Meredith A. Giordano, Madar Samad and Regassa E. Namara

Assessing the Outcomes ofIWMI's Research andInterventions on IrrigationManagement Transfer

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RESEARCHR E P O R T

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Research Reports

IWMI’s mission is to improve water and land resources management for food,livelihoods and nature. In serving this mission, IWMI concentrates on the integrationof policies, technologies and management systems to achieve workable solutionsto real problems—practical, relevant results in the field of irrigation and water andland resources.

The publications in this series cover a wide range of subjects—from computermodeling to experience with water user associations—and vary in content fromdirectly applicable research to more basic studies, on which applied work ultimatelydepends. Some research reports are narrowly focused, analytical and detailedempirical studies; others are wide-ranging and synthetic overviews of genericproblems.

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Research Report 106

Assessing the Outcomes of IWMI’sResearch and Interventions on IrrigationManagement Transfer

Meredith A. Giordano, Madar Samad andRegassa E. Namara

International Water Management InstituteP O Box 2075, Colombo, Sri Lanka

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The authors: Meredith Giordano is Research Director at the International WaterManagement Institute (IWMI) in Colombo, Sri Lanka. Madar Samad is PrincipalResearcher and Head of IWMI, Hyderabad Office, South Asia Sub-Region. RegassaNamara is a Researcher at the West Africa Office of IWMI in Accra, Ghana.

Acknowledgements: The authors would like to thank a number of IWMI staff membersfor their support, advice, and assistance in carrying out this study, including K. Jinapala,Parakrama Weligamage, and P. G. Somaratne for their field work and backgroundanalysis of the SCOR project; Tissa Bandaragoda for his insights into the Pakistanresearch; Drubha Pant, Mehmood Ul Hassan and the late Waqar Jehangir for their supportwith the questionnaire surveys; Barbara van Koppen for elucidating IWMI’s work ongender and irrigation and the IMT policy related work in South Africa; Sanjiv de Silvafor his assistance with the bibliometric and webmetric analyses; and Douglas Merrey,Arlene Inocencio and Mark Giordano for their advice on the study methodology andoverall review of the document. The authors would also like to thank the members ofand consultants to the CGIAR Standing Panel on Impact Assessment: Hermann Waibel,Hans Gregerson, Prabhu Pingali, Jim Ryan, Ruben Echeverria, Timothy Kelley, DavidZilberman as well as four anonymous reviewers for their valuable feedback, insights andguidance in the preparation of this study. Finally, the authors would like to thank Prof.Frank Rijsberman, Director General of IWMI on whose advice the study was initiated.

A condensed version of this paper will be published as a contributing chapter to aforthcoming book published by CABI on Natural Resources Management ImpactAssessment in the Consultative Group on International Agricultural Research.

Giordano, M. A.; Samad, M.; Namara, R. E. 2006. Assessing the outcomes of IWMI’sresearch and interventions on irrigation management transfer. Colombo, Sri Lanka:International Water Management Institute. 33p. (IWMI Research Report 106)

/ irrigation management transfer / participatory irrigation management / water usersassociations / farmer organizations / gender /

ISSN 1026-0862ISBN 92-9090-650-2ISBN 978-92-9090-650-6

Copyright © 2006, by IWMI. All rights reserved.

Cover photograph: A Water User Association meeting in Nepal.Photo credit: IWMI-Information and Knowledge Group (IKG) photo collection.

Please send inquiries and comments to iwmi@cgiar.org

IWMI receives its principal funding from 58 governments, private foundations, andinternational and regional organizations known as the Consultative Group onInternational Agricultural Research (CGIAR). Support is also given by theGovernments of Ghana, Pakistan, South Africa, Sri Lanka and Thailand.

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Contents

Acronyms and Abbreviations iv

Abstract v

Introduction 1

IWMI’s Contribution to the Knowledge Base on IMT 2

The IMT Interventions of IWMI 5

Study Objectives and Methodology 8

Conclusion and Lessons from IWMI's Research on IMT 17

Literature Cited 19

Annex 1: Summary of IIMI/IWMI’s Research on IMT Impacts 23

Annex 2: IWMI Outcome Typology 26

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Acronyms and Abbreviations

ACTED Agency for Technical Cooperation and DevelopmentCARE Cooperative for Assistance and Relief EverywhereCGIAR Consultative Group on International Agricultural ResearchCGNET CGIAR Network Services InternationalFAO Food and Agriculture Organization of the United NationsGTZ Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbHIIED International Institute for Environment and DevelopmentIMD Irrigation Management DivisionIMPSA Irrigation Management Policy Support ActivityIMT Irrigation Management TransferISP Internet Service ProviderIWMI International Water Management InstituteNARES National Agricultural Research and Extension SystemsNGO Non-Governmental OrganizationNRM Natural Resources ManagementO&M Operation and MaintenancePIDA Punjab Irrigation and Drainage AuthorityPSM Privatization and Self Management of IrrigationSCOR Shared Control of Natural ResourcesSIC ICWC Scientific-Information Center: Interstate Commission for Water CoordinationSIDA Sindh Irrigation and Drainage AuthorityFO Farmer OrganizationUSAID United States Agency for International DevelopmentWUA Water Users AssociationWUF Water User Federations

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Abstract

Irrigation management transfer (IMT) served asthe cornerstone of the research agenda of theInternational Irrigation Management Institute(IIMI) and later, the International WaterManagement Institute (IWMI) for nearly adecade. The research theme arose for IWMI inresponse to the growing evidence ofunder-performance by publicly owned irrigationschemes and widespread belief that the transferof management responsibilities to farmerorganizations could improve the management ofirrigation systems and make irrigated agriculturemore productive and sustainable. IIMI/IWMIcontributions to the topic included literaturereviews and analyses of experiences andimpacts of past IMT processes, advice topolicymakers in planning and implementing IMT,and the development of generic IMT guidelinesand technical support for governmentsimplementing IMT programs. The purpose ofthis paper is to summarize

IIMI/IWMI’s past research and interventionsrelated to irrigation management transfer and todocument, to the extent possible, theacademic, policy, and technical outcomes ofthese efforts. The application of a range ofdirect and indirect measurement techniquessuggests an overall positive contribution fromIWMI to IMT theory and application.Bibliometric and webmetric analyses suggest alarge and continuing demand for IWMI researchproducts on IMT. Direct and indirect datasources also indicate that IWMI policy andoperational level interventions have in generalcontributed positively to IMT decision-makingand action, both nationally through actionresearch projects as well as regionally andglobally, through the development of genericIMT guidelines. Finally, the continued demandfor IWMI involvement in IMT action researchserves as an important indicator of IWMI’s pastcontributions.

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1

Assessing the Outcomes of IWMI’s Research andInterventions on Irrigation Management Transfer

Meredith A. Giordano, Madar Samad and Regassa E. Namara

recover costs from farmers further encouragedmany developing countries to adopt IMT reformprograms.

Despite widespread interest in irrigationmanagement turnover, however, there was verylittle documentation about the processes usedand the impact of the transfer in terms ofefficiency and productivity gains. Manypolicymakers, development agencies and wateruser associations were searching for viablemanagement options, but were constrained by thelack of experience and information. Further, therewas uncertainty and some skepticism about theeffects the changes would have on managementperformance. As a result, there was an urgentneed for a systematic, comparative assessmentof the range of approaches being used,constraints on implementation, and the impactson performance from transferring irrigationmanagement to local institutions. There was alsoa growing demand for information on supportivelegal, policy and regulatory frameworks, andabout the suitability of different turnoverprocesses in differing political, social andeconomic settings.

To respond to this need, the InternationalWater Management Institute (IWMI), formerly theInternational Irrigation Management Institute(IIMI), launched a series of projects at theglobal, regional and national levels that reviewedand analyzed past IMT experiences andimpacts. As a research institute, IIMI/IWMI’srole was not to advocate IMT but rather to

Introduction

A key recommendation following from the EarthSummit held in Rio de Janeiro in 1992 was thatwater management should be decentralized andfarmers and other stakeholders should play amore important role in the management of naturalresources including water (United Nations 1992).Even before the Earth Summit, countries withsizeable irrigation sectors were transferring themanagement of irrigation systems fromgovernment agencies to water user associationsor other local non-governmental organizations.This phenomenon which became known asirrigation management transfer (IMT) entails thepartial or complete transfer of irrigationmanagement rights to and responsibilities for anirrigation (sub) system from government to farmerorganizations, water user associations (WUAs),other non-governmental agencies (including theprivate sector) or local government agencies. Thegrowing interest in IMT stemmed in part from theassumed efficiency and productivity gains due tofarmer participation and the decentralizedmanagement of irrigation systems. It was alsoassumed that the transfer of managementresponsibility to local organizations would improvethe accountability of the irrigation service tofarmers, improve the cost effectiveness ofservice provision, motivate farmers to investmore in maintaining irrigation systems and,ultimately, make irrigation systems and irrigatedagriculture more sustainable. In addition,shortfalls in government funds to finance therecurring costs of irrigation and the inability to

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objectively assess the extent to which theinstitutional innovation enhanced theperformance and sustainability of irrigationschemes. Based on its research, IWMI thendeveloped a series of ‘products’ including policyand operational recommendations to assistgovernments and local institutions that haddecided to pursue IMT. Complementing thecountry-specific recommendations, IWMI alsoproduced international public goods in the formof generic guidelines for IMT in general and forthe establishment of water user associations inparticular. The purpose of this paper is to

summarize IIMI/IWMI’s past research andinterventions related to irrigation managementtransfer and to document, to the extent possible,the academic, policy, and technical outcomes ofthese efforts. We begin with an overview of IIMI/IWMI’s past contributions to IMT research andpractice. We then describe the objectives andrelated methodology for assessing the outcomesfrom this body of work together with the relatedresults. The paper concludes with lessons fromthis particular study together withrecommendations to improve future analyses ofresearch outcomes and impacts.

that, develop appropriate recommendations toenable national, local, and donor organizations tomake better management decisions and achievemore sustainable and productive irrigation. IWMI’srole was not to advocate turnover, privatization oreven self-management, but to objectively assessthe results and to identify effective institutionalstrategies. IWMI felt well placed to undertake astudy on this subject due to its expertise inirrigation management, especially on institutionalissues; its worldwide network which enabled it tocompare and contrast experiences acrosspolitical, environmental and socio-economicboundaries; and its ability to access, analyze,and disseminate information globally.

More specifically, the PSM program sought toanswer the following questions:

• What are the main strategies for IMT thatare being implemented worldwide?

• What are the impacts of these IMTstrategies?

• How should IMT be organized andimplemented to produce successfulresults?

IWMI’s Contribution to the Knowledge Base on IMT

The first phase of IWMI’s research on IMTfocused on the analysis of past experiences andthe resultant impacts from irrigation turnover.Although IMT was occurring, there had not beenany systematic study of the process andoutcomes. Hence, IWMI sought to fill thisknowledge gap through in-depth case studiesconducted at the regional scale, beginning withAsia and Latin America and thereafter assessingthe implications for Africa. Further work was doneat the household scale in terms of examining thegender related impacts of IMT.

Analysis of IMT Experience in Asia

In response to the growing demand forinformation on irrigation management transfer,IWMI (then IIMI) started the Privatization and SelfManagement of Irrigation (PSM) Program in 1992.The program was funded initially by the GermanGovernment and subsequently by IWMI’s corefunds. The overall objective of the program wasto investigate the experiences and approaches toIMT in various countries, analyze the factors thatcontributed to its success or failure, and from

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The evaluation began with an extensivereview in which findings from 29 research studieson irrigation management transfer weresummarized and evaluated (Vermillion 1997). Thiswas followed by a series of country-specificstudies in Asia, Latin America, and in a limitednumber of cases in Africa (table 1). While theinitial studies varied in conceptual design, astandard methodology was later adopted in aneffort to facilitate comparative analyses.1

Most studies used a ‘before-after transfer’ and‘with-without IMT’ framework for assessing theimpact of management transfer on equity,efficiency, cost recovery, agricultural productivityand sustainability of irrigation system usingvarious farm/system level indicators. Reportsfrom stakeholders and post-facto assessments ofsingle cases were also used. Annex 1summarizes the results of IIMI/IWMI’s casestudies on IMT impacts.

The results from the various IWMI casestudies suggested that, with the exception ofMexico and Colombia, the impact of IMT wasmixed. In most Asian countries studied, the mainchange was a gradual decline in governmentfinancing of operation and maintenance of irrigationsystems. There were also indications that WUAswere making only modest contributions towards

maintenance, which raised concerns about thelong-term sustainability of transferred irrigationsystems. Again, with a few exceptions, nodiscernible evidence was found on the positiveimpacts of IMT on system operations andmaintenance. Evidence relating to agriculturalproductivity was also mixed. In Sri Lanka, forexample, significant increases in water productivitywere found consequent to the rehabilitation andestablishment of farmer organizations in the GalOya irrigation system, one of the first systems inthe world where IMT was introduced (Uphoff 1992;Murray-Rust et al. 1999). Conversely, in Colombia,IMT was found to improve management efficiencyand the accountability of agency personnel towater users but had no recognizable effect onagricultural productivity (Vermillion and Garcés-Restrepo 1998).

However, even where the impacts onagricultural or water management performancewere not spectacular, the development of farmerorganizations together with associated changes ingovernment irrigation departments has beenshown to contribute to the broader empowermentgoals of reform (Uphoff et al. 1991). InBangladesh, for example, IWMI research foundthat IMT reforms led to certain other positiveimpacts. Here, the focus of the policy reforms

TABLE 1.The IMT case studies of IWMI.

Case study region/type Reference

Overviews Vermillion and Johnson 1995; Vermillion 1997; Vermillion 1998.

Latin America Vermillion and Garcés-Restrepo 1996; Johnson 1997; Kloezen et al. 1997; Vermillion andGarcés-Restrepo 1998.

Asia Mandal and Parker 1995; Bandaragoda and Memon 1997; Bandaragoda 1999; Brewer et al.1999; Murray-Rust et al. 1999; Samad and Vermillion 1999; Vermillion et al. 2000;Naik et al. 2002.

Africa Samad et al. 1995; Abernethy et al. 2000; Shah et al. 2001; Shah et al. 2002; McCornick andMerrey 2005.

Gender and Poverty Studies Athukorale and Zwarteveen 1994; Zwarteveen 1994, 1995a, 1995b, 1995c, 1997a, 1997b;Zwarteveen and Neupane 1996; Jordans and Zwarteveen 1997; Buechler and Zapata (eds.)2000; Van Koppen 2002; Van Koppen et al. 2002.

1 The methodology is described in Vermillion et al. 1996.

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was on the lift irrigation sector. Bangladesh’spolicy entailed the transfer of equipment andinputs from the public to the private sector;liberalization of equipment imports; withdrawal ofsubsidies on equipment; and the sale of publiclyowned pumps to user groups. The first of thesepolicy changes led to the rapid growth of shallowtubewells and to some extent, low lift pumps.Liberalization led to an expansion in theavailability of irrigation equipment and asignificant reduction in prices. As small farmersform a growing proportion of pump owners, theavailability of inexpensive equipment in a range ofsizes enabled them to increase their purchases.Moreover, both male and female rural workersseemed to have benefited from increasedemployment opportunities resulting from theexpansion of irrigation (Mandal and Parker 1995).

‘Limits to Leapfrogging’: Prospects forIMT in Africa

In Africa, IWMI researched irrigation managementtransfer issues in Niger, Nigeria, and Sudan. InNiger, IWMI investigated the institutional andfinancial viability of the systems transferred tofarmer cooperatives (Abernethy et al. 2000). InNigeria, IWMI worked with a river basinmanagement authority to pilot test a participatoryaction research approach to organize farmersbased on experiences in Asia (Merrey 1997).IWMI’s work in Sudan focused on the transfer ofpump irrigation schemes along the White Nile tofarmers (Samad et al. 1995).

Following these initial case studies on IMT inAfrica, IWMI then launched a broaderassessment (Shah et al. 2002) on whether thelessons from successful IMT cases in Asia, LatinAmerica and elsewhere could be replicated inAfrica.2 Based on a comparative study of theexperience of several countries, the authors found

that nowhere in Africa does there exist asignificant body of positive experience to suggestthat traditional approaches to IMT will work in theAfrican context of largely smallholder irrigationschemes. In many respects, the sub-SaharanAfrican smallholder context differs from thesituations found in areas where IMT has provensuccessful, such as in the USA, Mexico, Turkeyand New Zealand where large-scale irrigationschemes predominate. The study argued thateven if basic ‘process’ pre-conditions (supportivelegal-policy framework, secure water rights, andlocal management capacity building) are met, IMTis unlikely to work for African smallholders.Rather, the authors recommended a set ofinstitutional alternatives that address the complexset of constraints faced by African smallholders.A prerequisite for successful IMT was found to beenhanced income-creation potential of smallholderirrigated farming by strengthening market access,promoting high-value crops, and improvingsystems for providing extension and technicalsupport to smallholder irrigators. IWMI researchthus suggested that a multifaceted approach,rather than one focused exclusively on the directtransfer of irrigation management, was the key toany possible future success of IMT in the region.

IMT and Gender 3

While the studies in the previous section referredto “farmers” as a single group, IWMI research hasalso focused on the impact of IMT policies at thehousehold scale to assess both the role ofwomen in irrigation management as well as theimpacts of IMT on female farmers. IWMIresearch on the topic began in 1993 withliterature reviews (e.g., Zwarteveen 1994, 1995a,1995b, 1995c, 1997a, 1997b) and specific casestudies in Bangladesh, Nepal, Sri Lanka andBurkina Faso to analyze the role of women in

2 See also McCornick and Merrey 2005.3 See Merrey 1997, pp. 149-155 for a concise summary of International Irrigation Management Institute’s (IIMI) research on genderand irrigation management.

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irrigation management (e.g., Zwarteveen andNeupane 1996, Athukorale and Zwarteveen 1994).The results of this research suggested that whilemost studies on irrigation management refer to auniform water user (male or female), in reality atthe household scale, men and women oftenassume very different roles in water management,which can be parallel, complementary, or even inconflict with one another. As a result, theinterests and impacts of irrigation managementtransfer can vary significantly across gendergroups. Yet, in many cases women are excludedfrom official representation in farmer organizationsand thus their concerns and interests are nottaken into account (Merrey 1997). IWMI researchthus concluded that “women’s exclusion…, is‘deeply constraining’ and the simultaneousempowerment of men in local communities anddis-empowerment or marginalization of womenmay have serious impacts on women’s well-being” (Merrey 1997). Similar findings were alsonoted in a more recent study in Mexico on genderand irrigation (Buechler and Zapata 2000), inwhich research in the Bajío and the Laguneraregions again stressed the important, yet ofteninvisible, role of women in irrigated agriculture.

While one of the key objectives of theresearch studies noted above was raisingawareness among irrigation managers,policymakers, farmer leaders and researchersabout the role of gender in irrigation, it soonbecame clear that there was also a need to helptranslate positive intentions into concrete action.There was, however, a lack of adequate generic,policy-relevant concepts to accommodate thevast variation in irrigation contexts worldwide. Tofill this gap IWMI pioneered the GenderPerformance Indicator for Irrigation (Van Koppen2002). This sociological tool diagnoses thegendered organization of farming and gender-based inclusion or exclusion in irrigationinstitutions. It informs irrigation agencies as towhat they can do to support effective change, ifnecessary. The tool also identifies gender issuesbeyond a strict mandate of irrigation waterprovision. The Indicator has been applied andtested by IWMI in nine case studies in Africa andAsia, and serves as one of the few genderstudies that offers a practical tool to guide theinterventions of policymakers, NGOs and seniorirrigation managers wishing to achieve greatergender equity in their development projects.

The IMT Interventions of IWMI

Despite the uncertainties of its economic andsocial benefits, IMT continued and continues tobe a major component of institutional reformprograms worldwide. The State of AndhraPradesh in India, for example, has implementedan ambitious program to transfer the managementof the bulk of the state’s irrigated area to wateruser groups. The state authorities are nowconsidering additional reforms that are needed torealize the full benefits of IMT. South Africarecently launched a program to transfer publiclymanaged irrigation schemes to farmerorganizations. Moreover, IMT efforts are currently

underway in Central Asia, transitional economiesof Southeast Asia, and several countries inEastern Europe. Thus, given the continueddemand for IMT programs, IWMI moved into asecond phase of IMT research in which theInstitute became more actively involved indrawing from past lessons (box 1) in an effort topromote more effective and sustainableimplementation of IMT programs in the future. Wesummarize below IWMI’s key policy-levelinterventions together with IWMI’s involvement inactual IMT planning and implementation in Asiaand Africa.

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Policy Level Interventions

Over the years, IWMI has supported IMT policydevelopment in several countries in Asia andAfrica. The most substantial involvement was inSri Lanka through the Irrigation ManagementPolicy Support Activity (IMPSA) in the early1990s. IMPSA was a pioneering effort to

institutionalize IMT. The project was launched incollaboration with the then Ministry of Lands,Irrigation and Mahaweli Development and theUnited States Agency for InternationalDevelopment (USAID), which funded the activitytogether with IWMI core support. The purpose ofthe project was to develop the Government of SriLanka’s participatory irrigation management policy,

Box 1: IWMI Recommendations for Effective Irrigation Management Transfer

Based on its analysis of global IMT experiences and impacts, IWMI developed and applied through itsprojects a set of recommendations to promote more effective IMT planning and implementation. Theserecommendations were later formalized into IMT guidelines, which are described in more detail below.

Contextual Prerequisites

1. Strong political commitment to improve the performance of irrigation schemes through wateruser associations.

2. Legal and regulatory frameworks for sustainable water management.3. Infrastructure that is compatible with the water service and local management capacities.4. Complementary programs aimed at enhancing the income-creation potential of smallholder

farmers in order to support the additional cost and responsibility associated with farmermanaged irrigation systems.

Organizational Structure

5. Clearly defined management functions and assignment of authority, which takes into accountthe rights and responsibilities of both male and female farmers.

6. Replacement of administrative organizations with accountable service delivery organizations.7. Recognition of irrigation systems as multi-use water service systems that function within a

framework of integrated river basin management.8. Viable and timely conflict resolution mechanisms.

Empowerment of Water User Associations

9. Clear rights of WUAs to use and maintain irrigation infrastructure.10. Clearly recognized and sustainable water and land use rights.11. Authority of WUAs to mobilize resources for O&M, including the right to levy irrigation service

fees from farmers.12. Federations of WUAs at the main irrigation system level and representation of WUAs in river

basin councils.

Support Services and Capacity Building for WUAs

13. Formal responsibility of irrigation agencies to build capacity and provide support services toWUAs, including:13.1. Demand-driven agricultural extension assistance.13.2. Fair access to markets and related information.13.3. Financial and technical assistance for repair and improvement of irrigation structures.13.4. On-the-job training of WUA leaders in financial management, bookkeeping and simple

accounting; preparing irrigation service plans and O&M budgets; determiningappropriate levels of irrigation service fees; conducting financial audits; and applyingnew management tools.

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and it brought together national and internationalresearchers and practitioners as well as localfarmer representatives. The project resulted inseveral policy papers and special reports, whichserved as the key reference documents in a seriesof policy dialogues facilitated by IMPSA. Inaddition, over 50 working papers were reviewedand discussed at several workshops in an effort tocreate broader consensus for the proposed policiesand implementation procedures (Merrey 1997).The recommended policies covered jointmanagement and transfer arrangements toenhance farmer participation in irrigationmanagement and financing policies. Further, theIMPSA policy papers recommended arestructuring of the nearly century-old IrrigationDepartment and the establishment of an IrrigationManagement Division (IMD) to implement thenational IMT policy.

Beyond the IMPSA project, IWMI was alsoinvolved in IMT policy development in Nepal. Asin Sri Lanka, IWMI provided policy advice for anational IMT program with support from the FordFoundation in the mid-1990s. As part of theproject, IWMI was requested to providerecommendations to be disseminated throughresearch reports, policy briefs and workshops onIMT processes and policies to promote a moreeffective transfer of management responsibilities.IWMI was also invited by USAID and the NepaliMinistry of Public Works of Egypt to assist theMinistry in planning and implementing a policy forcost recovery and financing irrigation services(Merrey 1997).

More recently, IWMI has offered assistance tothe Governments of Cambodia and South Africa tosupport irrigation management reforms. InCambodia, at the request of the Ministry of WaterResources and Meteorology, IWMI has beenformulating a strategy for implementingparticipatory irrigation management anddevelopment. In South Africa, IWMI has workedclosely with a range of local partners and hasbeen instrumental in assisting the government inthe development of water resources managementand agricultural water use policies to empowerhistorically disadvantaged smallholder farmers and

other agricultural water users, and in particular,women and children in the former homelands ofSouth Africa. While IWMI has been involved inmany aspects of the policy reformulation, itsspecific IMT related contributions includepolicy-focused research outputs concerning thetransformation of former white Irrigation Boards tomore inclusive Water User Associations andCatchment Management Agencies.

Operational Interventions

In addition to policy-level interventions, IWMIhas also been involved in action researchprojects to support the implementation of IMTpolicies. Within this area of research, IWMIparticipated in two major projects in Pakistanand Sri Lanka. In the former, IWMI launchedfour pilot studies between 1995 and 2000 toestablish Water User Federations (WUFs) at thedistributary canal level in the Punjab and Sindhprovinces. In the Punjab province, the pilot WUFwas established in the Hakra 4R Distributary,which was followed by pilot WUFs in threeselected distributary canals in the SindhProvince. The pilot project in the Punjab wascarried out in collaboration with the PunjabIrrigation Department with support from theGovernment of the Netherlands. The three pilotWUFs in the Sindh were similarly in collaborationwith the Sindh Irrigation Department and theProvincial On-Farm Water ManagementDirectorate with support from the World Bank(Bandaragoda 1999; Jehangir pers. comm. 2004).

In Sri Lanka, the IMPSA participatory policydevelopment methodology described above wasused to develop a USAID/Government of SriLanka-funded watershed management projectentitled Shared Control of Natural Resources(SCOR), which was implemented over the period1993 to 1998. Though not a specific IMT projectper se, the SCOR project served to complementIWMI’s IMT efforts to promote stakeholderparticipation in watershed management. Theoverall objective of SCOR was to improvelivelihoods and the natural resource base within

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IMT Guidelines

Finally, to capitalize on the lessons learned fromthe past IMT experiences and to make theinformation more broadly available, IWMI alsodeveloped a series of generic decision-making andoperational guidelines for IMT and theestablishment of water user associations. Interms of general IMT reform, IWMI and the Foodand Agriculture Organization of the United Nations(FAO) produced a handbook entitled Transfer ofIrrigation Management Services: Guidelines(Vermillion and Sagardoy 1999). The publicationdraws upon IWMI’s worldwide experience withirrigation management transfer. The manual offersguidance to policymakers, planners, technicalassistance experts and other stakeholders as tothe conditions under which a country should adoptan IMT program and the principles and methods foreffective design and implementation. Morerecently, IWMI together with the ScientificInformation Center: Interstate Commission forWater Coordination in Central Asia, with thesupport of the Swiss Agency for Development andCooperation, published guidelines for establishingwater user associations (IWMI/SIC ICWC 2003)and an accompanying manual on socialmobilization and institutional development (UlHassan and Nizamedinkhodjaeva 2003) for use inCentral Asia. Unlike the IWMI/FAO guidelines,which are globally applicable, these publicationswere prepared to address specific IMT reformissues faced within the Central Asian context.

the study sites and beyond by generatinggeneric institutional lessons for the sharedmanagement of land and water resources. Thebasic premise of the project was that aprogressive increase of users’ share of controlover natural resources (particularly land andwater) is a vital means of guaranteeing moreproductive, profitable, equitable, and sustainableagricultural production. IWMI implemented theproject in two watersheds in Sri Lanka. Withinthe two study sites, the project aimed to testappropriate technologies, organizations,strategies and approaches for reducing orremoving identified constraints on sustainableproductivity in rural watersheds. Simultaneously,the project sought to strengthen the capacitiesof local and provincial level institutions whilecreating an overarching national policyframework in support of the shared control ofnatural resources management. While the projectcontained elements of research, it was in manyrespects a development project implemented byIWMI and thus represented a non-traditional rolefor the Institute.

To a lesser extent IWMI also worked withthe Governments of Indonesia and Nepal in theimplementation of IMT reform programs. UnlikePakistan and Sri Lanka, however, IWMI’s rolewas confined to monitoring and evaluating thetransfer processes. In both cases, IWMIconcentrated its efforts on the broaderinstitutional support mechanisms needed tofoster more effective transfer processes.

The objective of IWMI’s research on IMT was toimprove the global knowledge base on IMTexperiences and impacts. Given the results ofIWMI’s studies and the fact that IMT wascontinuing despite its mixed track record, IWMIcommenced a complementary set of projects to

capitalize on the lessons learned from the past toimprove IMT reform processes in the future.Through this latter set of projects IWMIdeveloped decision support tools, guidelines, and,in some cases, became involved in on-the-groundimplementation. As noted above, IWMI’s role was

Study Objectives and Methodology

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not to advocate irrigation turnover, but toobjectively assess the results of past IMTexperiences for the benefit of futuredecision-making and action. Thus, the focus ofthis study is to measure, to the extent possible,the outcomes of IWMI research on the overallIMT knowledge base and on IMT policy andoperations in specific countries where IWMIplayed a direct role in shaping or implementingIMT reform.

To carry out this assessment, we haveorganized our analysis around three hypothesizedareas of influence from IWMI-IMT relatedactivities, namely:

♦ Raised awareness of new research,

♦ Employment of improved policies, and

♦ Employment of improved techniques.

These three outcomes are drawn from alarger typology developed by IWMI to assist itsresearchers and management in tracking andmeasuring research outcomes and impacts(Annex 2). The typology, schematicallyrepresented in figure 1, focuses on seven broad

FIGURE 1.Outcome pathways.

outcomes that IWMI, together with its partners,can reasonably anticipate, track and measure.A set of vehicles for achieving impact as well asa set of sample indicators and measurementtechniques are included in the typology. Thetypology thus serves as a planning andmonitoring tool to assess progress along theimpact pathway from project outputs towards theachievement of the Institute’s overarchingmission of improved management of land andwater resources for food, livelihoods and nature.The typology, and figure 1, also distinguishbetween direct and indirect pathways. While withthe former, IWMI research outputs raiseawareness about new knowledge and offerpolicymakers and resource managers bettertools to improve their decision-making; the latterenables IWMI’s stakeholders to draw onpartnerships, networks and strengthenedcapacity, which in turn may foster broaderapplication of IWMI’s research results.

Before describing the specificmethodological framework applied in this paper,we must first emphasize the reasons forfocusing on research outcomes rather than

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impacts, i.e., not conducting a cost-benefitanalysis with a rate of return on IWMI’s researchinvestment. First, for research activities ingeneral there are long and variable time lagsbetween the actual research project and ameasurable change in related policies andpractices (Alston et al. 1995; Smith 1998). WhileIWMI’s research on IMT began in the early1990s, most of the key recommendations andinterventions date back just five to seven years.Second, establishing the attribution betweenIWMI’s research and the adoption of theirfindings by policymakers is difficult (Ryan 2004).Third, an assessment of the economic benefitsis limited by the lack of baseline data andresources available to collect them. Asdiscussed in the conclusions below, IWMI isnow addressing this latter issue for its researchportfolio in general; and, for the past IMTprojects in particular, a larger, formal impactstudy in the future may allow us to overcomethis challenge.

Even in advance of a formal cost-benefitanalysis, it is nonetheless useful to hypothesizethe counterfactual situation for IWMI’s IMTresearch program as a whole. As noted above,prior to IWMI’s involvement, no comprehensivestudy had been conducted to document the pastsuccesses and failures of IMT reform. We positthen that by offering an impartial analysis ofpast IMT successes and failures at a relativelyearly stage, followed by informedrecommendations and decision support tools,IWMI helped to reduce the transaction costsassociated with IMT planning andimplementation and increased the likelihood oflonger-term success of IMT reforms. While weare unable to prove this assertion, the outcomeanalysis below provides some insights on theinfluences of IWMI’s research on IMT to date. Inthe future, once sufficient time has passed sinceIWMI’s interventions, we hope a more in-depthimpact assessment could be conducted toformally test this hypothesis.

The methodology employed for this studydraws on the general IWMI outcome assessmentframework described above and utilizes a host

of quantitative and qualitative measurementtechniques to assess the influence of IWMI’sresearch on IMT knowledge, policies and actionsto date. The study begins with an internal reviewof the knowledge generated by IWMI on IMTthrough research publications, workshopproceedings and paper presentations. We thenattempt to measure the demand for, use andestimated implications of IWMI’s research onIMT at various scales and by various users.Proxy indicators, such as bibliometric andwebsite download (webmetric) analyses, areused to measure the demand for IWMI’sresearch products on IMT. More direct indicators,such as feedback from structured questionnairesurveys are used where IWMI’s involvementwas more explicit through action research oractual project implementation. We summarize intable 2 the techniques employed for each of thethree outcome types tested. Specific details ofeach step in the methodology and the resultantoutcomes are provided in the next section.

Results and Discussion

For each of the three outcome types, wedescribe below the results of our assessment ofIWMI contributions to IMT knowledge andapplication through the projects and relatedoutputs summarized above. For raisedawareness, we utilize proxy indicators tobroadly estimate the demand for and use ofIWMI’s research products on IMT. For the othertwo categories—employment of improvedpolicies and employment of improvedtechniques—we limited our assessment tothose regions/countries where IWMI played arelatively large role in IMT policy reform andimplementation.

Raised Awareness of New Research

As described above, IWMI has developed a largebody of literature on irrigation managementtransfer. The literature ranges from initial

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assessments of IMT as a method to improve themanagement of agricultural water resources(e.g., Vermillion 1997), to gender analysis (e.g.,Van Koppen 2002) and the impact of IMT onpoverty (e.g., Van Koppen et al. 2002), toevaluations and assessments of past IMTexperiences and from that related implementationand policy recommendations (e.g., Kloezen et al.1997; Svendsen and Nott 1997; Vermillion andGarcés-Restrepo 1998, Vermillion et al. 2000). Toassess the extent to which IWMI’s literature onIMT resulted in raised awareness within thescientific community, we conducted a bibliometricassessment using Google Scholar™ (Beta) (http://scholar.google.com/) as well as an analysis ofwebsite downloads of IWMI’s research productson IMT. Google Scholar covers a wide variety ofpublications, from peer-reviewed journal articles totechnical reports and other non-peer reviewedpublications. As a relatively new search engine,gaps still remain in the availability of articles onGoogle Scholar. However, as of July 2005, 50percent of IWMI’s 251 IMT outputs wereregistered on the site. For these 126 outputs, the

Google Scholar search documented 529 totalcitations, of which 65 percent were fromnon-IWMI authors (table 3). The largest number ofcitations was of IWMI’s Research Report seriesand peer reviewed journal articles. The singlemost cited publication was IWMI’s IMT synthesisreport (Vermillion 1997), which received 25citations from non-IWMI authors.

An assessment of downloads from the IWMIwebsite indicated potentially even broaderdemand for IWMI’s research on IMT. For thisanalysis, we first reviewed raw statistics ofwebsite downloads4 from the IWMI internet sitefor the period January 2000 to July 2005 (theperiod for which web statistics are available fromthe CGNET5). During this period, 18 IIMI/IWMIResearch Reports and 5 IWMI Working Paperson IMT, dating from 1996 to 2003, ranked withinthe top 50 monthly downloads from the IWMIwebsite, with over 29,000 total downloads ofthese 23 publications during the period.

A more detailed analysis of websitedownloads was conducted for the period Octoberto December 2003. For this time period the

TABLE 2.Summary of techniques employed to test each of the three outcome types.

Outcome type Target audience IWMI vehicle to achieve impact Measurement tool employed

Raised awareness of Academics, • IWMI IMT publications • Bibliometric/webmetric assessmentsnew IMT research Policymakers • IWMI presentations/

workshops on IMT

Employment of Policymakers • IWMI IMT publications • Internal and external source documentsimproved IMT policies (indirect) • Qualitative feedback

• IWMI action research • Demand for IWMI assistance onprojects (direct) IMT from international organizations

and national governments• Feedback via structured survey

Employment of Canal irrigators, • Pilot studies to establish • Adoption of IWMI recommendationsimproved IMT WUAs, WUAs through WUA pilot studiestechniques/institutions Local NRM groups • SCOR project • Adoption of SCOR interventions

implementation • Feedback via structured survey• Development of IMT and • Webmetrics and other feedback on

WUA guidelines IMT/WUA guidelines• Demand for IWMI assistance

4 Publications on IWMI’s website are stored as Adobe™ Portable Document Format (PDF) files. The number of downloads indicatesthe number of times the file was successfully copied by a user. If an error occurred during the transfer, that transfer is not counted.5 CGIAR Network Services International (CGNET), a privately held company that provides internet, email and other web services to theCG Centers and others.

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CGNET was able to provide ISP addresses,country and city information of IWMI’s webusers. During this 3 month period, over 1100downloads6 of IWMI Research Reports (853) andWorking Papers (283) on IMT were recordedfrom institutions and individuals in developedcountries (70%) and developing countries/countries in transition (30%). Although most ofthe ISP addresses were generic (e.g.,commercial search engines or state telecomlines), we were able to document over 170downloads from universities and researchorganizations, approximatelyone-third of which were from developingcountries/countries in transition.

While there are a number of caveatsassociated with webmetrics, it can serve as anindication of current and potential “usage impact”(Brody et al. 2006). In fact, recent researchsuggests a correlation between downloads ofacademic articles and subsequent citations. Forexample, Brody et al. (2006) in an analysis ofphysics and mathematics literature, found a

significant correlation (0.4) between citations andarticle downloads. A positive correlation betweencitations and downloads was also found in twostudies of papers published in the British MedicalJournal (Perneger 2004) and in the Journal ofFinance (Pinkowitz 2002). A further benefit ofwebmetrics is that it can capture (albeitimperfectly) other forms of usage apart frompublications, e.g., use by practitioners (Pinkowitz2002; Brody et al. 2006). While more research isclearly required to determine if these findings canbe translated to the field of Natural ResourcesManagement (NRM), webmetrics coupled withfeedback from the actual downloaders themselvesmay serve as useful early indicators of NRMresearch impact.

Employment of Improved Policies

To test the influence of IWMI’s research on IMTthe employment of improved policies in Sri Lankaand Nepal,7 we utilized both direct and indirect

6 All downloads from IWMI are excluded from this figure.7 We focus here on IWMI’s policy interventions in Sri Lanka and Nepal only as it is too early to assess the outcomes of IWMI’s morerecent IMT policy projects in Cambodia and South Africa.

TABLE 3.Summary of Google Scholar citations of IWMI IMT publications.

IWMI’s research products on IMT Citations

Registered Percentage By PercentagePublication category Total in Google registered Total non-IWMI non-IWMI

(%) authors authors (%)

IWMI research reports 21 19 91 141 107 76

Journal articles (peer reviewed) 24 22 92 114 81 71

Workshop papers and proceedings 79 29 37 88 49 56

IWMI short report series 15 15 100 50 24 48

Other IWMI research/policy brief series 69 23 33 59 30 51

Books and book chapters 16 9 38 36 22 61

Monographs, technical reports, case studies 12 7 58 36 29 81

IWMI project reports and unpublished reports 12 2 16 5 3 60

Journal articles (non-peer reviewed) 3 0 0 0 0 0

Total 251 126 50 529 345 65

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measurement techniques. In Sri Lanka, weexamined the outcomes of the IMPSA projectimplemented in the early 1990s. According toIWMI sources, following the IMPSA project, thegovernment amended the Agrarian Services Actto provide legal recognition to farmerorganizations. The government also amended theIrrigation Ordinance to legalize the role of farmerorganizations in all major government ownedirrigation schemes. Further, IWMI projectdocumentation and later follow-up studies indicatethat specific policy reforms proposed by theIMPSA project have been gradually applied overthe past decade. For instance, the IMPSArecommendation to restructure the MahaweliAuthority of Sri Lanka, which manages thecountry’s largest multi-purpose water resourcesdevelopment project, is currently beingimplemented. More importantly, in 2000 thegovernment took action to implement a majorIMPSA recommendation to establish a NationalWater Resources Council to formulate“a comprehensive water policy that looks at waterin a holistic way, to put water to the mostbeneficial use at the least cost, so as toconserve it without degrading the environmentand sustaining it for future generations as well”(IIMI 1992; Nanayakkara 2003).

IWMI’s other major policy-level interventionwas in Nepal, where the institute assisted withthe country’s IMT reform program. Since IWMI’sinvolvement in the mid-1990s, many of IWMI’srecommendations have been incorporated intoNepal’s new Irrigation Regulation 2056. Specificreferences to IWMI recommendations within theRegulation include:

• Government support for building capacityof WUAs (Clause 5, Section 2).

• Promotion of record keeping by WUAs(Clause 5 and 6).

• Government assistance in regulating waterquality control, environmental protectionand security of water rights (Clause 5, 12,16, 21, 24, 39, 40, 43, and 45).

• Retention of significant resourcecontributions to invest in Operation andMaintenance (O&M) (Clause 9).

• Provisions for forming joint committees(WUA and government agency) to fixirrigation service fees in irrigationsystems (Clause 26).

• Establishing user fees that take intoaccount O&M costs (Clause 28).

• Applying variable rather than constant flatrate fee systems (Clause 28) (IWMI 2000).

Additionally, on the basis of IWMI’s andothers’ research findings related to gender andirrigation management transfer, Nepal’s nationalirrigation policy now officially supports the role ofwomen farmers in water management bystipulating that female farmers constitute at leastone-third of WUA membership (IWMI 2000).

Employment of Improved Techniques

To assess the adoption of IWMI supported IMTtechniques by canal irrigators, water userassociations, and community resourceorganizations, we examined the outcomes ofIWMI-led action research projects in Pakistan, SriLanka and Indonesia. We also reviewed thedemand for and use of global and regional IMTguidelines to which IWMI has contributed.Measurement tools for this outcome categoryincluded qualitative feedback, structuredquestionnaire surveys and webmetrics.

Outcomes from IWMI WUA Pilot Studies inPakistan

For the Pakistan study, we examined theprogression of water user associations in twoprovinces following IWMI’s pilot interventions.According to IWMI researchers in Pakistan,the provincial government has adopted the IWMImodel in the three study canals since IWMI’s pilotFarmer Organization programs in Sindh.

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Furthermore, the lessons from the pilot study havehelped in the formation of IMT policy elsewhere inthe province (Jehangir pers. comm. 2004; Memonpers. comm. 2005). Developments in this area arenow continuing as part of a larger IMT reformprocess in the entire Sindh irrigation system thatbegan in late 1995 with the support of the WorldBank. As part of this, the Sindh Assemblyapproved an Act, shifting the responsibilities forthe management of the irrigation and drainageinfrastructure, from the centralized ProvincialIrrigation and Power Department to the SindhIrrigation and Drainage Authority (SIDA), AreaWater Boards, and Farmer Organizations (FOs).To carry forward the reform process, the Sindhgovernment has set a goal of establishing over1300 Farmer Organizations in 14 canal systems.As of April 2004, SIDA had registered 196 FOs,and management responsibilities had beentransferred for 154 of these. As these FarmerOrganizations are established, IWMI has beenasked to assist SIDA in related capacity buildingactivities (Jehangir pers. comm. 2004).

In the case of Punjab, following IWMI’sintervention and the actual transfer of irrigationmanagement responsibilities in May 2000, thePunjab Irrigation and Drainage Authority (PIDA)announced the Pilot Area Water Board in LowerChenab Canal East. As a result, work is now inprogress to transfer irrigation managementresponsibilities to 22 FOs. As in Sindh, IWMI hasagain been approached to assist PIDA in thecapacity building of these FOs (Jehangir pers.comm. 2004). While we cannot directly attributethe developments in Sindh and Punjab to IWMIinterventions, the direction of change is consistentwith IWMI recommendations. Further, the fact thatIWMI is again being asked to assist in future IMTactivities is a strong indication of the use ofIWMI’s research findings by policymakers.

Outcomes of SCOR institutional interventions

While not a specific IMT project per se, theSCOR project was a complementary researcheffort that drew on IWMI’s knowledge productson IMT. Through its IMT research, IWMI focused

extensively on collective action by farmers forirrigation management. A key institutionalinnovation under the SCOR project was to extendthat concept to community/user participation inother areas of natural resources management.The specific institutional interventions promoted inthe SCOR project were:

• Strengthening the capacity of resourcegroups to participate in natural resourcesmanagement,

• Improving tenure arrangements for landand other resources to achieve bothincreased production while conserving thenatural resource base,

• Strengthening the capacities ofgovernment agencies, NGOs and privatesector organizations in natural resourcesmanagement, and

• Improving the coordination and linkagesbetween state agencies, NGOs, and otherstakeholders involved in the managementof natural resources.

To test the outcomes of the SCORinstitutional interventions, we utilized keyinformant interviews, focus group discussions,informal interviews with farmers, and astructured questionnaire survey involving 187farmers. In contrast with the Pakistan pilotproject, the SCOR institutional interventions,which as in Pakistan were aimed to promotegreater local control over natural resourcesmanagement, appear to have been much lesssuccessful following the conclusion of projectactivities. Based on the comments receivedfrom the interviewees, with the exception of afew sites, the sustainability of the SCORinstitutional interventions were negligible. Forexample, while two-thirds of the surveyrespondents are currently members of resourceuser groups, only 4 percent are members of theresource user groups established by the SCORproject. The reasons given are manifold butrelated more to implementation deficiencies thanto a lack of intrinsic worth of the institutionsthemselves. Many of the interviewed SCOR

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farmers claimed for instance that they did nothave the right understanding of the objectives ofthe project from the very beginning, andconsidered the project more of a short-term aidoperation than a longer-term participatoryresearch and extension project. A second reasongiven for the lack of continuity of the SCORcreated institutions was the drastic change inthe administration of farmer organizationsfollowing the change in government in 2001.Finally, several farmers explained that thelonger-term goals (and potential benefits) of theSCOR project were difficult to balance withshort-term household subsistence needs.

The study found that the villages that havecontinued to implement the SCOR institutionalinnovations are largely characterized by severewater shortages and, perhaps as a result, tend tohave strong leaders of the local farmerorganizations. Benefits in terms of farmer creditand other institutional gains appear to havecontinued for these villages. However, it must benoted that in these villages the organizations arenot performing according to the originally plannedor stated functions of SCOR.

One notable success recorded in theinterviews relates to the role of the ResourceUser Organizations in one of the project studywatersheds. Prior to the SCOR project, thefarmers in this region had no legal right to usethe water from Mahaweli system. The results ofthe field survey, however, suggest that followingthe establishment of the SCOR sponsoredResource User Organizations, the farmers wereable to lobby and become the legal users of theMahaweli irrigation system. As a result, thesurvey respondents indicated that the croppingpattern and intensity have changed, the cultivatedarea has increased, and the demand for shiftingcultivation has significantly declined. Hence, thismay be a case where the knowledge generatedby IWMI’s research on IMT has indirectly led toimproved water productivity and a more equitableaccess to resources. However no quantification oreconomic valuation of these effects could becarried out in the context of this study.

Results from IWMI IMT Interventions inIndonesia

As noted above, IWMI’s involvement inIndonesia at the operational level was largelylimited to monitoring and evaluating the transferprocess. IWMI was specifically involved in fourpilot projects in two provinces through atechnical assistance program funded bythe Asian Development Bank. To assess theoutcomes from IWMI’s interventions, wecirculated a structured questionnaire survey to10 government agencies, researchorganizations and water user associationsinvolved in the pilot projects. Of the 8respondents, 5 indicated that therecommendations made by IWMI during thepilot studies had influenced the subsequentimplementation of IMT policy in Indonesia.Specifically, the respondents highlighted theinfluence of IWMI recommendations concerningthe involvement of farmers in IMT planning andimplementation, the need for continued agencysupport for WUAs and Farmer Organizationsfollowing irrigation turnover, and the importanceof supporting legal frameworks to strengthenand empower WUAs.

Employment of IWMI WUA Guidelines

A final test of IWMI influence at the operationallevel involved an assessment of the demand forand use of IWMI authored guidelines on IMT andthe establishment of WUAs. We focused thisanalysis on the IWMI/FAO IMT guidelines(Vermillion and Sagardoy 1999) and the tworeference documents on the establishment ofwater user associations in Central Asia (IWMI/SIC ICWC 2003; Ul Hassan andNizamedinkhodjaeva 2003). To gauge theinfluence of these guidelines we utilized FAOpublication statistics, web downloads of theCentral Asia guidelines and circulated astructured questionnaire survey on the use ofboth the FAO/IWMI and WUA guidelines forCentral Asia.

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and for addressing legal issues” (PA GovernmentServices 2005, v).

As both sets of guidelines are practical innature, we also circulated a structuredquestionnaire survey to government agencies,universities and NGOs in eight countries9 inSouth, Central, and Southeast Asia where IWMIhas undertaken IMT research activities to assessthe awareness and application of the IMT andWater User Association guidelines. Specifically,the questionnaire recipients were asked abouttheir awareness of IWMI’s guidelines and whetherthey had used the guidelines for implementingIMT programs in their respective countries.A total of 44 questionnaires were distributedamong 26 respondents from seven countries.Half of the respondents were aware of the IWMI/FAO IMT guidelines and nearly all respondents inCentral Asia were aware of the Water UserAssociation and Social Mobilization andInstitutional Development guidelines.

The survey results indicated that theguidelines were particularly popular in CentralAsia where IMT is a more recent policyintervention to help transition fromstate-dominated to more participatory forms ofirrigation management. Out of these sevenrespondents, all but one had utilized one or moreof the guidelines for training, operational, and/orreference purposes. Further, the respondentsindicated that they had used the guidelines toestablish over 250 water user associationsthemselves and had recommended the guidelinesto nearly 55 other institutions, basin authorities,and individuals. The specific benefits of theguidelines as noted by the respondents fromCentral Asia and elsewhere include:

• Improved understanding of institutionalreform and farmer participation inirrigation management (66.7%),

• Improved project design and management(50%),

According to FAO statistics, a total of 5700copies of the IWMI/FAO guidelines have beenproduced and distributed since 1999. Thisincludes 4100 in English with an additional 1600in Spanish, French and Russian (Munoz pers.comm. 2005). Further information on the use ofthese guidelines is provided below.

In contrast with the IWMI/FAO guidelines,IWMI’s guidelines on the establishment ofwater user associations in Central Asia weredisseminated primarily through the IWMI website.The results of our website analysis indicate thatsince the release of the guidelines in March 2004,they have consistently ranked in the top tendownloads each month, with downloads of theEnglish language version averaging around 475/month.8 We understand that the popularity of theEnglish language version, when compared withthe local language translations, stems from thefact that many international NGOs are nowutilizing the guidelines with their local partners.For example, the IWMI-Central Asia office hasbeen contacted by several NGOs and otherdevelopment agencies including ACTED, MercyCorps and GTZ, who have confirmed theirapplication of the guidelines in Tajikistan,Uzbekistan and Azerbaijan (Ul Hassan pers.comm. 2004). ACTED in particular noted theirappreciation of the ease with which the guidelinescan be understood and applied and the utility oflocal language translations (Gulomjanov pers.comm. 2005). In addition, the Asian DevelopmentBank has drawn from IWMI’s WUA guidelines toprepare WUA training manuals and has furtherrecommended IWMI guidelines to the Agha KhanFoundation’s Microfinance and SocialDevelopment Support Project and to CARE inTajikistan (Shafique pers. comm. 2005). A recentexternal review of the project also highlighted theSocial Mobilization and Institutional Developmentguidelines as one of the major achievements ofthe project “for establishing WUAs and CWCs(Canal Water Committees), for conflict resolution,

8 The WUA guidelines have also been translated into Russian, Tajik, Uzbek, and Kyrgyz.9 The eight countries include Sri Lanka, India, Nepal, Pakistan, Indonesia, Uzbekistan, Tajikistan and the Philippines.

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• Improved quality of work (50%),

• Facilitation of the establishment ofeffective WUAs (33.3%),

• Enhancement of the effectiveness of theproject implementation (33.3%), and

• Reduction of operational cost (16.7%).

Although the results draw from a smallsample size, this feedback suggests that the useof and benefits from the guidelines have not beeninsignificant.

Conclusion and the Lessons from IWMI’s Research on IMT

During the last two decades many governmentshave taken steps to transfer irrigationmanagement responsibility to farmer or otherlocal organizations. This action has been basedon the premise that involving farmers in irrigationmanagement decisions will improve theaccountability of the irrigation service to farmers,result in more effective service provision,motivate farmers to invest more in maintainingirrigation systems and, ultimately, make irrigationsystems and irrigated agriculture moresustainable. Since the early 1990s, IWMI hastried to inform this process by documenting pastexperiences and impacts of IMT in a number ofcountries throughout the world, and, based on theresults of this research, by offering guidelines,policy advice and technical support for futureIMT decision-making and application.

In this paper, we have described both thebackground of IWMI’s research on IMT andrelated interventions and have attempted toassess the outcomes from these contributions.The analysis did not focus on the overallsuccess of IMT, as that was indeed the objectiveof the first phase of IWMI’s IMT researchprogram. Instead, the paper concentrated onIWMI’s influence on the global IMT knowledgebase as well as on IMT policy and operationaldecisions. More specifically, the analysis focusedon three hypothesized outcomes of IWMI’sresearch on IMT, namely, raised awareness,improved policies, and improved techniques. Themethodology applied in this study drew from a

broader conceptual framework and typologydeveloped by IWMI for NRM outcomeassessment and utilized a range of direct andindirect measurement tools.

While we did not apply a traditionalcost-benefit analysis to quantify IWMI’s impact forthe reasons noted above, the application of arange of direct and indirect measurementtechniques suggest an overall positive contributionfrom IWMI to IMT theory and application. Theresults of the bibliometric and webmetric analysessuggest a large and continuing demand for IWMIresearch products on IMT. Direct and indirect datasources also indicate that IWMI policy andoperational level interventions have in generalcontributed positively to IMT decision-making andaction both nationally, through action researchprojects, as well as regionally and globally,through the development of generic IMTguidelines. Finally, continued demand for IWMIinvolvement in IMT action research serves as animportant indicator of IWMI’s past contributions.Requests for IMT and participatory irrigationmanagement research and training activities ofIWMI were already noted above with regard toCambodia and Pakistan. In addition, the stategovernments of Andhra Pradesh and Maharashtrain India recently requested IWMI to help addresscertain second generation problems associatedwith IMT. IWMI, at the request of the nationalgovernment, is providing policy-level support inSouth Africa as well as the country reforms itswater laws and institutions.

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Finally, in addition to analyzing thecontributions of IWMI’s research on IMT, thisstudy has also highlighted importantprogrammatic and operational lessons.Programmatically, the results of the SCORoutcome assessment suggested a need for IWMIto better clarify its position vis-à-vis its partnerson the research-development continuum. Whilethe assessment of SCOR’s technicalinterventions yielded somewhat more positiveresults, the overall performance of the SCORproject was substantially lower than thestandards IWMI set out to achieve. Theinterviews carried out as part of the outcomeassessment suggested that some of the reasonsbehind the poor uptake of the SCORinterventions included a need for strongercapacity building for the newly createdinstitutions and a clearer understanding of theoverall goals and objectives of the project.As mentioned above, IWMI played a somewhatunusual role in this particular project, focusingmore on knowledge application than its traditionalknowledge generation function. Since the SCORproject and as part of the IWMI Strategic Plan2004-2008, IWMI has endeavored to more clearlydefine the roles for itself and the complementaryroles of NGOs and other developmentorganizations with whom it partners. Specifically,the 2004-2008 Strategic Plan outlines and setsout a plan for the institute to develop strongerrelationships with appropriate developmentpartners (NARES, local NGOs, InternationalNGOs) who can draw from the knowledgegenerated by IWMI and its partners and betterenable its application.

Operationally, the study offers importantinsights for future outcome and impact studies.One key lesson is that proper ex-post evaluationrequires careful planning and monitoring before,during and after the project lifecycle. Thedifficulties encountered in this study in accessingbaseline information have thus reinforced IWMI’sdecision to promote more informed outcome andimpact planning and monitoring as part of itsproject management system. Second, this studyhas attempted to demonstrate the value ofoutcome analysis as an intermediary steptowards impact assessment. As noted above,there are inherently long and variable time lagsbetween research and broader uptake. Trackingproject outcomes through a variety of qualitativeand quantitative means, however, allowsresearch organizations to assess at a muchearlier stage the general direction of projectinfluence, which in turn can be used to informfuture programmatic decision-making long beforeadoption studies are possible. This paper hasdemonstrated several techniques that may beapplied in future outcome studies, and hassuggested additional tools worth furtherexamination including webmetrics and internetsurveys. While formal impact assessments maynot be feasible for each and every project,some level of outcome analysis in every projectsupplemented by a representative sample ofimpact assessments will allow researchinstitutes, such as IWMI, to more effectivelymonitor the influence of its past projects andprograms and from that more effectively designfuture projects and programs for the benefit ofits stakeholders.

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21

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22

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23

No.

Stu

dy c

ount

ryS

tudy

met

hodo

logy

Impa

ct i

ndic

ator

sO

utco

mes

/con

clus

ions

Cita

tion

1G

loba

l (E

gypt

,•

With

-and

-with

out

•F

inan

cial

per

form

ance

(co

st t

o•

Exc

ept

in a

few

cas

es,

ther

e w

as a

gen

eral

impr

ovem

ent

inV

erm

illio

n 19

97P

hilip

pine

s, T

urke

y,co

mpa

riso

nsgo

vern

men

t, co

st t

o fa

rmer

s,fin

anci

al p

erfo

rman

ce.

New

Zea

land

,•

Bef

ore-

and-

afte

rm

anag

emen

t st

aff,

fee

col

lect

ion

•W

ater

dis

trib

utio

n ef

ficie

ncy

and

equi

ty (

oper

atio

ns)

have

sho

wn

Col

ombi

a, C

hile

,co

mpa

riso

nsra

tes,

bud

get

solv

ency

,im

prov

emen

t ex

cept

in a

few

cas

es in

Ban

glad

esh

and

the

Phi

lippi

nes.

Chi

na,

Mex

ico,

•R

evie

w o

f lit

erat

ure

dive

rsity

of

reve

nue

sour

ces)

•R

esul

ts r

egar

ding

the

sta

te o

f im

prov

emen

ts in

mai

nten

ance

Dom

inic

an R

epub

lic,

•Q

ualit

y of

ope

ratio

ns a

ndar

e m

ixed

.B

angl

ades

h,m

aint

enan

ce•

Agr

icul

tura

l pr

oduc

tivity

(cr

oppi

ng i

nten

sity

, cr

op y

ield

s an

dIn

done

sia,

Ind

ia,

•A

gric

ultu

ral

and

econ

omic

crop

ping

pat

tern

s) h

ave

show

n im

prov

emen

t ex

cept

in

the

Sud

anS

ri La

nka,

Nig

eria

,pr

oduc

tivity

and

a fe

w o

ther

cas

es o

f m

ixed

res

ults

.N

epal

, P

akis

tan,

•E

nviro

nmen

tal

sust

aina

bilit

y•

Res

ults

reg

ardi

ng p

rofit

abili

ty a

re m

ixed

.V

ietn

am, S

udan

,•

The

re a

re a

few

cas

es r

epor

ting

the

envi

ronm

enta

l im

pact

s of

IM

T,U

SA

, S

eneg

al)

the

resu

lts in

thi

s re

gard

are

als

o m

ixed

.•

In C

hile

, W

UA

put

pre

ssur

e on

pap

er c

ompa

nies

to

inte

rnal

ize

the

cost

of

pollu

tion.

•In

Col

ombi

a, f

arm

ers

wer

e or

gani

zed

to p

reve

nt d

efor

esta

tion

inth

e ca

tchm

ent

area

s.•

In t

he D

omin

ican

Rep

ublic

, fa

rmer

s ha

ve r

ever

sed

land

deg

rada

tion

and

soil

loss

and

sig

nific

antly

red

uced

hea

lth r

isks

pre

viou

sly

asso

ciat

ed w

ith w

ater

logg

ing

from

poo

r dr

aina

ge.

•In

Sen

egal

, IM

T h

as in

crea

sed

wat

er lo

ggin

g an

d sa

liniz

atio

n.

2C

olom

bia

•B

efor

e-an

d-af

ter

•C

ost

of ir

rigat

ion

to f

arm

ers

and

•R

educ

ed g

over

nmen

t ex

pend

iture

s.V

erm

illio

n an

dco

mpa

riso

nth

e go

vern

men

t•

Varia

ble

effe

cts

on t

he c

ost

of ir

rigat

ion

to f

arm

ers.

Gar

cés-

Res

trep

o•

Elic

itatio

n of

•S

usta

inab

ility

of i

rrig

atio

n•

No

chan

ge in

the

qual

ity o

f fin

anci

al m

anag

emen

t.19

96;

stak

ehol

ders

’(f

inan

cial

via

bilit

y an

d ph

ysic

al•

Gre

ater

wat

er u

se i

neffi

cien

cies

.V

erm

illio

n an

dpe

rspe

ctiv

esco

nditi

ons

of ir

rigat

ion

•D

eclin

e in

irrig

atio

n in

tens

ity a

nd p

oor

wat

er m

anag

emen

t.G

arcé

s-R

estr

epo

infr

astr

uctu

re)

•N

o cl

ear

or s

igni

fican

t ch

ange

s in

the

qua

lity

of ir

rigat

ion

1998

•Q

ualit

y of

wat

er d

istr

ibut

ion

oper

atio

ns.

(effi

cien

cy a

nd e

quity

of

wat

er•

Mos

t of

the

sch

emes

tra

nsfe

rred

app

ear

to b

e ph

ysic

ally

dist

ribut

ion,

and

pro

duct

ivity

sust

aina

ble.

of w

ater

)•

No

clea

r pr

oduc

tivity

im

pact

s.•

Dis

cont

inua

nce

of g

over

nmen

t su

bsid

y.•

Par

tially

suc

cess

ful i

n co

ntai

ning

cos

t of

man

agem

ent

and

bala

ncin

g bu

dget

.•

Act

ual c

ost

of ir

rigat

ion

to f

arm

ers

rose

slig

htly

.•

Larg

e m

ajor

ity o

f st

ruct

ures

are

ful

ly f

unct

iona

l or

in g

ood

phys

ical

con

ditio

n.•

Low

tot

al c

onve

yanc

e ef

ficie

ncy

and

redu

ced

deliv

ery

perf

orm

ance

rat

io (

poor

equ

ity o

f w

ater

dis

trib

utio

n).

•G

radu

al e

xpan

sion

of

irrig

ated

are

a.•

No

notic

eabl

e de

trim

enta

l im

pact

on

yiel

ds.

An

nex

1.

Sum

mar

y of

IIM

I/IW

MI’s

res

earc

h on

IMT

impa

cts.

(Con

tinue

d)

24

No.

Stu

dy c

ount

ryS

tudy

met

hodo

logy

Impa

ct i

ndic

ator

sO

utco

mes

/con

clus

ions

Cita

tion

3M

exic

o•

Bef

ore-

and-

afte

r•

Effi

cien

cy o

f w

ater

allo

catio

n an

d•

The

re w

as n

o di

scer

nibl

e di

ffere

nces

bet

wee

n pr

e- a

ndK

loez

en e

t al.

com

pari

son

dist

ribut

ion

(rel

ativ

e w

ater

sup

ply)

post

-tra

nsfe

r in

rel

ativ

e w

ater

sup

ply.

1997

•E

licita

tion

of•

Vol

ume

of w

ater

pum

ped

from

•A

ll fa

rmer

s re

ceiv

e su

ffici

ent

wat

er t

o m

eet

crop

req

uire

men

ts.

farm

ers’

the

aqui

fers

•B

riber

y ha

s de

crea

sed.

perc

eptio

ns•

Com

paris

on b

etw

een

annu

al•

The

atti

tude

of

agen

cy s

taff

tow

ards

irr

igat

ors

has

impr

oved

.re

char

ge l

evel

s of

aqu

ifers

and

•O

ver-

expl

oita

tion

of t

he a

quife

r or

ala

rmin

g hi

gh le

vel o

fto

tal v

olum

e pu

mpe

d (le

vel o

fex

cess

ive

use

of g

roun

dwat

er u

se.

expl

oita

tion

of t

he a

quife

rs)

•T

he le

vel o

f m

aint

enan

ce in

vest

men

t ha

s re

mai

ned

the

sam

e, b

ut•

Sys

tem

mai

nten

ance

the

qual

ity o

f m

aint

enan

ce s

ervi

ces

has

incr

ease

d.•

Fin

anci

al p

erfo

rman

ce•

The

num

ber

of s

taff

resp

onsi

ble

for

mai

nten

ance

has

dec

reas

ed.

•A

gric

ultu

ral

and

econ

omic

•A

ctua

l qu

antit

ies

of m

aint

enan

ce w

ork

has

incr

ease

d.pr

oduc

tivity

•T

he p

roce

ss o

f pa

ying

irr

igat

ion

fee

has

beco

me

less

cum

bers

ome.

•B

ribin

g ha

s be

en r

educ

ed:

Irrig

atio

n fe

e pe

r he

ctar

e pe

r se

ason

as

perc

enta

ge o

f gr

oss

valu

e of

pro

duct

dro

pped

.•

Fee

col

lect

ion

rate

has

dra

mat

ical

ly i

ncre

ased

:re

al O

&M

exp

endi

ture

s ha

ve i

ncre

ased

.•

The

obs

erve

d yi

eld

incr

ease

s ca

nnot

be

attr

ibut

ed t

o IM

T a

lone

and

the

chan

ges

in p

rodu

ctiv

ity v

alue

s of

land

and

wat

er c

anno

tbe

rea

dily

attr

ibut

ed t

o IM

T.

4In

done

sia

•B

efor

e-an

d-af

ter

•M

anag

emen

t ef

ficie

ncy,

•M

odes

t im

prov

emen

ts i

n m

anag

emen

t ef

ficie

ncy

and

Ver

mill

ion

et a

l.co

mpa

riso

nor

gani

zatio

nal v

iabi

lity

and

resp

onsi

vene

ss.

2000

•W

ith-a

nd-w

ithou

tsu

ppor

t sy

stem

s•

No

incr

ease

in c

ost

of ir

rigat

ion

to f

arm

ers:

turn

over

•O

pera

tiona

l pe

rfor

man

ce (

wat

erw

ater

dis

trib

utio

n sy

stem

eith

er i

mpr

oved

or

rem

aine

d po

sitiv

e.co

mpa

riso

ndi

strib

utio

n, i

rrig

atio

n in

tens

ity)

•U

nder

-inve

stm

ent

in m

aint

enan

ce b

y fa

rmer

s.•

Elic

itatio

n of

•M

aint

enan

ce p

erfo

rman

ce•

No

sign

ifica

nt c

hang

es in

agr

icul

tura

l per

form

ance

or

in e

cono

mic

farm

ers’

•A

gric

ultu

ral

prod

uctiv

ityre

turn

s pe

r un

it of

land

and

wat

er.

perc

eptio

ns(c

rop

yiel

ds,

econ

omic

ret

urns

,co

st o

f irr

igat

ion

to f

arm

ers)

5N

iger

•C

ompa

rison

of

•O

utpu

ts a

nd o

utpu

t va

lues

•G

ood

perf

orm

ance

in y

ield

, la

nd u

tiliz

atio

n an

d gr

oss

outp

ut.

Abe

rnet

hy e

t al

.in

ter-

sche

me

•Le

vel

of u

se a

nd p

rodu

ctiv

ityW

eak

finan

cial

man

agem

ent

and

orga

niza

tiona

l ski

lls.

2000

perf

orm

ance

of w

ater

•La

ck o

f su

ppor

t fr

om t

he o

rgan

izat

ions

’ m

embe

rs:

Org

aniz

atio

nsdi

ffere

ntia

ls•

Co

sts

lack

tra

nspa

renc

y an

d ac

coun

tabi

lity.

•F

ee c

olle

ctio

n an

d•

All

the

co-o

pera

tives

hav

e st

rugg

led

finan

cial

ly.

oper

atin

g fin

ance

s•

Inst

itutio

nal

stre

ngth

An

nex

1. (

Con

tinue

d)

Sum

mar

y of

IIM

I/IW

MI’s

res

earc

h on

IMT

impa

cts.

(Con

tinue

d)

25

No.

Stu

dy c

ount

ryS

tudy

met

hodo

logy

Impa

ct i

ndic

ator

sO

utco

mes

/con

clus

ions

Cita

tion

6In

dia

•A

sses

s th

e•

Pov

erty

and

far

m s

ize

•S

mal

l far

mer

s ar

e m

ainl

y co

ncen

trat

ed in

the

tai

l end

s an

dV

an K

oppe

n et

al.

diffe

rent

ial

rela

tions

hips

(pl

ot lo

catio

n,ha

ve l

ow c

anal

wat

er a

cces

sibi

lity

(And

ra P

rade

sh).

2002

; Nai

k et

al.

impa

ct o

f IM

T o

ncr

op c

hoic

e, i

ncom

e so

urce

s)•

No

diffe

renc

es e

xist

bet

wee

n sm

all a

nd la

rge

farm

s in

wat

er20

02;

poor

and

non

-poo

r•

Acc

ess

to w

ater

by

farm

siz

eac

cess

ibili

ty i

n G

ujar

at.

Bre

wer

et

al.

farm

ers

cate

gory

(irr

igat

ion

sour

ces,

•Lo

w f

arm

er p

artic

ipat

ion

in W

UA

and

mos

t sm

all f

arm

ers

are

1999

•E

licita

tion

ofdi

ffere

ntia

l ac

cess

to

wat

er)

unaw

are

of W

UA

s.st

akeh

olde

rs’

•E

ffici

ency

of

wat

er d

istr

ibut

ion

•S

mal

l far

mer

s of

ten

part

icip

ate

in r

epai

r an

d re

habi

litat

ion.

perc

eptio

ns(ir

rigat

ion

inte

nsity

, fle

xibi

lity

of•

Larg

e fa

rmer

s in

mee

tings

and

com

mitt

ees.

(tra

de-o

ff an

alys

is)

wat

er s

uppl

y)•

Ineq

uita

ble

dist

ribut

ion

of b

enef

its.

•W

ith-a

nd-w

ithou

t•

Mai

nten

ance

per

form

ance

•Im

prov

ed w

ater

dis

trib

utio

n.co

mpa

riso

ns•

Agr

icul

tura

l pr

oduc

tivity

(cr

op•

Mix

ed r

esul

ts r

egar

ding

yie

ld i

mpa

cts.

yiel

ds,

crop

ping

int

ensi

ty,

•N

o im

pact

on

gove

rnm

ent

finan

ces

is y

et v

isib

le.

How

ever

, th

ere

crop

ping

pat

tern

cha

nges

)w

as p

oten

tial

for

posi

tive

effe

cts

on g

over

nmen

t fin

ance

s.•

Gov

ernm

ent

finan

cial

•Im

prov

ed m

aint

enan

ce p

erfo

rman

ce.

perf

orm

ance

(st

affin

g ch

ange

s,•

Impr

ovem

ents

in

wat

er d

istr

ibut

ion.

mai

nten

ance

exp

endi

ture

,•

Mix

ed r

esul

ts r

egar

ding

agr

icul

tura

l pr

oduc

tivity

.fe

e co

llect

ion)

•IM

T h

as in

crea

sed

culti

vate

d ar

ea,

shift

to

high

er v

alue

cro

ps a

nd•

WU

A f

inan

cial

per

form

ance

obta

ined

hig

her

yiel

ds.

(cha

nges

in

oper

atio

ns a

nd•

The

cas

h co

st o

f irr

igat

ion

to f

arm

ers

has

incr

ease

d.m

aint

enan

ce c

ost,

•In

crea

sed

avai

labi

lity

of w

ater

.re

cove

ry r

ates

)•

Impr

oved

rel

iabi

lity

of s

uppl

y, f

lexi

bilit

y in

cro

ppin

g pa

ttern

.•

Sus

tain

abili

ty o

f ph

ysic

al•

Con

side

rabl

e sa

ving

s in

tim

e to

obt

ain

wat

er a

nd r

educ

tions

insy

ste

ms

hass

les

to p

ay f

or w

ater

.•

A m

ore

equi

tabl

e w

ater

dis

trib

utio

n an

d he

nce

a re

duct

ion

in c

onfli

cts.

An

nex

1. (

Con

tinue

d)

Sum

mar

y of

IIM

I/IW

MI’s

res

earc

h on

IMT

impa

cts.

26

Ulti

mat

ely,

IW

MI

hope

s th

at it

s pr

ojec

ts a

nd p

rogr

ams

will

hav

e a

last

ing

and

glob

al im

pact

on

wat

er a

nd la

nd m

anag

emen

t fo

r th

e be

nefit

of

food

prod

uctio

n, li

velih

oods

and

nat

ure.

Bey

ond

the

conc

eptu

al le

vel,

how

ever

, it

is u

nrea

listic

to

expe

ct t

hat

impa

cts

at t

his

leve

l cou

ld b

e ea

sily

mea

sure

d or

attr

ibut

ed.

Thu

s, w

hile

mai

ntai

ning

a v

isio

n to

war

ds t

he b

road

er s

patia

l and

tem

pora

l im

pact

s of

our

pro

ject

s an

d pr

ogra

ms,

we

have

desi

gned

a t

ypol

ogy

outli

ning

the

key

out

com

es t

hat

the

Inst

itute

, to

geth

er w

ith it

s pa

rtne

rs,

can

reas

onab

ly a

ntic

ipat

e, t

rack

and

mea

sure

.

Exp

ecte

d ou

tcom

esV

ehic

le t

o ac

hiev

e im

pact

Sam

ple

indi

cato

rsS

ampl

e m

easu

rem

ent

tool

sof

IW

MI’s

rese

arch

age

nda

Rai

sed

Aw

aren

ess

of•

Sci

entif

ic p

ublic

atio

ns o

f IW

MI

rese

arch

•N

umbe

r of

cita

tions

of

IWM

I pu

blic

atio

ns•

Bib

liom

etric

ass

essm

ents

New

Res

earc

h•

Pub

licat

ions

in

popu

lar

pres

s, b

roch

ures

, vi

deos

,•

Num

ber

of d

ownl

oads

/req

uest

s•

Web

site

sta

tistic

spo

ster

s•

Num

ber

of r

eque

sts

for

IWM

I st

aff

to a

ctiv

ely

•IW

MI

offic

ial

proj

ect

reco

rds

•P

ublic

ava

ilabi

lity

of d

atas

ets

part

icip

ate

in w

orks

hops

, co

nfer

ence

s,•

IWM

I ca

paci

ty b

uild

ing

prog

ram

rec

ords

•P

ublic

ava

ilabi

lity

of li

tera

ture

rev

iew

sco

mm

ittee

s, f

orum

s•

Syn

thes

is o

f IW

MI

and

non-

IWM

I re

sear

ch•

Num

ber

of s

tude

nts

supe

rvis

ed t

hrou

gh•

IWM

I pa

rtic

ipat

ion

in c

onfe

renc

es/c

omm

ittee

s/fo

rum

sIW

MI

rese

arch

•A

dvis

ing

of M

Sc/

PhD

stu

dent

s

App

licat

ion

of•

Sci

entif

ic p

ublic

atio

ns o

f IW

MI’s

res

earc

h (in

clud

ing

•N

umbe

r of

cita

tions

of

IWM

I pu

blic

atio

ns•

Bib

liom

etric

ass

essm

ents

New

Kno

wle

dge

met

hodo

logi

es a

nd a

ppro

ache

s)•

Num

ber

of r

eque

sts

for

info

rmat

ion/

data

•IW

MI

offic

ial

proj

ect

reco

rds

•C

olla

bora

tion

with

NA

RE

S/N

GO

s•

Evi

denc

e of

app

licat

ion

of r

esea

rch

by•

Inte

rvie

ws

int’l

/nat

iona

l res

earc

h, d

evel

opm

ent,

and

•Q

uest

ionn

aire

sex

tens

ion

syst

ems

(e.g

., nu

mbe

r of

NA

RE

S•

Obs

erva

tions

repo

rts

draw

ing

from

IW

MI

rese

arch

)•

Inco

rpor

atio

n in

to c

urric

ula

Em

ploy

men

t of

•D

evel

opm

ent

and

diss

emin

atio

n of

new

, us

er-f

riend

ly•

Num

ber

of d

ownl

oads

/reg

istr

atio

n of

and

/or

•W

ebsi

te s

tatis

tics

Impr

oved

Too

ls,

deci

sion

sup

port

sys

tem

s, m

aps,

mod

els

requ

ests

for

IW

MI

tool

s•

Inte

rvie

ws

Tech

nolo

gies

,•

Dev

elop

men

t an

d/or

dis

sem

inat

ion

of t

echn

ical

•E

vide

nce

of in

tegr

atio

n of

tool

s in

to n

atio

nal

•Q

uest

ionn

aire

sTe

chni

ques

inte

rven

tions

/pra

ctic

esre

sear

ch p

rogr

ams

•O

bser

vatio

ns•

Rel

ated

dem

onst

ratio

ns/tr

aini

ng•

Evi

denc

e of

usa

ge b

y in

t’l/n

atio

nal r

esea

rch,

deve

lopm

ent,

and

exte

nsio

n sy

stem

s•

Inco

rpor

atio

n in

to c

urric

ula

•C

hang

e in

pra

ctic

e/be

havi

or

An

nex

2.

IWM

I out

com

e ty

polo

gy.

(Con

tinue

d)

27

Exp

ecte

d ou

tcom

esV

ehic

le t

o ac

hiev

e im

pact

Sam

ple

indi

cato

rsS

ampl

e m

easu

rem

ent

tool

sof

IW

MI’s

rese

arch

age

nda

Em

ploy

men

t of

•P

olic

y br

iefin

gs•

Num

ber

of d

ownl

oads

(po

licy

brie

fing

mat

eria

ls)

•W

ebsi

te s

tatis

tics

Impr

oved

•IW

MI

part

icip

atio

n in

pol

icy-

rela

ted

com

mitt

ees/

foru

ms

•N

umbe

r of

req

uest

s fo

r in

form

atio

n/ad

vice

•O

bser

vatio

nsP

olic

ies/

Inst

itutio

ns•

Pol

icy

roun

dtab

les

•R

eque

sts

for

part

icip

atio

n in

pan

els/

foru

ms

•In

terv

iew

s•

Adv

isor

y m

eetin

gs w

ith p

olic

ymak

ers

and

•E

vide

nce

that

pol

icy/

inst

itutio

nal

•P

olic

y di

alog

ue m

onito

ring

reso

urce

man

ager

sre

com

men

datio

ns h

ave

been

tak

en i

nto

•P

rom

otio

n of

for

mal

/info

rmal

ins

titut

iona

l fr

amew

orks

cons

ider

atio

n by

rel

evan

t de

cisi

on-m

akin

gbo

dies

(e.

g.,

plac

ed o

n po

licy

agen

da)

•A

dopt

ion

of p

olic

y/in

stitu

tiona

l adv

ice

•C

reat

ion

and

mai

nten

ance

of

inst

itutio

nsbe

yond

pro

ject

per

iod

•C

hang

e in

pra

ctic

e/be

havi

or

Enh

ance

d C

apac

ity•

Pro

ject

inv

olve

men

t (f

ield

sta

ff, N

AR

ES

par

tner

s,•

Num

ber

of b

enef

icia

ries

of I

WM

I’s c

apac

ity•

IWM

I of

ficia

l pr

ojec

t do

cum

ents

IWM

I st

aff)

build

ing

prog

ram

s (b

y ge

nder

and

nat

iona

lity)

•H

uman

res

ourc

es d

ata

•N

AR

ES

/NG

O p

artn

ersh

ip p

rogr

am•

NA

RE

S p

artn

ers

play

mor

e ac

tive

role

in•

IWM

I ca

paci

ty b

uild

ing

prog

ram

rec

ords

•V

isiti

ng s

cien

tist

prog

ram

regi

onal

/int’l

res

earc

h an

d re

sear

ch n

etw

orks

•P

re/p

ost

proj

ect/t

rain

ing

eval

uatio

ns•

Tra

inin

g (in

-hou

se/e

xter

nal)

•P

erso

nnel

per

form

ance

ind

icat

ors

•Q

uest

ionn

aire

•T

rain

ing

publ

icat

ions

/vid

eos

(e.g

., pr

omot

ions

) fo

r bo

th I

WM

I an

d•

PhD

sch

olar

ship

pro

gram

part

ner

staf

f•

Pos

tdoc

fel

low

ship

pro

gram

•T

hese

s co

mpl

eted

•In

tern

ship

s•

Pos

tdoc

pub

licat

ion

reco

rd•

Pol

icy

roun

dtab

les

•C

hang

ed k

now

ledg

e/pe

rcep

tions

/pra

ctic

es

Str

engt

hene

d•

Col

labo

rativ

e pr

ojec

ts•

Num

ber

of c

o-au

thor

ed o

utpu

ts•

Bib

liom

etric

ass

essm

ent

Par

tner

ship

s•

Col

labo

rativ

e pu

blic

atio

ns•

Fre

quen

cy o

f co

llabo

ratio

n•

IWM

I of

ficia

l pr

ojec

t do

cum

ents

•N

AR

ES

/NG

O n

etw

ork

deve

lopm

ent

•Le

vel o

f sh

ared

fin

anci

al c

omm

itmen

t be

twee

n•

Que

stio

nnai

re•

Nat

iona

l co

nsul

tativ

e m

eetin

gsIW

MI

and

its p

artn

ers

•In

terv

iew

s•

Par

ticip

atio

n in

edi

toria

l boa

rds,

ste

erin

g co

mm

ittee

s,•

Num

ber

of c

onsu

ltativ

e m

eetin

gsgl

obal

/reg

iona

l pr

ogra

ms

•N

umbe

r of

nat

iona

l/reg

iona

l/glo

bal

netw

orks

Impr

oved

Liv

elih

oods

•D

irect

int

erve

ntio

n•

Ado

ptio

n ra

tes

(by

gend

er a

nd•

With

/With

out

stud

ies

(with

in p

roje

ct l

ocat

ion)

•P

artn

ersh

ip w

ith im

plem

entin

g ag

ency

(e.

g.,

thro

ugh

soci

o-ec

onom

ic s

tatu

s)•

Pre

/pos

t pr

ojec

t ev

alua

tions

NA

RE

S/N

GO

par

tner

ship

pro

gram

)•

Cha

nged

per

cept

ions

/pra

ctic

es (

by g

ende

r•

Inte

rvie

ws

and

soci

o-ec

onom

ic s

tatu

s)•

Obs

erva

tions

•Le

vel o

f liv

elih

ood

impr

ovem

ent,

e.g.

, yi

elds

,•

Offi

cial

sta

tistic

sin

com

e, h

ealth

(by

gen

der

and

soci

o-ec

onom

ic s

tatu

s)

An

nex

2. (

Con

tinue

d)

IWM

I out

com

e ty

polo

gy.

Research Reports

93. Adoption and Impacts of Microirrigation Technologies: Empirical Results fromSelected Localities of Maharashtra and Gujarat States of India. Regassa E.Namara, Bhawana Upadhyay and R. K. Nagar. 2005.

94. Balancing Irrigation and Hydropower: A Case Study from Southern Sri Lanka.François Molle, Priyantha Jayakody, Ranjith Ariyaratne and H.S. Somatilake. 2005.

95. Irrigation and Water Policies in the Mekong Region: Current Discourses andPractices. François Molle. 2005.

96. Locating the Poor: Spatially Disaggregated Poverty Maps for Sri Lanka. Upali A.Amarasinghe, Madar Samad and Markandu Anputhas. 2006.

97. Strategies to Mitigate Secondary Salinization in the Indus Basin of Pakistan: ASelective Review. M. Aslam and S. A. Prathapar. 2006.

98. Multiple-Use Water Services to Advance the Millennium Development Goals.Barbara van Koppen, Patrick Moriarty and Eline Boelee. 2006.

99. Irrigation and Schistosomiasis in Africa: Ecological Aspects. Eline Boelee andHenry Madsen. 2006.

100. The Reliability Improvement in irrigation Services: Application of Rotational WaterDistribution to Tertiary Canals in Central Asia. Iskandar Abdullaev, Mehmood UlHassan, Herath Manthrithilake and Murat Yakubov. 2006.

101. Carbon, Land and Water: A Gobal Analysis of the Hydrologic Dimensions ofClimate Change Mitigation through Afforestation/Reforestation. Robert J. Zomer,Antonio Trabucco, Oliver van Straaten and Deborah A. Bossio. 2006.

102. Informal Irrigation in Urban West Africa: An Overview. Pay Drechsel, SophieGraefe, Moise Sonou and Olufunke O. Cofie. 2006.

103. Malaria Mosquito Resistance to Agricultural Insecticides: Risk Area Mapping inThailand. Hans. J. Overgaard. 2006.

104. Use of a Hydrological Model for Environmental Management of the Usangu Wetlands,Tanzania. Japhet J. Kashaigili, Matthew P. McCartney, Henry F. Mahoo, Bruce A.Lankford, Boniface P. Mbilinyi, Daniel K. Yawson and Siza D. Tumbo. 2006.

105. An Irrigated Area Map of the World (1999) Derived from Remote Sensing.Thenkabail, P. S., Biradar, C. M., Turral, H., Noojipady, P., Li, Y. J., Vithanage,J., Dheeravath, V., Velpuri, M., Schull, M., Cai, X. L., and Dutta, R. 2006.

106. Assessing the Outcomes of IWMI’s Research and Interventions on IrrigationManagement Transfer. Meredith A. Giordano, Madar Samad and Regassa E.Namara. 2006.

Meredith A. Giordano, Madar Samad and Regassa E. Namara

Assessing the Outcomes ofIWMI's Research andInterventions on IrrigationManagement Transfer

106

RESEARCHR E P O R T

I n t e r n a t i o n a lWater ManagementI n s t i t u t e

SM

IWMI is a Future Harvest Centersupported by the CGIAR

Postal AddressP O Box 2075ColomboSri Lanka

Location127, Sunil MawathaPelawattaBattaramullaSri Lanka

Telephone+94-11-2787404

Fax+94-11-2786854

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Websitehttp://www.iwmi.org

I n t e r n a t i o n a lWater ManagementI n s t i t u t e

ISBN 92-9090-650-2ISSN 1026-0862

ISBN 978-92-9090-650-6IWMI is a Future Harvest Center

supported by the CGIAR