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

2. 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

3. 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

4. 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

5. 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 ,
Medium term
Long term
Growth targets and projects identified

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

7. 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

8. 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.

9. 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,

10. 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

11. 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.

12. 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,

13. 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,

14. 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

15. 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
years

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

17. 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,

18. 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.

19. It is the second stage of the project planning phase. Objectives:
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,

20. 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.

21. It is the last stage of the project planning phase Objectives:
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.

22. 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

23. 1.3.2 Project Implementation Phase
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.

24. 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

25. 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.