU

• Visiting Provincial Forestry Directorates (selected ones or all) in Project

provinces

• Visiting project villages/sites to see the implementation on the ground

165. Visit to Director and Deputy Director of OBM: The Mission visits the Regional

Director and his deputy (Field Project Manager) and DPM at OBM in Elazığ to gets views about

IFAD MISSION PROGRAM

15 May, Mon Mission‟s arrival in Elazığ

16 May, Tue Meetings at OBM with the relevant project staff

16-24 May Field work in Project Provinces A, B, and C

24 May, Thu Travel from Project Province C to Ankara

28 May, Mon Wrap-up Meeting at TÜGEM

29 May, Tue Departure for Rome

b. Field Visit

67

the project, implementation progress, and the issues. The Regional Director may not

accompany the mission to the project sites due his workload and/or earlier commitments;

therefore this visit is an opportunity for him to convey his views directly to the mission and

respond to their questions.

166. Briefing by the Project Staff: The purpose is to give an overall picture to the

Mission about the implementation of the project by the field agencies. A Power Point

Presentation should be prepared with pictures and figures indicating the progress made.

Therefore, it is important to develop a photo archive by taking pictures in the project sites to

indicate the situation before, during and after implementation including physical work and

beneficiaries. All the Project staff should attend the meeting and be introduced to the

mission. This will not only help the mission to understand who is who but also help to develop

the team sprit among the project staff.

167. It should be noted that the duration of the meeting should not be longer than an

hour including the translation of the presentation by the translator accompanying the mission

and a short question/answer session. More information (figures, charts, pictures etc.) could

be presented to the mission members through proving briefing files prepared in advance.

Table7. Sample provincial visit program for IFAD Supervision Mission

Presentation to the Mission

168. A suggested outline for the presentation includes the following:

• Present a map indicating the areas (districts, MC boundaries and MC

villages) where the project components are being implemented.

• For each component indicate the work done by providing pictures,

tables/charts about the scope, size and cost, and resource allocation.

Progress should indicate the number of beneficiaries and the level of their

participation by emphasizing gender equity/gender mainstreaming. Each

Date Time Activity/program

Oct 17, 2013

9:00-10:00 Visit to OBM

10:00-11:00 Meeting at the FOU Office (Presentation)

12:00-13:00 Lunch break

13:00-17:00 Visit to a project site, to see activities and

meeting with beneficiaries

Oct 17, 2013

8:00-14:00 Drive to project sites to see activities, have a

coffee shop meeting with the villagers

14:00-15:00 Drive back to the provincial center

15:00-16:00 Evaluation meeting at the PDA

16:00 Departure for the second project province

68

data should be presented as disaggregated by gender as much as

possible,

• Highlight actual and potential/emerging problems and constraints and

suggest solutions to improve project progress and impact

• List next implementation steps

169. In the FOU Meeting, after the presentation, the mission should be given information

about the planned field visit program in that province. A short presentation should be made

on a map where the stops are marked in the MCs and the purpose of that particular visit

should be explained. The program should be finalized by incorporating the topics/sites that

the mission members want to include or excluding those that are not in the priority of the

mission.

170. FOU Office: The purpose of the visit is to see the office setting, working facilities

and if desirable, to spot check filing and archiving and interact with the staff.

171. MC and Village visits: the FOU together with the PPTs should organize a meeting

with the Project staff before the arrival of the mission and to make plans for village and site

visits to ensure that the mission members use their time in the field efficiently and effectively

to measure the progress. The planners should avoid repetition of the project activities in the

program unless there is a special reason to visit the same intervention in a different site.

69

172. The field program should be prepared in a such a way that missions should be given

opportunity to interact with individual beneficiaries (interviews) and/or with groups of

villagers (focus group meetings) and see physical progress such as forests, rangelands,

agricultural fields, barns, equipment, irrigation infrastructure etc. It should be noted that

although information is given by the technical staff, the mission need to discuss directly with

project beneficiaries (sometimes also with non-beneficiaries) their perception of the Project,

the level of their participation and fairness in benefit/resource allocation, actively seek their

opinion on improving project performance. For this purpose, the beneficiaries should be

encouraged to speak freely.

173. IFAD‟s Targeting Policy identifies women as a major cross-cutting target group, and

attention to gender differences as a key requirement. The supervision reports that would be

prepared after the country visit are required to provide information on gender-differentiated

participation in and benefits from the project. Therefore, the missions have to review project

performance in terms of gender-equality/gender mainstreaming and collect sex-

disaggregated information on project participants, beneficiaries and staff. In preparing the

field visit programs these requirements should be taken into consideration by allocating

adequate time to meet with women beneficiaries. Logistical arrangements (separate meeting

places with women groups or household visits) should also be completed in advance.

70

174. The distances between stops and meeting durations should be calculated in advance

to ensure that adequate time is allocated in the program to meet the mission‟s information

needs are met satisfactorily. Informing the relevant stakeholders for each stop/site in

advance and make them ready to meet with the mission, ensuring the availability of the

vehicles and drivers, and other logistical arrangements contribute to the success of the field

visit.

175. It should be noted that it is important for the missions to leave the provinces with

actual/correct/unbiased information about the implementation. Only showing

positive/successful examples mislead the missions and give distorted impression. Discussing

actual and potential/emerging problems and constraints and suggest solutions will create

opportunity to improve project progress and impact, and make the life easier for the

implementers and contribute to their successful performance.

176. The Supervision Missions allocate some of their time to meet with implementing

Ministry and Treasury officials in Ankara. Based on their TOR, at the Ministry they discuss

implementation progress and issues and agree on actions to be taken, review documents and

collect necessary information for their Aide-Memoire (Mission Supervision Note) and

Supervision Report. The supervision missions begin and end with joint meetings between the

mission and the senior government officials of the department or agency charged with overall

responsibility for project implementation, at which the mission objectives and findings

(respectively) are discussed. The mission will have a “wrap-up meeting” with OGM and AGM

at MOFWA and review/discuss the Mission‟s Aide Memoire.

2. Aide-Memoire: The mission prepares an Aide-Memoire summarizing the findings of

the mission and discusses this in the wrap-up meeting. It itemizes those issues on

which agreement was reached and those that remain to be resolved. Mission

recommendations clearly headed as “Recommendations” in the Aide-Memoire. The

c. Mission Report (Aide Memoire)

71

Government staff needs to be allowed sufficient time to read, analyze and digest the

contents of the Aide-Memoire. Therefore, the Mission distributes the draft to

implementing agencies and where appropriate to other partners for their comments,

which is incorporated to the extent possible. Any agreed changes, additions and

omissions could then be accommodated by the mission. The Aide-Memoire is

circulated at least 24 hours ahead of a „wrap-up‟ meeting (or any other mutually

agreed timeframe). Any agreed changes should be made following the wrap-up

meeting and the final version submitted to the lead ministry and others concerned.

On their immediate return to IFAD, supervision missions submit the Aide-Memoire as

part of their Back-to- Office report to IFAD management.

3. Management Letter: Within 10 days after the supervision mission, a Management

Letter is sent to the implementing agency (MFWA) by IFAD requesting resolution or

intervention with regard to issues that have to be addressed by implementing

agencies at higher levels. It highlights positive and negative trends in

implementation and concerns relevant to IFAD‟s strategic thrusts.

4. Supervision Report: After Returning to IFAD Headquarters, the Mission Leader

prepares a Supervision Report. The report is primarily a tool to be used by

implementing agencies, IFAD, and other stakeholders to judge progress over time,

and the vehicle to ensure that project objectives are being met and the expected

impact achieved. The focus of the report is on action, undertaken or envisaged, to

improve project progress and impact. The Aide- Memoire submitted before the

mission‟s departure from the country is an important source of information for the

report. Data obtained from the project regarding physical and financial progress and

impact are also key ingredients.

5. For additional information about IFAD‟s operational manuals, tools and guidelines

(i.e. M&E Guide, Loan and Grant Administration Operational Manual, Procurement

Guidelines, Tools and Guidelines on Gender, Guidelines on Project Auditing) visit the

website: www.ıfad.org (In English).

d. References for Additional Information

72

ANNEX 1

Duration of Assignment: Following successful completion of six-month probationary

period; renewable one-year contracts up to a total of seven years, if performance is

satisfactory.

Duty Station: Based in Ankara, travel to Elazığ, Bingöl, Muş when necessary,

Qualifications and Experience

1. University degree in English language (proven interpretation and translation),

administration or related fields,

2. Good command of both written and spoken English and at least three (03) years of

working experience in the positions of secretary or interpreter/ translator for foreign

funded projects

3. Good secretarial, organizational and communication skills

4. Good computer skills in common word processing (MS Word), spreadsheet (MS Excel),

5. Some knowledge in administrative procedures of the Government is preferable,

Job Description

Provide assistance to project implementation and daily tasks,

Make minutes of project meetings and make requested distribution,

Maintain communication with the project field offices and respond promptly to requests

for information and assistance,

Provide supports in preparing project events, including workshops, meetings, study

tours, trainings, etc.

Be responsible for project filing

Take care of project telephone, fax and e-mail system

Translation of project documents, materials, letter, papers

Interpretation during mission meetings, small-scale workshops, and relevant events

Arranging trips (air tickets, hotels etc.)

TERMS OF REFERENCE

Secretary/Translator

73

ANNEX 2

Duration of Assignment: Following successful completion of six-month probationary

period; renewable one-year contracts up to a total of seven years, if performance is

satisfactory.

Duty Station: Based in Elazığ, with regular travel to Ankara and within the Project area

(Elazığ, Bingöl, Muş) as required for co ordination, monitoring, reporting and oversight.

Qualifications and Experience

1. A higher degree in Agricultural Economics, Economics, Business Administration,

Forestry, Agriculture, Public Administration or related discipline relevant to the Murat

River Watershed Rehabilitation Project (MRWRP) with sound knowledge of contemporary

issues in the rural economy of Turkey and natural resource management. A minimum of

five years at a senior technical or management level in a relevant public institution,

private sector or an international organization, with proven skills in the management

and co-ordination of internationally financed development programs.

2. The candidate would be expected to have a creative, energetic and pragmatic approach

to problem solving and an appreciation of the respective roles of the public and private

sectors in rural economic development and natural resource management. Computer

literacy would be requisite and good command of spoken and written English would be

an advantage.

Job Description

3. The Deputy Project Manager will report to the Field Project Manager of the Field

Operations Unit (FOU) as the immediate supervisor and to the Project Manager of the

Central Operations Unit (COU) in Ankara and would be responsible to:

Provide support to COU;

Provide oversight and guidance to the Regional Directorate of OGM (OBM) in

Elazığ and Provincial Forestry Offices (OIMs) in Elazığ, Bingöl and Muş on all

matters pertaining to the smooth implementation of the Project, in

accordance with procedures and obligations specified in the IFAD Financing

Agreement and implementation arrangements detailed in the Project

Operations Manual;

Act as secretary for the Project Steering Committee (SC) and arrange for

dissemination of the decisions taken and follow-up;

TERMS OF REFERENCE

Deputy Project Manager (DPM)

74

Oversee the recruitment and activities of Project staff, consultants, and

consulting service providers (Micro catchment planning teams (MCPTs),

provincial Project teams (PPTs) those for special studies and surveys, and

similar) in accordance with the conditions of the IFAD Loan Agreement; the

related Terms of Reference; and the requirements of Annual Work Programs

and Budgets (AWPBs);

Provide guidance to the Provincial Focal Points (PFPs);

Oversee the preparation of the participatory micro catchment (MC) plans;

Ensure timely review and approval of the MC plans and sending then to OGM

for final endorsement and required budget allocation;

Ensure timely and effective implementation of the endorsed MC plans;

Oversee the work of the PPTs;

In close collaboration with the OBM and the PPTs in Elazığ, Bingöl and Muş,

and IFAD, prepare the Annual Work Plan and Budget (AWPB) in relation to the

Project design and available financing, and oversee the implementation of the

activities as per the approved AWPB;

Oversee the preparation, introduction and utilization of a Results-oriented

Management Information System for the Project, and ensure timely

collection, analysis and utilization of monitoring information;

In addition to the internal documentation (including technical reports,

financial documentation and accounts, and procurement requests) prepared

at the provincial level, co-ordinate the submission of other internal

documentation (payments, background documents, financial reports,

replenishment requests) as per the requirements of OGM Ankara, and/or IFAD

as appropriate and in accordance with the Loan Agreement and the

arrangements specified in the Operations Manual;

Ensure implementation of the participatory, iterative, multi-faceted

approaches of the Project that are crucial to maintaining its focus on poverty

reduction and natural resource rehabilitation; and

Receive and arrange for the reproduction and circulation of reports, studies

and other Project documentation from consultants as appropriate

75

ANNEX 3

Duration of Assignment: Following successful completion of six-month probationary

period; renewable one-year contracts up to a total of seven years, if performance is

satisfactory.

Duty Station: Three teams based in Elazığ, Bingöl and Muş with regular visits to Regional

Forestry Directorate (OBM) in Elazığ as required reporting and coordination and monitoring.

Composition of the Team

1. Each team will comprise a forest engineer, a crop production specialist (agronomist

with capacity in the fields of land and water management), a livestock production specialist

(zoo technician or veterinarian).

Qualifications and Experience

2. Every member will be expected to have as a minimum a Bachelors degree in his or

her relevant field(s). The Team Leader and will be expected to have proven 5-10 year field

experience. Experience in community forestry projects (participation/gender issues) will be

an advantage. Computer literacy will be required.

3. The candidate PPT members will be expected to have at least 5 years of proven

experience in their respective fields, and capable of adopting creative but pragmatic

approach to problem-solving and an appreciation of the participatory approaches in natural

resource management and livelihood improvement. Computer literacy will be required.

Job Description

4. Each team will provide requisite support to Provincial Directorate of Forestry (OIM)

according to the approved MC plans.

5. Each Team Leader will ensure that the Project is implemented in accordance with the

design and agreement with Turkish Government (MFWA/OGM) and IFAD; and provide

guidance in interacting with the OIM and the MC communities and while maintaining

responsibility for collection of relevant data and information to be used as input to the

Project M&E System.

TERMS OF REFERENCE

Provincial Project Teams (PPTs)

76

6. Each team will spearhead the awareness-raising campaign before the MC Planning

process is started and working closely with the service provider(s) develop the village visit

plans, arrange venues through the village administrations, and ensure the participation of

women and the elderly.

7. Each team will assist the MC Planning teams by providing technical and logistical

support in conducting the BCPCPS process and preparation of the MC plans to ensure

congruity with the norms and approaches outlined in the PIM.

8. Each team will develop action plans for each village based on the agreed MC plans

for efficient and effective implementation of Component 3 and to a certain extent

Component 1 (regarding farmer exchange visits) and Component 2 (regarding rehabilitation

of degraded grazing lands). If needed, OIMs will contract service providers as needed to

implement action plan.

9. Each team is responsible for implementing the Project activities included in the MC

plans through multi-sectoral, client-focused, coordinated, demand-driven and participatory

advisory services. Within this framework each team is expected to:

• Conduct a situation analysis in each of the villages included in an MC:

altitude, length of growing period, annual precipitation and

distribution, no. of days of snow cover, soil depth, texture, land

capability class;

production patterns: agronomic practices and related calendar in crop

production, livestock husbandry practices, yields, total production;

if relevant, marketing opportunities and channels;

farmers‟ resources: Total land/hh, no. of plots/hh, type of livestock

owned, no. of livestock/household, mechanization;

natural resources: available water, forest, rangelands and their

traditional uses by the community or outsiders (nomadic livestock

production); and

Labor: availability of household labor, seasonal migration patterns;

identify yield limiting factors (environmental factors, input availability and

provision, required knowledge and skills etc.) jointly with the farmers;

identify marketing problems jointly with the community, if relevant;

identify production practices causing natural resource degradation jointly with

the community;

improve irrigation efficiency;

erosion control and fertility management in agricultural fields:

identify potential solutions and opportunities jointly with the community;

77

to address problems, provide and facilitate advice, build partnerships with

provincial directorate of agriculture and research institutes of Ministry of

Food, Agriculture and Livestock and other relevant government agencies,

universities, local input dealers, private sector, local municipalities, farmer

organizations, markets (inputs and outputs) and credit institutions;

identify farmers‟ training needs;

design, provide and facilitate training programs (formal, informal and hands-

on);

design, provide and facilitate training programs (formal, informal and hands-

on) for women and youth systematically throughout Project implementation

and not just on a “demand driven basis”;

design, provide and facilitate on-farm demonstration programs and follow-up

on-farm advice;

design and implement a series of farmer exposure visits in collaboration with

public and private agencies and lead farmers; and follow-up dissemination of

information; and

provide technical and business information on new business opportunities and

diversification alternatives to raise incomes and broaden the rural economic

base, if relevant.

10. The Team will assist the Provincial Focal Points (PFP) in compiling data for

monitoring. Such data will be sent to the Deputy Project manager at the Regional

Directorate of Forestry (OBM) in Elazığ for evaluation and dissemination.

11. The Team will be responsible also for organizing the delivery and distribution of the

various inputs to the beneficiaries and monitor their use to ensure the planned outputs of

the component.

12. The nature and scope of the PPTs role may be expected to change in terms of detail

as the Project evolves and new/adjusted functions become necessary following 18-month

and Mid-term Reviews.

78

ANNEX 4

LETTER TO THE BORROWER

79

ANNEX 5

DISBURSEMENT SEMESTERS AND

GOVERNMENT CASH FLOW

80

ANNEX 6

Form 100- APPLICATION WITHDRAWAL

1. Sequential numbering of withdrawal application

YES

or NO

2. Withdrawal application amount tallies with sequentially numbered

summary sheets

3. Categories/subcategories charged according to Schedule 2 of Financing

Agreement

4. Percentage of financing applicable for each category or subcategory

5. Availability of funds in categories and overall financing amount

6. Currency of payment

7. Completeness and accuracy of banking instructions

8. Complete name and address of correspondent bank

9. WA is signed by Authorized Representative

STATEMENT OF EXPENDITURE

1. Eligibility of expenditures claimed

(a) Within SOE financial ceiling

(b) Expenditures under specific category (……….) eligibility

2. Form 102 signed by designated Project Accountant, Project Director,

Authorized Representative

3. Form 102 supported by signed Form 101 (for items reported in 2, but

over the financial ceiling

DESIGNATED ACCOUNT-REPLENISHMENT REQUESTS

1. Amount within ceiling figure agreed as a reasonable limit (….USD or ……);

or per AWPB period

2. Amount at least equal to 20% of the agreed limit; or per AWPB project

requirements

3. Amount agreed sufficient to cover a specific reporting period (revolving

fund option)

4. Exchange rate used

5. Completeness of designated account banking and account details

6. Enclosed designated account reconciliation and bank statements

SUPPORTING DOCUMENTATION (attached when/if required)

1. Copy of the contract

2. Copy of invoice, certified by Project Director

3. Copy of bank guarantee and performance guarantee

4. Copy of delivery receipt

5. Copy of evidence of payment

6. Completed Form 101

CHECKLIST FOR WITHDRAWAL

APPLICATION

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PROCUREMENT

1. Copy of “no objection(s)” provided by IFAD (attached)

2. 2. Copy of Contract Payment Monitoring Form(s) (attached)

COMPLIANCE WITH CONDITION(S) FOR DISBURSEMENT

1. In accordance with terms in Section E of the Financing Agreement

2. In accordance with terms in the Letter to the Borrower/Recipient1.

EXPENDITURE INCURRED/COMMITTED BEFORE PROJECT

COMPLETION DATE

1. Expenditure verified as eligible:

a. Contract signed before completion date

b. Goods delivered before project completion date

c. Services completed and/or rendered before project completion date

Remarks:

(b) Expenditures under specific category (……….) eligibility

2. Form 102 signed by designated Project Accountant, Project Director,

Authorized Representative

3. Form 102 supported by signed Form 101 (for items reported in 2, but

over the financial ceiling

DESIGNATED ACCOUNT-REPLENISHMENT REQUESTS

1. Amount within ceiling figure agreed as a reasonable limit (….USD or ……);

or per AWPB period

2. Amount at least equal to 20% of the agreed limit; or per AWPB project

requirements

3. Amount agreed sufficient to cover a specific reporting period (revolving

fund option)

ANNEX 7.

Prepared by: Project Accountant

Dated:

Certified by: Project Director

Dated:

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FORMAT FOR FINANCIAL STATEMENT

83

ANNEX 8.

Background [OPTIONAL]

The TOR should provide appropriate background information of the project, including:

(a)a brief description of the project including information on project sources of funding;

(b)a general description of implementation arrangements, including the organizational

structure of all implementing entities (if more than one);

(c) list the source and total amount of funds for the period subject to audit under this TOR

(Bank‟s loan/credit, trust funds, counterpart funds, etc.); and

(d) total disbursements / expenditures for the period subject to audit

Objective

The objective of the audit is to enable the auditor to express an opinion on the project

financial statements (PFS) of the [NAME OF PROJECT] (the Project) as of [MONTH

DATE, YEAR] and for the fiscal year then ending.

The Project‟s accounting system (books and records) provides the basis for the

preparation of the PFS, was established to record the financial transactions of the

Project, and is maintained by the Project‟s implementing agency, [NAME OF PROJECT

IMPLEMENTING AGENCY].

Scope

The audit will be conducted in accordance with International Standards on Auditing

(ISA) as published by the International Auditing and Assurance Standards Board of the

International Federation of Accountants (IFAC), with special reference to ISA 800

(Auditor‟s Report on Special Purpose Audit Engagements) and to relevant World Bank

guidelines. In conducting the project audit, special attention should be paid to the

following:

a. External funds have been used in accordance with the conditions of the

relevant financing agreements, with due attention to economy and

efficiency, and only for the purposes for which the financing was

TERMS OF REFERENCE

FOR THE AUDIT OF THE [NAME OF PROJECT] FOR

THE YEAR (PERIOD) ENDED [MONTH DATE, YEAR]

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provided. Relevant financing agreements are [CITE RELEVANT

FINANCING AGREEMENTS];

b. Counterpart funds have been provided and used in accordance with

the relevant financing agreements, and only for the purposes for which

they were provided;

c. Goods and services financed have been procured in accordance with

the relevant financing agreements;

d. Necessary supporting documents, records, and accounts have been

kept in respect of all Project ventures including expenditures reported

via Statement of Expenditures (SOEs) (or Financial Monitoring Reports

(FMRs) if used as the basis of disbursement), or Special Accounts

(SAs). Clear linkages should exist between the accounting records and

the financial reports presented to the Bank.

e. Where Special Accounts have been used, they have been maintained

in accordance with the provisions of the relevant financing

agreements.

f. The PFS have been prepared in accordance with generally accepted

accounting principles and practices and relevant World Bank

guidelines, and give a true and fair view of the financial position of the

Project as of [MONTH DATE, YEAR] and of the resources and

expenditures for the fiscal year then ending.

g. Review the compliance on each of the financial covenants in the

(STATE SPECIFIC SECTION OF LOAN/CREDIT AGREEMENT and list, as

necessary).

Project Financial Statements

The Project Financial Statements should include

a. a Summary of Funds received, showing the World Bank, Project funds

from other donors, and counterpart funds separately.

b. a Summary of Expenditures shown under the main project headings

and by main categories of expenditures, both for the current fiscal year

and accumulated to-date;

c. a Summary of SOEs used as the basis for the submission of withdrawal

applications;

d. A Statement of Special Account; and

e. a Balance Sheet showing Accumulated Funds of the Project, bank

balances, other assets of the Project, and liabilities, if any.

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OR

The Project Financial Statements have been prepared in accordance with International

Public Sector Accounting Standards issued by the Public Sector Committee of the

International Federation of Accountants. The Project Financial Statements should

include:

a. the cash receipts and payments of the project during the year [or

period] ended [MONTH DATE, YEAR], showing the World Bank, project

funds from other donors, and counterpart funds separately,

b. a Summary of SOEs used as the basis for the submission of withdrawal

applications in the notes, as appropriate;

c. A Statement of Special Account in the notes, as appropriate; and

d. a Balance Sheet showing Accumulated Funds of the Project, bank

balances other assets of the Project, and liabilities, if any.

Statements of Expenditures

(or Financial Monitoring Reports if used as the basis of disbursement)

As part of the audit of the PFS, the auditor is required to audit all SOEs and FMRs used

as the basis for the submission of withdrawal applications.

These SOEs (or FMRs) should be compared for project eligibility with the relevant

financing agreements, and with reference to the Project Appraisal Document for

guidance when considered necessary. Where ineligible expenditures are identified as

having been included in withdrawal applications and reimbursed against, these should

be separately noted in separate note disclosures and also in the management letter, by

the auditor. The Project Financial Statements (or included within the notes to the

project financial statements) should be a schedule listing individual SOEs (or FMRs if

used as the basis of disbursement) withdrawal applications by specific reference

number and amount.

The auditor should pay particular attention as to whether:

a. the SOEs (or FMRs) have been prepared in accordance with the

provisions of the relevant financing agreement.

b. expenditures have been made wholly and necessarily for the

realization of project objectives.

c. information and explanation necessary for the purpose of the audit

have been obtained;

d. supporting records and documents necessary for the purpose of the

audit have been retained, and

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e. the SOEs (or FMRs) can be relied upon to support the related

withdrawal applications.

Special Accounts

In conjunction with the audit of the Project Financial Statements, the auditor is also

required to audit the activities of the Special Accounts associated with the Project. The

Special Accounts usually comprise

a. deposits and replenishments received from the Bank;

b. payments substantiated by withdrawal applications;

c. interest that may be earned from the balances and which belong to the

borrower; and

d. the remaining balances at the end of each fiscal year.

The auditor should pay particular attention as to the compliance with the Bank's

procedures and the balances of the Special Accounts at the end of the fiscal year (or

period). The auditor should examine the eligibility of financial transactions during the

period under examination and fund balances at the end of such a period, the operation

and use of the SAs in accordance with the financing agreements, and the adequacy of

internal controls for this type of disbursement mechanism.

For this Project, the Special Accounts are referred to in [CITE RELEVANT CLAUSES]

of the relevant financing agreements.

Audit Reports

The auditors will issue an audit opinion on the [NAME OF PROJECT] Project Financial

Statements (refer to the “Project Financial Statements” paragraph above for a definition

of the statements included therein).

Attachment 3 of the Audit Guidelines: Annual Financial Reporting and Auditing for World

Bank-Financed Activities provide specimen auditor‟s opinion on the project financial

statements.

In addition to the audit opinion, the auditor will prepare a "management letter," in

which the auditor will:

a. give comments and observations on the accounting records, systems,

and controls that were examined during the course of the audit;

b. identify specific deficiencies and areas of weakness in systems and

controls and make recommendation for their improvement;

c. report on the lack of compliance of each financial covenant in the

relevant financing agreement;

87

d. communicate matters that have come to their attention during the

audit which might have a significant impact on the implementation of

the project;

e. bring to the borrower's attention any other matters that the auditor

considers pertinent; and

f. include management's comments in the final management letter .

The financial statements, including the audit opinion, and management letter should be

received by the Project‟s implementing agency, [NAME OF PROJECT IMPLEMENTING

AGENCY], no later than six months after the end of the audited fiscal year. The Project‟s

implementing agency should then promptly forward two copies of the audited project

financial statements (including audit opinion) and management letter to the Bank.

General

The responsibility for the preparation of financial statements including adequate

disclosure is that of the management of the [NAME OF PROJECT IMPLEMENTING

AGENCY]. This includes the maintenance of adequate accounting records and internal

controls, the selection and application of accounting policies, and the safeguarding of

the assets of the entity. As part of the audit process, the auditor will request from

management written confirmation concerning representations made to the auditor in

connection with the audit.

The [NAME OF PROJECT IMPLEMENTING AGENCY] will co-operate fully with the auditor

and will make available to the auditor whatever records, documentation and other

information is requested by the auditor in connection with the audit. The auditor should

be given access to all legal documents, correspondence, and any other information

associated with the project and deemed necessary by the auditor. Confirmation should

also be obtained of amounts disbursed and outstanding at the Bank and of amounts

disbursed under [SPECIFY OTHER DONORS, LOANS OR GRANTS, IF ANY].

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ANNEX 9.

FORMAT FOR AWPB

EXECUTIVE SUMMARY

CONTENTS

ABBREVIATIONS

INTRODUCTION

I. ANNUAL WORK PLAN AND BUDGET FOR …..

I.1 Component I: Definition (expectations from each activity and reasonable

explanations of the key questions: What? When? Why? By Whom? How? The Cost of

Activity?)

Objective

Activities Proposed for…..

Summary of planned Component Expenditure

I.2 Component I: Definition (expectations from each activity and reasonable

explanations of the key questions: What? When? Why? By Whom? How? The Cost of

Activity?)

Objective

Activities Proposed for…..

Summary of planned Component Expenditure

I.3 Component 3: Definition (expectations from each activity and reasonable

explanations of the key questions: What? When? Why? By Whom? How? The Cost of

Activity?)

II. ATTACHMENTS

ATTACHMENT 1. IMPLEMENTATION SCHEDULE OF PROJECT ACTIVITIES

ACCORDING TO …..AWPB

ATTACHMENT 2. ESTIMATED COST AND FINANCE PLAN

Table 1: Withdrawal Applications

Table 2: Summary of Expenditures by Components

Table 3: Summary of Expenditures by Loan Categories and Financiers

Table 4: Summary of Expenditures by Loan Categories and

ATTACHMENT 3. PROCUREMENT PLAN FOR ….

If any, related attachments will be added

FORMAT FOR AWBP

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ANNEX 10

Preparation of the Sub-Plans

1. In preparing the sub-plans, the main principle is to keep a ratio between rehabilitation

and income-generating interventions by taking the nature of the project into

consideration.

2. In any MC, implementation interventions may be carried out only in some parts of a

MC and in some villages of the MC based on clearly established priorities agreed with

the communities. The main principle to stop the erosion, starting from the upper MCs

and move downward.

3. Forestry sub-plan: is prepared for forest land and includes rehabilitation of eroded

areas and improvements in degraded forest land.

4. Rangeland sub-plan: includes investments for rangelands/livestock and interventions

regarding sustainable management.

5. Agricultural sub-plan: is prepared for agricultural land and includes crop (grain, forage

and horticultural crops, and greenhouse production) and livestock interventions. It

will also include training and demonstration program.

6. Water/irrigation sub-plan: is prepared for the investments for: i) the development of

small water sources for small-scale irrigation purposes and rehabilitation the existing

irrigation infrastructure; ii) livestock drinking water, and iii) village sanitation.

7. Energy use sub-plan: is prepared for the investments regarding energy saving and

renewable technologies.

8. The MC planning process comprises 14 steps (Box 1) listed below and each step is

elaborated in the following paragraphs.

STEP 1: Awareness raising

9. The component finances awareness-raising activities as explained in paragraphs 75-77

above.

STEP 2: First field trip to the MC

GUIDELINES FOR PREPARING

PARTICIPATORY INTEGRATED MC PLANS

90

10. After the selection of the Project MCs by the OBM and OIMs, MCPT will visit those that

they will prepare the plans for to get an overall idea about the natural resources,

location, topography, distances, elevation etc. This is just a technical visit to get

familiar with the setting and does not require contact with the communities.

Observation sharing within the team is important to start the synergy.

STEP 3: Informing the Local Communities about NRDP

11. The PPT visits the local agencies in the district to brief them about the Project and

introduce the MCPT(s) and explain what type of assistance will be needed from the

agencies during planning period.

12. The PPT also visits MC villages to introduce the MCPT(s) to the MC communities. For this

purpose an “introductory meeting” is organized for each MC village. It is very important

to inform all the stakeholders about the meeting in advance to ensure good attendance

and create interest in the community for the succeeding steps. The MCPT records the

names of the participants. This information will go to the table under Chapter III:

Participatory Process of the MC Plan.

STEP 4: Compilation of data and information

13. To fully understand the physical and socio-economic conditions of the MC, the MCPT(s)

should have access to updated data. This step includes collection of information (data

and maps), data verification and updating, and/or supplementing available information

by some further simple surveys and interviews and/or focus group meetings. It is

important to start this step as early as possible.

Box 1. MC Plan Preparation Steps

Step Action 1 Awareness raising

2 First field trip to the MC

3 Informing local communities about the project

4 Compilation of data and information

5 Problem identification

6 Analysis of the problems

7 Solution of identification

8 Preparation of the first Draft MC Plan

9 Preparation of the draft Map of Activities

10 Display of the first Draft MC Plan in MC villages

11 Preparation and approval of the final draft at the local level

12 Signing of the Final MC Plan

13 Display of the signed plan at the local level

14 Budget allocation for the MC Plan

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14. It should be noted that if some data are not available, in order to prepare realistic plans,

best estimates should be developed based on local knowledge and professional

judgment, instead of leaving information gaps in the Plan.

15. The data collected at this step are recorded in the tables in Chapter II: Current Status

in MC Villages of the MC Plan.

STEP 5: Problem identification

16. It should be underlined that identification of problems and solutions is not putting

together a wish/demand list. Without identifying the underlying issues, one should not

jump into the tools that can be used for the solution of that particular problem (Box 2).

17. The MC planning, implementation and monitoring will be participatory as explained in

paragraphs 81-90. To achieve this participatory tool called ”Beneficiary Centered -

Problem Census - Problem Solving (BCPCPS)” modality will be used. The appropriate

tools of IFAD methodology will fill the gaps in the BCPCPS process when relevant. During

planning process, focus group discussions and community consultation will also be

undertaken, when needed. In order to conduct such an exercise, the MCPT/PPT contacts

the village headman at least 2 weeks in advance and sets an appropriate date. Then, the

purpose of meeting, date, time and the venue is publicly displayed (at several points in

a village) and announced. Efforts should be made to gather the majority of the village

population. MCPT have to ensure that women and children are not marginalized in the

process. If necessary, separate meetings can be held with males and females.

BOX 2. Cause and Effect and Solution Relationship

Symptom Poor vegetation (in terms of quantity of the biomass and botanical composition) in the rangeland and erosion

Problem

1st layer over grazing

2nd layer grazing starting to early in the spring and ending too late in the fall

Underlying issues

insufficient feed for winter period

limited on-farm forage crop production lack of knowledge on crop rotations where forages can be rotated

with wheat and barley under dryland conditions

Solution increase forage crop production on agricultural land (one of the solutions)

Tool

making the farmers/livestock owners aware of various options to increase on-farm forage production options through on-farm demonstrations, training and farmers exposure visits, providing high yielding forage crop seeds, small-scale irrigation

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18. Contact Groups. After the problem identification session, several contact groups could

be identified in the meeting above or in the next meeting that is conducted for problem

solution.

19. During the MC planning process, the MCPT usually work under time pressure when they

visit the villages. To be able to see the right people at the planned time, to visit a

particular site in the forest, or water sources or to contact some livestock owners, the

team should use assistance from the village to use the available time efficiently and to

contact the right people and visit the right site. Villagers can identify 3-4

individuals/group as counterparts to assist the sectoral experts on a sectoral basis

(forestry, crop production, irrigation and livestock/pasture management). Individuals

(man or woman) with in-depth knowledge about the village, resources and the sub-

sector and good interpersonal skills, could be designated to make themselves available

and work closely with the experts. Team should be careful in dealing with these groups

not to create concerns on the community side regarding getting benefits from the

Project. It should be made clear to the communities that that these groups have no

decision making role or any other privilege. Their assistance is limited to the logistical

support and some consultation. In case of poor performance and/or misconduct, the

MCPC should immediately replace the contact groups or its individual members.

20. Record the name of the contact groups and their cell phone numbers in the related table

under Chapter III: Participation Process of the MC Plan.

STEP 6: Analysis of the problems

21. The problems are analyzed first by the individual specialists of the MCPT and then by the

MCPT as a whole. It is important to develop a thorough understanding of the links

between the users and the ways they use these resources and the links between the

types of uses. At this stage, it would be helpful to make an assessment of the data

(whatever is available at this stage) and find out whether the data and the problems

identified are matching. It would also be useful to have additional field trips to the MC to

ensure the outcome of the analysis reflects the situation on the ground. If all these are

not enough to come to a conclusion, additional data should be collected through simple

surveys and/or focus group meetings.

22. Based on work at this step, RWPTs fill the remaining relevant tables in Chapter II:

Current Status in MC Villages of the MC Plan.

STEP 7: Solution Identification

23. It is recommended that the solution identification process is undertaken as a part of the

problem identification meeting. Once the villagers are focused on the topic, it will be

easier to move to the solution phase. If the identification session is conducted according

to the rules, it will take maximum 2 hours. Here, it is important to maintain the interest

and the attention of the participants for the solution identification session. Therefore, the

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MCPC should observe the participants carefully and decide whether to continue or to

organize another meeting later.

24. In the solution identification session, the participants are allowed to suggest solutions to

the prioritized problems. All solutions are considered and recorded. Then a Menu of

Activities is shared with the communities.

25. Menu of activities: A menu comprising activities for improving natural resources and

livelihood will be available for the communities to choose from. The activities selected

depending on the technical feasibilities and agreements reached with the MC

communities will be included in the MC plans and the associated scale, scope, labor

needs, co-financing arrangements, timing/phasing and costs will be detailed. The menu

will be flexible and during implementation it could be revised based on the agro-

ecological and socio-economic conditions of the MC villages.

26. The Menu has to be presented together with the cost sharing arrangements and each

activity need to be explained to ensure that the community makes educated decisions. If

some of the suggested solutions cannot be accommodated by the Project, these are

openly explained to the communities. Before closing the meeting, MCPT explains to the

community that the solutions will be studied and draft plans will be prepared accordingly

and to be discussed and shared with them.

27. Later, MCPT discusses the solutions in a team meeting, and screens those based on the

following criteria: i) whether solutions are corresponding with the problems, ii) whether

the selected solutions have multiple effects (positive effect on both natural resources

and rural livelihood); iii) number of households to be benefiting; iv) cost of activity, v)

possibility of completing the implementation within maximum 3 years.

Step 8: Preparation of the first Draft MC Plan

28. The MCPT should be ready for a shower of demands from the community side

particularly for income generation. It should be made clear to the villagers that the

resources- in-terms of money and time- available under the project are limited and the

project will support those activities that bring the most benefits at the MC level that are

cost- effective and that can be replicated in other parts of the country. Selection of these

depends on professional judgment, thorough understanding of problems and local

conditions.

29. 126. Planning process incorporates expected behavioral changes on the community

side. It will be explained to the villagers that, from now on, “business will not be as

usual”, and they have to change the way they use the natural resources. It should be

underlined that there is a link between poverty and natural resource degradation, when

the local communities get poorer they put more pressure on natural resources and when

the natural resources get more degraded, the communities get poorer.

30. There are 3 areas (forest, pasture and agricultural land) where people‟s participation in

Component 2 will be sought. The community would be told that the scope of

participation would also be different in each case: afforestation and forest management,

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for example require the agreement of the livestock owners for implementation of the

forest rehabilitation and conservation measures; in pastures, closure, rotational grazing

and other management practices will require early participation for implementation and

conservation measures on agricultural land, will require participation of individual

farmers.

31. The communities should be clearly informed about the cost sharing between the Project

and the beneficiaries. For Component 3, a list of beneficiaries is attached to the MC plan

with their signatures indicating that they understand and accept the cost sharing

arrangements. The MC Plan includes a format for such arrangements Under Chapter

VIII: Agreements and Arrangements.

32. For activities on areas where the investment will benefit a number of families,

arrangements for cost sharing during investment and profit sharing at harvest time need

to be agreed between the beneficiaries in writing. This document must be endorsed by

the village administration and be a part of the Plan. The MC Plan includes a format for

such arrangements Under Chapter VIII: Agreements and Arrangements.

33. The MCPT must explain to the communities that all soil cultivation and planting/seeding

should be on contour (perpendicular to the slope). This is an absolute requirement at

least for the direct beneficiaries (receiving inputs from the Project).

34. For some of the activities planned, detailed plans are needed for implementation e.g.

construction of small irrigation systems, forest and rangeland structures.

35. The Project envisages achieving behavioral change on the MC communities‟ way of using

natural resources. In order to achieve this particularly on agricultural and pastureland

and water resources, effective extension support is needed. This would be achieved by

the PPTs who address problems, provide and facilitate advice, and build partnerships

with provincial directorate of agriculture and research institutes of Ministry of Food,

Agriculture and Livestock, and other relevant government agencies, universities, local

input dealers, private sector, local municipalities, farmer organizations, markets (inputs

and outputs) and credit institutions.

Step 9: Preparation of the draft Map of Activities

36. Once the draft MC plan is ready, activities have to be marked on the MC Map with

different colors/patterns corresponding to activities on forest land, pasture land,

agricultural land (if possible by type of activity i.e. horticulture, forage crops, agro-

forestry and field crops) and small scale irrigation. The map has to include a clear

legend. While giving information or briefing to any individual or group or agency, the

map has to be ready and used.

Step 10: Display of the Draft MC Plan in MC villages

37. The draft MC plan and the map are displayed publicly (in village school, commune office,

mosque, health center, coffee shop in the MC villages) for about a week. Community

members are expected to review the plan and the map, request clarification, raise

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objections or make comments. All these are collected/recorded by the village headmen

with the assistance of contact groups

Step 11: Preparation and approval of the final draft at the local level

38. The MCPT review the comments/objections and make necessary amendments in the first

draft. If needed, they make additional observations in the field, consult with additional

people or collect and analyze new data and based on all these prepares the final draft.

MCPC may see a need for a third community meeting before finalizing the draft. It

should be noted that until the signing and the approval of the plan by the envisaged

bodies, the plan is considered as “draft”.

Step 12: Signing of the final draft

39. The village headmen of the participating villages, the MCPT and the OBM will sign the

final draft. The signed MC Plan is necessary to secure Project financing for

implementation. Therefore, a signed copy will be sent to Central Operations Unit (COU)

in Ankara. If any changes are requested by OGM, the plan will be returned for further

consultation with the MC communities. Once negotiated and signed, the MCP will

become binding on the parties and implementation will proceed.

Step 13: Display of the final MC Plan in MC villages

40. The final MC plan and the map are displayed publicly (in village school, mosque, health

center, coffee shop in the MC villages) for about 2 weeks to inform the community. At

the end of this period, the MC plan is kept by village administration and made available

for the community members in case of an inquiry.

Step 13: Budget allocation for the MC Plan

41. The COU undertakes a rapid review of the document to ensure that the MC Plan is

prepared: i) according to the Guidelines, ii) in line with the principles of the Project, iii)

based on the agreed ratios between investments and v) based on the established unit

costs, and vi) by taking the agreed implementation period into consideration. If the Plan

is found satisfactory, the budget allocation is approved.

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ANNEX 11

1. ”Beneficiary Centered - Problem Census - Problem Solving (BCPCPS) is a non-

threatening, focused discussion that uses small group dynamics to elicit: i)

perception of the causes of natural resource degradation; ii) a complete and ranked

census of the real and perceived problems of individual households, villages and

locality as a whole, and iii) the communities‟ proposed solutions to these problems.

No problem is rejected and all solutions are considered. The final ranking of problems

and preferred solutions are theirs. The project‟s contribution is limited to facilitating

the BCPCPS approach. Project staff only explains the process, and neither takes part

in the discussion nor makes promises. In the “solutions” sessions, the participants‟

proposed solutions will be collected, evaluated and decided according to technical

and financial viability criteria.

2. The output of the group far exceeds the sum of information experiences and

options contributed by individuals. Each group member gains from the shared

experience, both in receiving new knowledge and in increased social awareness. For

example, a farmer or village may initially consider a particular problem of paramount

importance, but this view may change in favor of problems raised by other village

members. This compromise is made by many villagers and is the first step toward

group consensus. Consistent with small group theory, once the group agrees to take

specific action arising from the problem census, the majority of the members are

committed and social mechanisms that normally operate in the village situation

ensure that all villagers (males and females) attending the discussion group are

committed to the action.

3. The planning process incorporates expected behavioral changes on the

community side. It will be explained to the village members that, from now on,

“business will not be as usual”, and they have to change the way they use the

natural resources. It would also be underlined that the project is not a “rural

development project” but it is a project where the local people‟s participation is

found necessary in the conservation of specific natural resources that are essential to

their well being.

4. There are 3 areas (forest, rangelands and agricultural land) where people‟s

participation in the definition and endorsement of project components will be sought.

The community would be told that the scope of participation would also be different

in each case:

Beneficiary Centered - Problem Census - Problem Solving (BCPCPS)

97

i. afforestation and forest management, for example require the agreement of

the livestock owners for implementation of the forest rehabilitation and conservation

measures;

ii. in rangelands, closure, rotational grazing and other management practices

will require early participation for implementation as well as the agreement of the

livestock owners for implementation of the pasture rehabilitation and conservation

measures;

iii. on agricultural land, selected farmers (because of their potentially highly

erodible soils and erosion prone cultural practices

5. Also the project will try to ensure that women and children are not

marginalized in the BCPCPS process. Gender issues will be mainstreamed into the

project implementation.

The Process

6. When the exercise is started in a village, a facilitator should follow the steps

below. First, he should explain to the group how they would do the exercise. Note

that the facilitator does not make any selection, suggestion or interpretation. He only

assures that no single group and/or individuals dominate the discussions and

decision-making.

Announcement to the participants

• We will start the exercise in 15 minutes. We need each and every one of you

in this exercise. However, it depends on your own will to participate. If you do not

participate, later you should not criticize and/or complain about the project activities.

If you want to improve the things in your village, you should allocate time, provide

input, make effort and collaborate with others.

• We will adhere to the following ground rules: i) listen to the others, do not

talk at the same time; ii) respect others‟ views; iii) act within the time limits given

• We will do the same exercise in each of the MC villages.

• Today we will learn from you why and how the natural resources around your

village occurred, how you see the problems in your own village or community. We

are here only to set up a democratic environment to hear your voice. Everybody‟s

voice is equal and equally important for the project.

• First as a group you will tell us: i) whether there is natural resource

degradation around you, ii) if yes, why/how the degradation occurred, what are the

reasons? You will tell and I will write down and make a list.

• Then you will work individually and write down the problems, which you

perceive in your village on a piece of paper that we gave you. Then you will form

small groups of five to present your list to the group members. You are the ones to

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decide in which group you want to be. You will be given 20 -30 minutes to write

down the problems. Based on the problems you have written, each group will jointly

come up with a list in the order of importance. This means that the problem on top

of the list is the most important problem for your group. Each small group will select

a spokesperson.

• All the groups in this room will do the same thing. When every group informs

us that they have finished their work, the groups will come together to do the second

part of the exercise.

• Second part will take about 1.5 hours. Every spokesperson will introduce the

list of the problems identified by his/her group to all participants. These will be

recorded on the flip chart by us. After completion of the individual group

presentations, the whole group has to come up with one list of problems. This joint

list will be prioritized by all of you. You will decide how to do that; either by voting or

interacting to convince each other. If no consensus is reached than the group may

choose to vote and discuss the prioritization. We will also record the prioritized list on

the flip chart. When the final list is formed, note that the problem that is ranked first

by most groups is regarded as the most important problem in the community and so

on. The priority problems will be recorded in the table under Chapter III:

Participatory Process of the MC Plan.

The process:

• Record the names of the participants. This information will go to the table

under Chapter III: Participatory Process of the MC Plan.

• Distribute pieces of paper and pen to the villagers and let them start the

process as individuals. When they finish their work, help them to organize the chairs

for small groups of about 5 individuals. Do not interfere with the grouping. Let them

decide themselves. Let each group also choose a spokes-person.

• While groups are making presentations, record those on the wall with letters

large enough to be seen from every distance. Then, read each of the lists loudly to

the group.

• When the group comes together to come up with the joint list also help them

to write down these on the wall.

• When the list is put on a wall, go through the items together with them to

point out the ones that are not within the mandate of the project such as village

roads, telephone, health center etc.

• Make a new list (Final List of Priority Problems) that includes only the

problems that can be addressed by the project by making references to the

objectives of the project. The list on the wall will stay with the village. Do not forget

to make copy the final list for your records.

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• Thank to the group for their good work, participation and patience. Before the

closure of the meeting, inform them about the next steps (problem solution and

planning).

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ANNEX 12

Duration of Assignment: Approximately 4 months field work and 2 months report

writing. Maximum 6 months.

Location: The boundaries of the micro-catchment (MC) are provided in the attached

1/25,000 map.

Composition of the Micro Catchment Planning Team (MCPT)

1. While the composition of the Micro Catchment (MC) Planning Team (MCPT) is

flexible in terms of the size and would be decided by the Consultancy Contractor

(CC) as a minimum the following specialists would be made available as MCPT

members: forester, crop production specialist (agronomist), livestock production

specialist, rural sociologist, rural infrastructure engineer, and economist. The forestry

specialist would lead the team.

Qualifications and Experience

2. Every member would be expected to have as a minimum a BA or BS in his or

her relevant field(s). The forestry specialist would be the Team Leader and would be

expected to have 5-10 year field experience in forest and/or natural resource

management planning and investment implementation including beneficiary

participation and gender issues. The candidate MCPT‟s members would be expected

to have proven (CV-based) experience, and capable of adopting creative but

pragmatic approach to problem-solving and an appreciation of the respective roles of

the private and public sectors in natural resource management and rural income

generation.

Job Description

3. The team would be responsible to prepare integrated (MC) Plan(s) in a

participatory manner as detailed in subsequent sections of this TOR for the pre-

identified areas where the Murat River Watershed Rehabilitation project is being

implemented. The MCs are the units of implementation, that being the smallest

hydrological unit for the project. Information regarding the components and the

overall availability of funds for these would be provided to the Contactor.

TERMS OF REFERENCE

MC PLANNING TEAM (MCPT)

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4. The MC(s) has been identified by Regional Directorate of General Directorate

of Forestry (OBM) in Elazığ, and preliminary demographic natural resource-related

data are available. The MCPT would work closely with the Provincial Project Teams

(PPTs) and would be provided with background information related to the project,

area, and the MC(s) where they would be responsible for planning.

5. The modality of Beneficiary Centered– Problem Census – Problem

Solving (BCPCPS (SOR-SAP-COZ; in Turkish) would be used and a handbook on

BCPCPS would be provided to the contactor together with the IFAD methodology

(participatory mapping).

6. MCPT will be supported by Provincial Project Teams (PPTs) in terms of

technical and logistical support in the BCPCPS process and in the preparation of the

MC plans.

7. Respective OIMs in Elazığ, Bingöl and Muş will monitor and provide support to

the MCPT in preparing the MC plans. The plans will be reviewed and approved by

OBM and sent to OGM for final endorsement and serve as the basis for all

investments in an MC(s) and detailed in the AWPB(s).

Expected Output

8. A fully-costed time-bound MC Plan for (TBD……) in the Province(s) of

(TBD……) in accordance with the Guidelines. The plans for the activities would cover

a maximum of 36 months implementation period for the investments.

Preparation of MC Plans

9. Annex 11 of the PIM gives the guidelines for the MC planning activities. It

would be provided to the Contracted MCPT.

10. The scale, scope, labor needs, cost sharing arrangements, timing, phasing,

and associated activities would be detailed in the plans.

11. The overarching principle of the planning is to maintain a ratio of

approximately 70% - 30% between natural resource rehabilitation and livelihood

improvements. The allocation of funds would be broadly distributed where

rehabilitation activities would comprise a minimum of 60% and maximum of

maximum 80% of the total funds to be allocated for an MC. The remaining amount

would be used for livelihood improvement activities (crop and livestock interventions

and irrigation, social infrastructure and energy-related investments, etc.). In any MC,

project investments may be carried out only in some parts and in some villages on

clearly established priorities agreed with the communities.

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12. Each plan must include the below 10 mandatory chapters with each related

maps and an MC activity map summary tables:

• Chapter I. Overview of the MC

• Chapter II. Current status in the MC (regarding natural resources and

socio-economic structure) and justification for selection of the MCs

• Chapter III. Participatory process and priority problems as identified

by the community and their perception of reasons of degradation

Sub-plans:

• Chapter IV. Forest land

• Chapter V. Grazing land

• Chapter VI. Agricultural land

• Chapter VII. Water

• Chapter VIII. Energy

• Chapter IX. Costs

• Chapter X. Agreements and Arrangements

Sub-Plans: (Chapters IV-VIII)

13. Each MC plan would include sub-plans for forestry land, pasture land,

agricultural land, water and energy, hence the ”integrated” nomenclature.

a. Forestry sub-plan: covers the gazetted forestland and includes

rehabilitation of eroded areas and improvements in degraded forest, including

oak coppice.

b. Grazing land sub-plan: covers investments for communal grazing lands

interventions including infrastructure for livestock and regarding sustainable

management.

c. Agricultural sub-plan: covers private agricultural land and includes

crop (grain, forage and horticultural crops, and greenhouse production, etc.)

and livestock interventions.

d. Water/irrigation sub-plan: covers: i) water storage ponds ii)

rehabilitation of earth canals and iii) on-farm drip irrigation

e. Energy use sub-plan: covers energy saving and renewable

technologies for home use.

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ANNEX 13.

1. The PPTs would identify and agree on the MC villages where demonstrations would be

carried out. After the identification of the villages, the PPTs together with the mother

should identify the demonstrator farmers. The PPTs would be responsible for all extension

programming and activities including but not limited to the initiation of demonstrations,

provision of technical advice, planning and conducting field days to disseminate the

results. They could be supported with advice and staff from the Provincial Directorate of

Food, Agriculture and Livestock, as required.

2. The major equipment (tractor, plough, cultivator etc.) required to set up/implement the

demonstration program would be provided from the MC villages, these can also be rented

from the villagers. The inputs will be provided by the Project and provisions are already

made for these.

3. It should be noted that in addition to the demonstration that would be established by the

technical staff, there would be opportunities also in the farmers‟ fields, orchards and

barns where the farmers‟ current practices could be used as demonstrations e.g. wheat

field suffering from insufficient nitrogen, fields tilled at wrong time and/or with wrong

implements, vegetable crops damaged by soil-borne diseases, degraded village rangeland

due to overgrazing by the livestock owners, poorly aerated barns where ammonia

concentration is significantly high or well preserved and stored hay, good forage crop

stand with good yield potential, clean, well lighted and aerated barn, drip irrigation used

in vegetable production in plastic tunnels, orchards with modern fruit varieties. These

demonstrations are readily available and needs no expenditures and effort. The important

thing is to agree with the owner farmers to share his experience with the others.

4. The on-farm demonstrations need to be implemented and closely monitored and recorded

from the beginning to the end in order to ensure that the intended technical practices are

demonstrated appropriately. After each demonstration is over (both established and/or

readily available ones), the PTTs should monitor the behavioral change in the villages. In

order to measure the change, a rapid assessment will be conducted in the villages where

demonstrations will be conducted to determine the current practices, and after the

demonstration (after several days/weeks or months) review the practices in the same

village and measure the change. For example it is expected that the PPT should be able to

say that in Village A, before the demonstration program only 11% of the farmers were

producing Hungarian vetch in rotation with wheat but after the demonstrations, the ratio

increased to 15%.

GUIDELINES FOR SUCCESSFUL DEMONSTRATIONS

104

5. New demonstrations should be planned and conducted based on the observations in the

villages. Those farmers who changed their practices and benefited from the advice should

be interviewed and their experience needs to be recorded to be used in the new

programs.

CONDUCTING SUCCESSFUL DEMONSTRATIONS

6. It is important to conduct successful on-farm demonstrations where every operation is

implemented according to the technical norms. A demonstration that reflects technical

knowledge and practice gives vision to the farmers and motivates them to perform better

in order to achieve similar good results in their environment with their resources. There

is nothing worse than an unsuccessful demonstration for a project. The negative impact

left on the farmer requires much repeated effort by the project staff to convince them to

take up the recommended practices later. It should always be kept in mind that the

quality of a demonstration is more important then the quantity, i.e. number of

demonstrations. Therefore, unless the PPTs ensure high quality in all demonstrations with

the available resources (inputs, staff, machinery, etc.), the number of demonstration

plots should be reduced. For crop demonstrations, the plots should be fenced, all

agricultural operations should be carried out at the right time, with the right machinery

and equipment and inputs should be used at the technically recommended rates.

7. It should be noted that demonstrations work best when the cooperating farmer is

representative of the farmers that are targeted. Despite all the positive developments, the

planned and expected results may still not be achieved without a good cooperator farmer.

Selection of the demonstration site is as important as selecting the cooperating farmer.

The fields, orchards, greenhouses, barns/sheds of the candidate cooperating farmers need

to be visited and assessed as regards whether these are appropriate for holding a

demonstration. Following aspects should be considered in selecting the appropriate

cooperating farmer:

• Interest: A farmer showing interest in a demonstration is a good starting

point and being a volunteer may indicate more serious interest. Nevertheless, when

the project staff explain what are expected from him/her during the process, despite

the interest, he/she may not be willing to commit him/herself due to a number of

reasons including the interest shown and/or articulated being limited only to one

aspect of the demonstration such as free seed, free soil preparation, or even the

larger share of the harvested crop; such limited interest may not be sufficient to

carry the full responsibilities of being the cooperating farmer.

• Collaborative attitude: While a major part of the physical work to establish

the demonstration will be undertaken by the project staff, a number of things still

remain that need to be handled by the farmer who owns the field, orchard or barn

that is used in the demonstration. The staff needs to be sure if potential cooperating

farmers have previously demonstrated collaborative attitudes. Although they may be

well known in the village, the staff must still assess them individually as to whether

he/she is willing to take on the responsibilities that are expected of a cooperator. At

least one house visit should be made to explain: i) purpose of the demonstration

program; ii) the purpose of the specific demonstration to be conducted, and iii)

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distribution of labor/responsibilities i.e. those that will be undertaken by the project

staff and those expected from the farmer. These would include but not be limited to:

i) allowing the use of field/orchard/barn/greenhouse for a specified period specified;

ii) allocating time and labor when needed; iii) informing the project staff promptly

about the agreed key stages of progress and/or unexpected developments; iv)

protecting the demonstration site particularly from livestock or other intruders; v)

some basic but systematic record keeping as required by the staff, and vi) allowing

others to visit the demonstration site and provide basic information if/when asked.

• Credibility: It is important to select cooperators who are dependable and

honest that should be discreetly ascertained through contacts in the community by

the project staff. Otherwise, there could be a good demonstration that nobody

believes. Selecting an opinion leader is advantageous. However, if there are several

demonstrations in a village, chances are reduced to find an opinion leader for every

demonstration.

• Basic communication skills: The farmers selected for demonstrations have an

important role in farmer-to-farmer extension. Throughout the demonstration period

and in the absence of the project staff, when other farmers stop at the

demonstration site and ask questions, the cooperating farmers should be able to

express/explain what best practices were used in establishing the demonstration.

Therefore, as the cooperator, he/she must be prepared for and be willing to engage

in such continuous communication. Technical staff responsible for the demonstration

would be expected to provide such basic training to the farmer. His/her role will not

be limited to the field days where the results explained to the audience by the

project staff.

• Age: It is important in three aspects: i) attitude towards change, ii) the

energy and effort needed to expend the extra effort required by the demonstrations

iii) communication barriers. Elderly farmers: In traditional rural communities, the

elderly are generally respected as experienced farmers. They also tend to perceive

themselves as “masters” and dislike their ideas and practices being challenged. They

may feel that tradition is threatened: “We have always done it this way” is a

common attitude, implying there is only one way. Trying to change such

predispositions will be difficult and time-consuming bringing with it the risk of giving

them the responsibility of collaborating on a demonstration. Furthermore and due to

age, their energy may not be enough to handle the work including continuous

interaction with technical staff or other inquisitive farmers. Additionally, young

farmers may be reluctant to entering into discussions with the “masters” thus

preventing the new ideas/practices from reaching the younger groups through

demonstrations. Consequently it is advisable to avoid selecting those above the age

of 50. Young farmers: Working with them is an advantage because they have the

energy to handle the additional work and although there may be differences in

attitude and openness to change, in general they are more open and, more

importantly, they recognize the need for change faster. However, in the eyes of the

older farmers, credibility of the very young farmers is low in terms of being

recognized as a “real” farmer. Asking questions to them may deflate the ego of the

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older farmers thus reducing the outreach potential of the demonstration. So in this

case, the project staff should refrain from working with those very young farmers

below the age of 25. Medium-age individuals between 25 and 45 and is the least

risky group to work with due to the above-mentioned demerits of the older and

younger.

• Gender: Depending on the traditional division of labor in the production of

different crops or in agricultural activities in the Project area, the team will need to

work with both women and men farmers. In crop production for example, men

generally prune the fruit trees or cultivate the soil for wheat or alfalfa; therefore the

collaborators have to be male. For any demonstration designed for vegetable

production, women have to be selected as the cooperating farmers. There are also

activities where women and men work together such as greenhouse (plastic tunnel)

production, so the team may select either as counterpart. For livestock-related

demonstrations, those on barn/milk hygiene, feeding/watering could be conducted

with women and on grazing practices, with men.

• Agreements: A “demonstration agreement” should be prepared by the project

staff that clearly includes the objective and the duration of the demonstration, an

action plan, and clear indication of the responsibilities for the variety of tasks, and

how the harvest will be used. This is necessary in order to: i) achieve timely and

effective application on the ground; ii) avoid loss of resources allocated for the

demonstration; iii) prevent an unsuccessful demonstration resulting in

embarrassment, and more importantly, loss of confidence in the whole program, and

iv) prevent friction or dispute with the collaborating farmer. The team will prepare a

standard format in advance to be used for all demonstrations. All involved parties i.e.

the project staff, cooperator farmer and muhtar will sign it and each will be given a

copy. While perhaps not a legally binding document, it will indicate the seriousness

of intent to the community/village where the demonstration is carried out.

• Inputs: The inputs (seeds/seedlings, pesticides, veterinary drugs and

chemicals, fertilizers, artificial insemination, material, plastic cover for plastic

tunnels, drip irrigation pipes and hose, fencing material, etc.) and the agricultural

machinery and equipment for the demonstration must be provided by the project

staff. Provisions for these have been made in the Project. It should be noted that the

inputs are provided for the purpose of demonstration not as a donation to the poor

farmers; the economic status of a farmer shall not be a criteria for their selection as

a cooperating farmer. Therefore, the amounts of the inputs need to be calculated

based only on the size/scale of the demonstration. For crop demonstration 1-2 da

will be sufficient. The cooperating farmer would be required to provide labor as

needed as well as be expected to provide a tractor and small

tools/equipment/implements that would be commonly available on a farm. In some

cases (e.g. orchard establishment, installing drip irrigation), there may be a need for

a guard for a certain period and if the host farmer cannot provide this, an outsider

could be hired as guard from the demonstration budget until the demonstration

becomes self-sustaining.

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8. For crop demonstrations, the plot must represent a typical farm plot in the area in terms

of soil type and depth, land capability class and water availability etc. This will convince

the farmers targeted that if best practices are followed, similar results could be achieved

on other similar plots. The conditions must not be superior to that of other farms in the

area and for the success of the demonstration problematic areas/land has to be

eliminated. Farmers are generally good at judging if the results on the demonstration plot

will work on their farms. For livestock demonstrations similar principles should be applied.

9. It is essential that the farm and/or demonstration plots be located in reasonably close

proximity to a road or a public facility where large numbers of farmers regularly pass by.

Legible signs must be posted to ensure that neighboring farmers understand what is

being demonstrated so they can observe the change throughout the growing season. The

plots should also be located so that it is easy to transport farmers, local administrators,

input dealers and other influential groups during field days that must be held at all critical

stages of any demonstration, i.e. soil preparation, sowing, fertilizer/chemical application,

barn disinfection, animal hygiene practice, etc.

10. New/additional demonstrations in any village should be planned and conducted based on

earlier results. Those farmers who changed their practices and benefited from the advice

should be interviewed and their experience recorded that may be used as case study

material in the extension programs.

11. Depending on the objective of the demonstration, it is recommended to plan and design

them to: i) show before-and-after, control-versus-test, side-by-side comparisons; ii)

expose farmers to only one or two treatment/practice, or to whole package of practices,

and iii) conduct one-year (e.g. wheat cultivars, seedbed preparation) or multi-year (e.g.

crop rotations, tree crops, livestock feeding).

12. It is important to keep a “Demonstration Record Book (DRB)” for each demonstration

that also includes a sequenced photographic record of the activities (Box 1, 2 and 3). The

Book has to include a hand drawn site sketch and also a field plan indicating the

treatments. All this information should not be kept only by one staff member. It has to be

available the all project stakeholders. Anyone who wants to visit the demonstration can

use this information without the necessary presence of the PPTs. DRB is also useful in: i)

giving information to the public; and ii) evaluating the results. In case of staff turnover,

these records would ensure continuity.

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Box 1. DEMONSTRATION RECORD BOOK

1) Name of the demonstration: Winter wheat fertilizer demonstration under

rainfed conditions

2) Cooperator farmer: Ali Bayrak (age 42)

3) District and the village: Selim, Aşağıdamlapınar

4) Size of the demonstration: 40x50 m=2000 m2

5) Soil type: sandy loam

6) Irrigation: no

7) Implementation:

Production operations Explanation/Comment

Soil tillage (equipment, date, no of tillage, tillage depth)

Seedbed preparation (preparation date, machinery and

equipment used)

Seeding (source of seed, rate as kg/ha)

Wheat Variety

Fertilizer applied at seeding (type, rate as kg N/ha and kg

P2O5/ha, date)

Pesticides used for diseases and pests (application rate and

date, and application method)

Spring fertilizer application (type, rate as kg/ha, application

date)

Weed control (herbicide used, application rate and date)

Harvest

8) Yield/ha (as grain and straw)

9) No. of field days organized and dates:

10) No. of farmers visiting the demonstration:

11) No. of farmers applying the same technique in the village (succeeding year)

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Box 2. Location of the Demonstration

Box 3. Demonstration plot plan

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LOGICAL FRAMEWORK

Results Hierarchy Verifiable Indicators Means of Verification Assumptions

Goal Reduced poverty among the upland communities

of the Murat river watershed. Number of village HHs living below the poverty line reduced (10%). Official statistics, Baseline (MCP)

and impact assessment studies. Government maintains and pursues pro-poor

policies. No extreme economic, seismic, or climatic

shocks. Development Objective

Improved livelihood and natural resources

management in the upper catchment areas in the Murat watershed.

30% increase in vegetative cover in treated micro-catchments, three

years after project completion (include tree survival rate).

80% of participating families have improved livelihood (nutrition, income, reduced workload).

10% reduction in government expenditures on rehabilitation of public works damaged due to floods and landslides.

GIS –based data collection including

photos.

Vegetation plot/afforestation data Social survey.

Improved livelihood measured by

nutritional diet, income and women workload.

Provincial records.

Existing forestry and natural resource policies

are improved & enforced.

Infrequent staff turnover.

Components/Outcomes 1. Natural resources and environmental management 1.1 Environmental awareness enhanced in

MC communities. ▪ 50% of villagers in targeted micro catchment areas have agreed to

MC management plans. ▪ OGM records.

▪ Baseline survey.

▪ Impact assessment. ▪ Meeting attendance and minutes.

Awareness raising effective.

1.2 Modalities for participatory &

sustainable natural resource management operational.

▪ Consensus in planning and management decision-making is reached through participatory processes with equal gender representation

and inclusion of vulnerable groups.

Existing village and OIM structures for

decision making allows for the establishing effective modalities for NRM co-

management.

2 Investments in natural resources and environmental assets

2.1 Rehabilitation of soil and vegetation.

2.1.1. Soil erosion reduced. 10% reduction in sediment load from selected micro catchments. ▪ Sediment traps.

▪ Erosion field plots. ▪ Vegetation field plots. ▪ OGM records.

Physical conditions (soil, rainfall) and

management practices (fire wood collection, livestock rearing) adequate for soil and

vegetation rehabilitation. 2.1.2. Vegetative/forest cover increased. 20% reduction in erosion from treated areas.

2.1.3. Improvements in grazing/rangeland. 30% increase in vegetation cover in rangelands.

2.2. Improved livestock productivity due to

improved access to clean water. 75% of livestock in rangeland benefit from water points (possible proxy:

livestock mortality). ▪ OGM/PPT records

▪ Social surveys Improved water access translates into better

livestock management.

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LOGICAL FRAMEWORK (CONT’D)

3 Investments in improved livelihood

3.1. Diversified and more efficient use of energy.

3.1.1. Fuel wood consumption reduced. 30% reduction in annual HH fuel wood use. ▪ OGM/PPT records. Improved energy efficiency leads to reduced

use of fuel wood. 3.1.2. Energy saving technologies adopted. 25% increase in number of HH using renewable technologies.

3.2. Improved agricultural productivity.

3.2.1. Improved stables and livestock

management. 20% productivity increase per livestock head ▪ HH and focus group interviews.

▪ PPT records.

▪ HH and focus group interviews.

Villagers demonstrate an interest and are

willing to invest in new management practices

Sufficient water availability. Possible to provide sufficient no. of villagers

without irrigation access to irrigation.

3.2.2. Output from horticulture, orchards,

forage and field crops increased. 10% increase in rain fed crop production and yields/ha.

30% increase in overall value for irrigated crop. 3.2.3 Increased access to irrigation for

horticulture/agriculture, forage and

orchards).

20 % increase of number of households with access to irrigation.

Outputs 1 Natural Resources and Environmental

Management

▪ NRM awareness raised in MC communities.

▪ 25 MC plans produced with operational modalities for

participation.

▪ Staff trained in NR and environmental management

including: Multifunctional

participatory planning; participatory monitoring & data management;

poverty and gender sensitization ▪ Studies and workshops in: NR

economics; carbon sequestration;

energy efficiency and alternative energy sources

▪ Percentage of villagers in MC area taking part in preparing MC plans.

▪ Selected elements in the MC plans are NRM oriented.

▪ Numbers of plans produced (pro-poor/gender sensitive/ participatory).

▪ Number of TA contracts, workshops and training.

▪ OGM, OBM, OIM staff and PPT attendance and results.

▪ Supervision reports.

▪ OGM records.

▪ Audits.

▪ OGM records. ▪ Post training test/evaluation

charts.

▪ Procurement systems in place and functioning.

▪ Sufficient Government counterpart funds available in a timely manner.

▪ No community segment excluded from participating.

▪ Beneficiaries accept terms of cost

sharing.

2 Investments in Natural Resources

Soil conservation works (9 000 ha).

Forest and rangeland rehabilitation

and afforestation (22 160 ha).

Two public nurseries completed in

Elazığ and Muş.

Erosion measurement field trials

installed (25).

Sediment measurement stations

Soil conservation investments effective.

Forests rehabilitated (% increase vegetation cover), afforestation

(number of trees/survival rate).

Rangelands rehabilitated (ha. and % increase in vegetation cover):

o No. of livestock drinking facilities operational; and

o No. of shelters for communal use operational.

Public nursery that includes cold storage for seedlings developed

(production increase).

Erosion/sediment measurement.

MFWR records/photo (time and

GPS marked).

Audits.

Data collected for erosion/water

run-off/sediment yield.

OGM pursue best practices for NRM and erosion control

OGM and village collaboration in operation and data handling

OGM and village collaboration in

operation and data handling

112

installed (25).

Erosion field plots and gully erosion (stick measurement) operational

and participatory.

Sediment measurement stations operational.

113

LOGICAL FRAMEWORK (CONT’D)

3 Investments in Improved Livelihood

Demonstrations and farmer training events (308).

Farmer exposure visits (292).

Improved wheat and barley production (1 381 ha).

Improved forage crops (1 230 ha).

Improved horticultural production

(247 ha) including 180 ha of new orchards.

Water storage ponds built and connecting earth canals rehabilitated

(250).

Drip irrigation installed (127 ha).

New contracted seedlings producers

operational and selling (4).

New solar panels installed and in use

(1 250 hh’s).

Insulation (625hh’s).

Energy saving stoves installed (1 250 hh’s).

Improved stables (100).

Demonstration and farmer training program conducted (number of participants).

Farmer exposure visits carried out (number of participants).

Sustained increase in grain yields (%).

Sustained increase in forage crop production (%).

Sustained increase in horticultural production (%).

Small scale irrigation developed: o Water storage ponds functioning (increase in water collection);

and

o Increase in water supply from rehabilitated earth canals (%).

Increase in crop yield and value from irrigated land (%).

Contracted seedling production introduced as a profitable business model.

Energy saving technologies (solar, insulation and stoves) has led to

reduced fuel consumption. Increases revenues from increased yield o meat and milk and savings

from less disease.

Supervision reports.

OGM records. PPT records.

Audits.

Number of trees in orchards and survival rate (OGM records).

PPT records.

Number of seedlings produced/ revenues.

(Sale Record.)

Fuel consumption (PPT record/ survey).

PPT records.

Village communities interested in participating in training/exposure.

Sufficient land available and farmers

interested in applying new technologies.

(Improved crop production, crop rotations

and soil conservation measures.)

Interest to engage in seedling production.

Possible to produce seedlings at competitive prices sufficient demand for

seedlings.

Improved efficiency translates into less use of fuel.

Existing stables have negative impact on livestock production and health.

Inputs USD million

Civil Works 23 901.4

Vehicles, Equipment, and Goods 13 109.8

Technical Assistance, Training, Studies

and Workshop 6 164.8

Operational Expenses and Salaries 1 608.2

Total 44 784.2

114