Introduction of Standard Steps in Planning and Implementation of Water Sector Projects in Ethiopia.

Title: Introduction of Standard Steps in Planning and Implementation of Water Sector Projects in Ethiopia. Prepared by: Dr.-Ing. Asie Kemal Jabir, Addis Ababa Institute of Technology This lecture material is a part of the course material on the module River Basin Planning and Allocation. Further details can be seen in the module’s lecture notes

Outline of presentation 1.1 Water Sector Projects in the Context of National Development Planning 1.2 Water Sector Planning Process 1.3 Water Sector Projects Planning and Implementation

1.1 Water Sector Projects in the Context of National Development Planning Poverty Reduction Strategy Paper (PRSP) as a national development framework to address the challenges posed by pervasive poverty in the country, PRSP conceptualizes the range of guiding strategies to address the challenges. Agricultural Development Led Industrialization (ADLI) strategy is one of the building blocks of the PRSP

The ADLI strategy is implemented through four major sectoral programs: Water Sector Development Program (WSDP) Health program Education program Food security program The WSDP identified five sub-sectoral programs and several projects under each program Water supply and sewerage development program Irrigation development program Hydropower development program Water resources development program Institutional and capacity building program Planning Horizon- 15years Short term 2002-2006 , Medium term 2007-2011 Long term 2012-2016 Growth targets and projects identified

National Development Planning Sectoral Planning Sub-sectoral Project National Development Plan Sector Programmes Sub-Sector Projects

Poverty Reduction Strategic Paper PRSP National Development Plan Sectoral Planning Sub-Sectoral Project Poverty Reduction Strategic Paper PRSP Strategy for Economic Growth Based on ADLI Reform of the Judiciary and Civil Service Decentralization and Empowerment Capacity Building Health Program Education Program Water Sector Development Program Food Security Program ADLI Water Supply & Sewerage Development Program Irrigation Development Program Hydropower Development Program Water Resources Development Program Institution & Capacity Building Program Water Supply & Sewerage Projects Irrigation Projects Hydropower Projects Water Resources Projects Institution & Capacity Building projects

1.2 Water Sector Planning Process Since 1993 Ethiopia adopted a market-oriented economic strategy and a federal government structure for planning and governance, Three administrative levels are introduced: Federal, Regional, and Woreda levels, Ministry of Finance and Economic Development (MoFED) is responsible for drawing up guidelines and procedures for the government planning and implementation framework, MoFED issued guidelines that outline a three-tier system of planning and implementation of various services in accordance with the three administrative levels of the federal structure. This planning and implementation approach applies across the board to all sectors including the water sector.

Eight stages in the planning process, which is summarised in figure 3: The Guideline Planning time frames: Long term (10 years), Medium term (5 years), and Short term (annual) Eight stages in the planning process, which is summarised in figure 3: Development of policy and strategies Pre-plan preparation Preparation of plans Pre-implementation evaluation and approval Implementation and monitoring Midterm evaluation Terminal evaluation Ex-post evaluation In the development of policy and strategies stage, national and regional economic, social and development policies and strategies are drafted by the Federal and Regional governments,

Development of Policies & Strategic Direction Pre-plan Preparation Plan Preparation Ex-ante Evaluation & Adoption Implementation & Monitoring Midterm Evaluation Terminal Evaluation Ex-post Evaluation Stage (1) Stage (2) Stage (3) Stage (4) Stage (5) Stage (6) Stage (7) Stage (8) Development Plan Cycle

In the pre-plan preparation stage, MOFED prepares guidelines, timeframes and ex-ante plan evaluation and approval procedures along with guidelines for plan preparation and pass them to regional Bureaus of Finance and Economic Development (BOFED) and to federal implementing agencies. BOFED, in turn, passes adapted guidelines to the woredas, which are further adapted by the woreda for implementation. In the planning stage, Short, medium, and long term plans are prepared at national, regional and woreda levels. The development plans reflect the general situation and the sector conditions and are prepared by the implementing agencies together with the ministry – bureau - office of finance and economic development and participation from civil society, farmers, private businesses/investors and NGOs.

In the ex-ante evaluation and approval stage The plans are evaluated and approved by a technical committee consisting of experts from the finance and economic development bureau or office and the implementing agencies. In implementation and monitoring stage Programs and projects will be implemented by the implementing agencies. Monitoring activities will be carried out to follow up whether the programs and projects are implemented according to the plan, to identify the cause of problems that hamper implementation and report to the concerned body for immediate correction. Mid-term evaluation stage It begins in the third year of implementation and is carried out by a committee whose members are drawn from the finance and economic development (coordinator) and implementing agencies,

In the terminal evaluation stage It aims to evaluate whether there have been gaps in plan preparation, implementation conditions and problems that need correction for the remaining planned period. It is used also to gather feedbacks for the next five years plan, and to gather lessons for the terminal evaluation. In the terminal evaluation stage the implementation of the five years plan is evaluated and feedbacks and lessons are generated for the next five years plan (long-term plan) and as input for ex-post evaluation. Ex-post Evaluation It is carried out only when the government regards this as necessary, The outcome from this exercise is information about the impacts, which would be useful to improve policies and subsequent five years plan,

1.3 Water Sector Projects Planning and Implementation In water resources development projects, there are three main project development phases: Project planning phase, Project implementation phase, and Project operation & maintenance phase. The project planning phase is further divided into three main study stages: Reconnaissance study stage, Feasibility study stage, and Detail study stage The project implementation phase consists of Review and modification of the detail design, Construction management and contract administration, Procurement of services, Construction, and Comissioning

Project Planning Project Implementation Project Operation Reconnaissance Study Feasibility Study Detail Study Design Review & Modifications Contract Management and Construction Supervision Works Procurement Construction Commissioning Full Operation Project Planning Project Implementation Project Operation Few months-25 years 2-6 years 50-100 years

Reconnaissance Study Stage Feasibility Study Stage Detail Study Stage 1 2 3 4 5 Several Alternatives Few One/two

1.3.1 Project Planning Phase 1.3.1.1 Reconnaissance Study It is the first stage of the project planning phase and it is preliminary in nature. Objectives: To collect extensive primary and secondary data in order to Establish the existing condition, i.e., specify clearly the problems and opportunities, Formulate alternative options to address the problems and opportunities, Evaluate effects of the formulated alternative options, Make comparisons between the alternative options, Make initial recommendation with respect to the technical and economic viability of the proposed project, Select recommended options, Plan detailed surveys and investigation required for the recommended options,

The activities involved at this stage are Data collection, Field visit / reconnaissance survey, Desktop investigation. In data collection, basic data that are relevant to the project and already available in various forms are collected. Field visit or inspection /Reconnaissance survey, reconnaissance survey is carried out to establish the existing condition at the planned project sites, In desk top investigation, from the gathered data and reconnaissance survey, the major problems / opportunities that lead to the initiation of the project are properly identified and articulated, Reporting A Reconnaissance Study Report covering all the aspects mentioned above will be prepared.

It is the second stage of the project planning phase. Objectives: 1.3.1.2 Feasibility Study It is the second stage of the project planning phase. Objectives: Its principal objective is to collect additional data and carry out detailed investigations to ascertain the technical, economical, financial, social and environmental viability of the proposed project, prepare preliminary engineering design and cost estimate of the options that are recommended in the reconnaissance stage, evaluate potential environmental impact, compare the recommended options in terms technical, socio-economic, financial, environmental aspects arrive at a preferred option from the recommended options, plan detailed surveys and investigation required for the preferred option,

Activities The activities that are carried out at this stage include but not limited to: Collection and evaluation of additional existing data. Field surveying Field exploration and investigation Water resources investigation Preliminary design of the recommended options, Environmental and social impact assessment Reporting A Feasibility Study Report covering all the aspects mentioned above will be prepared.

It is the last stage of the project planning phase Objectives: 1.3.1.3 Detail Study It is the last stage of the project planning phase Objectives: Its principal objective is to collect additional data and carry out detailed design works of the preferred option. This include preparation of Detailed hydraulic and structural design, Construction drawings, Technical specifications that clearly detail the required construction methods, material; types, material classes, and testing requirements, Environmental and social impact assessment Engineering cost estimate and tender documents.

The major activities in this stage are: Review of the feasibility study, Detailed field investigation as per the recommendation of the feasibility study: Detail design: Preparation of the final contract documents, Reporting which includes the above mentioned objectives and activities in detail. Reporting A Design Study Report covering all the aspects mentioned above will be prepared. Tender and Contract Documents Preparation After the design study report is accepted and approved, the planning phase will culminate with the preparation of well-organized tender document for competent bidder selection, and preparation of a standard contract document

1.3.2 Project Implementation Phase 1.3.2.1 Review and Modification of Detail Design Proposed design will be reviewed and revision and modification as required and consistent with the existing site condition on the ground will be made. The redesign work may be implemented in the event that the set capacities, size volumes, routes and locations etc do not tally with the existing conditions on the ground.

1.3.2.2 Contract Management and Construction Supervision To ensure that project activities are carried out timely and on the basis of best engineering practice, robust contract administration and construction supervision work is required. The consultant selected to carryout this task will provide the following services Technical Assistance in tendering and contract negotiation Site supervision work Quality control: Quantity control: Monitoring: Commissioning of works and handing over Attendance during defects liability period

1.3.2.3 Service Procurement, Construction and Commissioning The procurement process will follow the procedure and the guideline established by the federal and regional rules and procedures for the procurement of goods and works and this is usually defined in the bidding documents. Ones procurement of a contractor is carried out, construction work commences. The construction will proceed as per the contract and good engineering practice, and the supervision of the works will ensure this being the case, Upon completion of the construction and before project is handed over to the client, the work will be commissioned. This entails the operational testing of the different components and complete system of the projects/scheme.