THE FUTURE OF LARGE RICE-BASED IRRIGATION SYSTEMS

IN SOUTHEAST ASIA

PROCESS AND OUTCOMES OF A REGIONAL WORKSHOP IN HO CHI MINH CITY

OCTOBER 2005

Thierry Facon

Topics

• The future of large rice-based irrigation systems in Southeast Asia

• A new FAO methodology to improve irrigation management: MASSCOTE

THE FUTURE OF LARGE RICE-BASED IRRIGATION SYSTEMS

IN SOUTHEAST ASIA

PROCESS AND OUTCOMES OF A REGIONAL WORKSHOP

IN HO CHI MINH CITY, OCTOBER 2005

Conveners and sponsors

FAO Regional

Office for Asia and the Pacific

Evaluation Study of Paddy Irrigation under Monsoon Regime (ESPIM) Project

Financed by the Government of

Japan

Viet Nam Institute for

Water Resources

Research,

Ministry of Agriculture and Rural Development,

Viet Nam

Why this workshop• Regional Consultation - Modernization of irrigation schemes: past

experiences and future options , Bangkok 1996• Since 1999, modernization a major focus of FAO in Asia and

especially SEA • Many interventions based on past and present models and new

models have been tried• Change: trends have accelerated and consolidated and new

challenges have emerged• New perspectives: multiples roles, poverty alleviation, water for

food and the environment…• Changing context in the water sector• Renewed interest from governments and donors in agricultural

water management• Often lack of vision in irrigation professionals• 1st Southeast Asia Water Forum: regional cooperation on the

future of large irrigation systems

Time to refresh our perspectives and define new road maps

Objective of the workshop

To identify strategies, opportunities and interventions for the sustainable management of large rice-based irrigation systems in Southeast Asia over the coming decades

To promote collaboration in the region among countries, stakeholders from different sectors, and national, regional and international organizations.

three critical questions that will determine the character that large

rice-based irrigation systems evolve over the next 20-25 years

• How will agriculture, rice production and water resources management evolve in SE Asia?

• What changes are required in irrigation service provision by the large rice-based irrigation systems and what new roles will they play?

• How will on-going and expected reforms and investment programmes measure up against the projected needs of the region?

• national irrigation agencies and institutions, river basin and water resources management agencies and national water apex bodies, agriculture ministries and environmental agencies

• academic and nongovernmental organizations from countries in the region

• regional bodies and institutions such as MRC, AIT• IOs: FAO, IWMI, IRRI• World Bank, ADB• Centers of excellence and respected individual experts• Comprehensive Assessment of Water Management for Agriculture• environmental INGOs: IUCN, Wetlands International

50 Participants

Evaluation of 50 recommendations from 6 events

• FAO 1996 Bangkok Expert Consultation on Modernization of Irrigation Schemes,

• Fifth International ITIS Network Meeting, India 1998

• World Water Vision 2000

• INPIM/FAO IMT Email Conference(2001)

• First and Second Southeast Asia Water Forums (2002 and 2005)

The most both implemented and effective recommendations:

• Initial performance assessment and improved diagnosis (particular reference to the Rapid Appraisal Procedure and to benchmarking)

• Provision of leadership in funding, action, and expertise in the development of improved design manuals

• Better communication between farmers and irrigation management organizations

The most effective recommendations • Initial performance assessment and

improved diagnosis• Technology must be embedded into

management • The (early stage) implication of WUAs is

critical to success• To facilitate more rapid acceptance of

modernization, better sales arguments regarding benefits must be developed

• Expansion of resources (funding, expertise, ideas) for training, exchanges, workshops and study tours

Technical criteria Main characteristics (and examples)

1

Reservoir-backed, gravity fed irrigation systems

Water is stored in large reservoirs, distributed via a canal networks to the fields mainly by gravity (Zhanghe system, Dau Tieng, UPRIIS)

2Off-river diversion irrigation systems

Water level in the rivers is raised by dam so that water can be distributed via a canal networks to the fields (SCRIS, Philippines)

3Off-river pump irrigation systems

Water is pumped into a canal networks, to be distributed to the fields (Northern part of Vietnam)

4

Integrated water management systems in the deltas

Low lying deltas, Consisting of a series of multifunctional canal networks (water supply, drainage, transport..) and water management structure (salinity control) and an mosaic small irrigation systems (tidal or pump)

5Conjunctive groundwater-surface water system

Both gravity fed surface irrigation + groundwater pumping

Additional criteria

Urban-rural irrigation systems

Near or including cities or industrialized centers, steep competition for water and labor (Cu Chi, Zhanghe, Mangat)

National and Sub-

national stageEconomic and AgricultureSituation Strategy and policy

Focus is outside agriculture

Postagricultureadvanced

• highly diversified agriculture• Resources competition• high environmental concern• diets shifting• need to conserve certain level of

food production capacity

• Reduction/decommissioning of rice irrigation areas

• Specialization• improve water productivity• protect environment and water

quality• gvt investment for modernization

Agricultural export main focus

Intermediate/transition

• on the way to diversification• quick demographic transition• further improvement of food

security• need to stabilize rice production• rice exporting for FC earning+C6• rely on rice production

• Stabilization and modest development of rice irrigation areas

• development of small systems• increase the financial self-

sufficiency• further water resources development

Agriculture main focus

Low developed /early economy

• urgent need for food security• possess comparative

advantage• Little alternatives

• further rice irrigation expansion• strong government financial support• external assistance• Livelihoods

Common drivers

Food Security : National-Regional-Household.

Poverty alleviation/regional development.

Increasing concern for environmental protection and ecosystem management.

Issues of energy and other chemical inputs

Climate change (coastal impact- risk for rainfed agriculture).

Nation specific

Development stage that set the exporting/importing strategy.

National Budget Support/Constraints – O&M cost reduction (may be a constraint)

Institutional reforms: Regional Autonomy – decentralization

Agriculture and water management policy

Migration rural/agri-urban population balance.

Other Drivers for Change

Equity of distribution including gender concerns

Multiple purpose nature of service from reservoirs

Markets diversification and integration (need for crop diversity)

Pressure on Water resource: Scarcity, Water quality and competing uses of water

Reclaiming land.

Management related objectives/drivers

Cost-effectiveness of O&M and management

More responsive, transparent and participative management

More flexible water delivery systems

Accounting for multiple uses of water

Water on Demand (removing technical constraints )

Technology: availability of low cost pumps

Accompanying supports (enabling conditions)/drivers:

Strategies of the World Bank and Asian Development Bank for management/rehabilitation projects Capacity building in water infrastructure management and service oriented management, in modernization development.

National and Sub- national stage

Type 1: Reservoir gravity

Type 2: Off-river gravity

Type 3: Off-river pump

Type 4: Conjunctive

Type 5: Integrated management deltas

0 - + + -

Pos

t- ag

ricu

ltu

re

Optimizing multiple use economically justified; limited number of sites available for new systems

Reduce. Merge or neglect due to low reliability Convert to type 3 or 4 Convert to different crops/land use

Increasing energy costs Crop diversification Rice phases out economically justified; limited number of sites available for new systems

Highly flexible Farmers decide Market rules (export possibilities) (manymers use pumps)

urnanizationOptimizing multiple use (environment, drainage isuues, per-urban agriculture, urbanization) ; more crop diversification

not economically justified by agriuclutre alone but may expand;

0 0/- + Expand short term then decline due to urbanization, sea level rise, salinity?

Agr

icu

ltu

ral

Exp

ort

Anticipate on multiple uses

Improve, modernize (endless) Inherent limitations of supply

Likely reduction due to energy costs (for paddy)

Highly flexible Farmers decide Market rules (export possibilities) (several farmers use pumps)

Optimize multiple use Expensive drainage (environment, drainage isuues, per-urban agriculture, urbanization)

0 + + + Expand short term then decline due to urbanization, sea level rise, salinity?

Agr

icu

ltur

e fo

cus

Too expensive for rice but plan for future or multi-purpose structure

low costs Comparative advantage (compared with oither options)

Affordable investment Subsidized O&M

Highly flexible Farmers decide Market rules (export possibilities) (some rich farmers use pumps)

Developing paddy systems Not yet urbanization

CONCLUSIONS FROM WORKSHOP FINDINGS

AND RECOMMENDATIONS• modernization to increase flexibility, in river

basin management context, delivering service needed by farmers, taking into account multiple functions, is more required than ever.

• greater awareness, knowledge, effective tools exist, but very little successful modernization has taken place in Southeast Asia and we still have many classical projects.

• Unless management adapts, the discrepancy between stated and actual management will widen: chaos will increase, etc.

• new layers of complexity have been added to our understanding of irrigation and need to be managed.

• Technology needs to be embedded in management

• Design manuals need to be revised

• Management needs to be professionalized (managers and WUAs).

• Focus on operational management.

• present institutional reform models need to be evaluated and overhauled to respond to new demands and characteristics of farmers.

• Early involvement of users (WUAs) is critical• Capacity building of managers, intermediate

service providers consulting firms, and various components of civil society will need to be substantially boosted.

• Tools such as benchmarking and rapid appraisal procedure for investment and management

• main focus: improvement of performance of existing assets.

• new systems may be still developed: predominantly agrarian economies, types of systems with comparative advantages

• their planning and appraisal process should be reformed to adhere to improved water governance, comparing other options to achieve the same objectives.

• Evolution scenarii, objectives and strategies will vary greatly according to the types and socio-economic environment of the systems.

• Non-rice drivers will play a very important role in their evolution.

Financing and multiple roles

• Modernization should aim to secure reliable, equitable and predictable water supply and be responsive to individual needs of farmers where possible. Trust farmers to respond to such a water supply, e.g., through conjunctive water use.

• Water-delivery systems need to be flexible (technically,

institutionally) to deliver water to multiple uses (agriculture, environment, city, industry, energy generation), from entire river basins down to (within) large irrigation systems.

• Financing (capital and O&M) needs to progressively move from subsidies to market-based incentives, and public-private cost-sharing mechanisms, as economies evolve (Early -> Transition -> Post-agriculture).

• "Early economies" should anticipate for, "transition economies" should plan for, and "post-agriculture economies" should harmonize (social, cultural, institutional, and policy) water management for different ecosystem services within irrigation area and catchment.

Financing and multiple roles

Management and Institutions

• Invest in professionalization of irrigation management through the establishment of continuous in-service training focused on operational management:

– Training of today’s graduates who are tomorrow’s managers

– Training at all professional levels within irrigation systems across all relevant disciplines.

– Overseas secondment of irrigation managers within the region and in higher-income countries.

– Practical trainings for farmer organisations/WUAs/Federations.

• operationalise and mandate a suite of assessment and performance measures to continually upgrade and compare the effectiveness of service provision and the management of negative externalities, such as environmental impacts:– RAP– Benchmarking– Introduction of service related performance for irrigation service

provider staff.– Public accountability – balance sheets– Improve and sustain monitoring, data collection and processing

and management for improved service provision.

Management and Institutions

• Existing PIM approaches should be diagnosed, and successful approaches and their contexts identified and replicated.

• A key focus of initiatives to implement participatory management and management transfer should be on:– Minimizing the transaction costs relative to actual benefits of

participation– Incentivizing participation and compliance of the irrigation

service providers:• Self-financing arrangements

– Functional WUAs and federations, with clear rights, responsibilities and programs of action in management and local investment.

– To be effective, the service delivery of WUAs and Federations must be improved and support is required to realize this.

Management and Institutions

• Revise national design standards and operation manuals to take advantage of new knowledge in the irrigation sector and state-of-the-art technologies.

• Replicable pilot projects to demonstrate modern technologies; learn from practical experience for a relative small cost.

• Consider use of new donor lending instruments – e.g., adjustable program loan (APL) (longer time periods are needed to design and implement modernization programs; typical 5 year loans are too short).

Design and Operation

Design and Operation

• develop excellent "Water Control Engineering" programs in universities and engineering schools.

• establishment of national/regional Centers of Excellence for irrigation modernization.

• Regional training programs on Modernization and RAP for different levels of the organization: senior managers, operations staff, designers & engineers.

• RAPs before any new investment for a diagnosis of the system, developing proper water management strategies, and benchmarking.

New large-scale irrigation projects

• Comprehensive options and feasibility assessment. by a wide-ranging analysis which is ecologically, physically, politically, socially and culturally “logical” to guide analysis and debate when examining the feasibility of a project, before progressing into the formal “impact assessment” process.

• From the initial stage of development, it is important to visualise the trajectory of how changes might occur.

• Projects should be planned, built and operated within a governance regime that embodies social justice ethics, is transparent, and participatory. Participation in irrigation governance should be open to representatives of affected communities and interest groups.

• The water rights and responsibilities of all stakeholders should be openly negotiated and established, with equity and sustainability being primary considerations.

• Management arrangements for a new project should include, from the beginning, credible representatives of different stakeholder groups.

• Local capacity development. If a new project is proposed, it is essential to increase efforts to boost the capacity of local stakeholders playing many different roles: local decision makers, public authorities, local consulting firms and engineers, user groups, local civil society organizations and universities Supporting the development of this capacity needs to be factored into any new project.

• Finance. An adequate financial strategy must be put in place. The finance for complete construction must be ensured. Beyond construction, there must be a plausible strategy to ensure the availability of funds to meet full O&M costs, drawn from all project beneficiaries.

• Monitoring impact on ecosystem and livelihoods: year-round effect of a project on the hydrology and wider environment; impact, whether positive or negative, on the livelihood of all affected peoples.

New large-scale irrigation projects

new recommendationsFrom:• generation of both positive and negative externalities

by accident• development of autonomous farmers’ responses by

neglectTo:• explicit management of multiple roles• recognition of farmers’ service and other objectives,

of their contributions to overall efficiency and productivity (e.g. By pumping)

• search for the most practical, economical options on where, how and at which levels (main system, intermediate distribution, farmers, conjunctive use, etc.) to locate improvements for service delivery.

31

From RAP to MASSCOTE

MASSCOT

SERVICE

FACTORS INFLUENCING SERVICE QUALITY

• Actual Level and Quality of Service Delivered- To Fields - From One Level of Canal to Another

SYMPTOMS

CONSTRAINTS

Physical Constraints Institutional Constraints

• Turnout Design • Check Structure Design • Flow Rate Measurement • Communications System • Remote Monitoring • Availability of Spill Sites • Flow Rate Control Structures • Regulating Reservoir Sites • Density of Turnouts

Hardware Design Management• Instructions for Operating Check Structures • Frequency of Communication • Maintenance Schedules • Understanding of the Service Concept • Frequency of Making Flow Changes • Quality and Types of Training Programs • Monitoring and Evaluation by Successive Levels of Management • Existence of Performance Objectives

• Dependability of Water Supply • Adequacy of Water Supply • Availability of Groundwater • Climate • Silt Load in the Water • Geometric Pattern of Fields • Size of Fields • Quality of Seed Varieties • Field Conditions - Land Leveling - Appropriate Irrigation Method for the Soil Type

• Adequacy of Budget • Size of Water User Association • Existence of and Type of Law Enforcement • Purpose and Organizational Structure of WUA • Destination of Budget • Method of Collecting and Assessing Water Fees • Ownership of Water and Facilities • Ability to Fire Inept Employees • Staffing Policies, Salaries • Availability of Farm Credit • Crop prices

• % Collection of Water Fees • Viability of Water User Associations • Condition of Structures and Canals • Water Theft

RESULTS• Cropping Intensity • Average Crop Yields (Ton/Ha) • Yield/Unit of Water Consumed • Downstream Environmental Impacts

Figure 1. Factors affecting output (results) and symptoms from irrigation projects.

App

rais

alM

odernization

33

From RAP to MASSCOT to Modernization of Irrigation

Systems? MASSCOT

Trainings and RAPs in 30 Asian systems confirmed:• The extent of the problem of poor service and performance• Operation issues and vast potential there for targeted improvements in operation, supporting hardware, and resource allocation• The need of additional tools to assist managers in elaborating more detailed plans

Other considerations:• Multiple roles, multiple uses, conjunctive use…• Need for differentiation: heterogeneity of “context-service-physical capacity” is the norm not the exception. Heterogeneity is even further increasing with service oriented management (more diversified)!• Cost-effectiveness

34

MASSCOT

1. From RAP to MASSCOTE

Unit = Homogeneous for Capacity/Sensitivity/vulnerabilityPerturbationNetwork/Water Service Demand for service/operationCost of operation

Practical considerations cost effective compromise between hydraulic/operation constraints and diversified services

But unitary procedures will help dealing with this, together with simpler and more flexible operation

(1) RAP

(2) CAPACITY & SENSITIVITY

(3) PERTURBATIONS

(4) WATER ACCOUNTING

(5) COST of OPERATION

(6) SERVICE TO USERS

(7) MANAGEMENT UNITS

(8) DEMAND for OPERATION

(9) OPERATION IMPROVEMENTS/UNITS

(10) INTEGRATING SOM OPTIONS

PLAN FOR MODERNIZATION MONITORING & EVALUATION

THANK YOU FOR YOUR ATTENTION