Prepared for
World Bank
1818 H Street, NW
WashingtonDC, 20433
USA
17 December 2008
42444054
Prepared by
John Fargher
Level 4, 70 Light SquareAdelaide SA 5000 Australia
World Bank Loess Plateau Projects
Synthesis of Experiences and Lessons Learned1
Contents目录
Acronyms 缩略词
Executive Summary
1Background
1.1Context......
1.2Objective of the synthesis report......
2Summary output-to-purpose review
2.1Goal......
2.2Purpose......
2.3Outputs......
2.3.1Output 1 – Improved M&E systems......
2.3.2Output 2 – Best and new practice models......
2.3.3Output 3 – Good practice models disseminated to other programs..
3Synthesis of experience from practice
3.1Pilot activities......
3.1.1Institutional arrangements......
3.1.2Methods and tools......
3.1.3Examples of good practice......
3.2Monitoring and evaluation......
3.2.1Institutional arrangements......
3.2.2Methods and tools......
3.2.3Examples of good practice......
3.3Policy studies......
3.3.1Institutional arrangements......
3.3.2Methods and tools......
4Lessons learned
4.1Policy lessons learned from CWMP......
4.2Institutional lessons learned from CWMP......
4.3Good practice methodology lessons learned from CWMP......
4.4Lessons learned from good international practice......
Charts
Chart 1 : Map of LPWRP and CWMP locations
Chart 2 : Change in per capita net income in CWMP watersheds 2006-2008
Chart 3 : Change in household income in CWMP watersheds 2006-2007
Chart 4 : Change in per capita net income with and without CWMP
Chart 5 : Monitoring feedback at village level is good practice
Chart 6 : Monitoring household activities against plan is good practice
Chart 7 : Use of participatory planning is good practice
Chart 8 : Before and after analysis of pilot watershed activities
Chart 9 : Dissemination material targeting households is good practice
Chart 10 : Pilot activity organisation structure
Chart 11 : Community-driven procurement
Chart 12 : Monitoring platforms and stakeholder groups in CWMP
Chart 13 : Institutional hierarchy and information flow for monitoring
Chart 14 : Stakeholder roles and responsibilities for CWMP monitoring
Chart 15 : From implementation to results-based monitoring
Chart 16 : CWMP household evaluation framework is good practice
Chart 17 : CWMP village evaluation framework is good practice
Chart 18 : Stakeholder evaluation of livelihoods activities
Chart 19 : Rating system for watershed management scoring
Chart 20 : Institutional elements of CWMP monitoring system
Chart 21 : Structural elements of CWMP monitoring system
Chart 22 : Sub-watershed comprehensive evaluation indicator system
Chart 23 : Watershed development best practice framework
Chart 24 : Ten steps to watershed management
Annexes
Annex 1:CWMP Results Framework
Annex 2:References and Project Outputs consulted
Ref: ADL C:\Data\PROJECTS\CHI WB Evaluation\6 Deliverables\LPWRP and CWMP Synthesis Report - Final.doc
Loess Plateau Watershed Rehabilitation Projects
World Bank Loess Plateau Projects
Synthesis of Experiences and Lessons Learned1
Acronyms缩略词
AusAID / Australian Agency for International DevelopmentCDD / Community driven development
CPIO / CountyProgram Implementation Office
CWMP / China Watershed Management Project
DFID / Department for International Development (United Kingdom)
GoPRC / Government of People’s Republic of China
HH / Household农户
ICR / Independent Completion Report
IWRM / Integrated Water Resources Managment
LPWRP / Loess Plateau Watershed Rehabilitation Projects
M&E / Monitoring and evaluation监测与评估
MIS / Management Information System
MWR / Ministry of Water Resources (China)
PIO / Project Implementing Office
PMO / Project Management Office项目管理办公室
PRA / Participatory Rural Appraisal参与式农村评估
UMRB / Upper Middle Reaches Bureau
YRCC / Yellow River Conservancy Commission
WB / World Bank
Ref: ADL C:\Data\PROJECTS\CHI WB Evaluation\6 Deliverables\LPWRP and CWMP Synthesis Report - Final.doc
Loess Plateau Watershed Rehabilitation Projects
World Bank Loess Plateau Projects
Synthesis of Experiences and Lessons Learned1
Executive Summary
The China Watershed Management Project (CWMP) is financed by the UKDepartment of International Development (DFID) and managed by the World Bank with execution under the Chinese Ministry of Water Resources (MWR). Field activities are implemented in four countiesof GansuProvince. The project builds on lessons learned from the World Bank Loess Plateau Watershed Rehabilitation Project Phase II and has a goal of sustainable, pro-poor development in environmentally degraded watershed areas of China, which can be measured through changes in income and improved livelihood opportunities for poor women and men in watershed areas. The purpose of CWMP is to influence Chinese and donor approaches to watershed management and rehabilitation programmes to enhance benefits to the poor.
This synthesis reportpresents an output-to-purpose review and examples of good practice and lessons learned from three components of the project: pilot implementation, strengthened monitoring systems and policy studies. Lessons learntare to support scaling up those practices and lessons to national watershed management practice.
Output to purpose review
Poverty and livelihood monitoring and evaluation activities show that between 2006 and 2007 the per capita net income level of the farmers increased in each watershed. Across all watersheds most of the increase comes from livestock breeding and migrant labour income. Most migrant workers are men, leaving women and children to manage farming and other enterprises in the watershed while they are away. The contribution of crop production to income was reduced because of drought.
Integrated activities implemented in each pilot through coordinated efforts of several county bureaux deliver benefits to households. For example, 63% of poor households participated in activities and received benefits from such activities in Beicha watershed. Project monitoring shows that the proportion of the landscape treated in the four pilot sub-watersheds increased from 34% prior to CWMP treatment to 56% in 2008.
There is no measurable evidence to indicate that the Ministry of Water Resources (MWR) or Yellow River Conservancy Commission (YRCC) or other watershed management agencies use CWMP practices. Anecdotal information from meetings with MWR in August 2008 suggests that lessons learned from CWMP inform the on-going process of reforming the Water and Soil Conservation Law (1991). In addition, field work identified a number of city and county agencies in pilot watersheds that had committed to on-going implementation of integrated activities, using participatory and Community Driven Development (CDD) methods introduced through CWMP.
Participatory approaches were used in CWMP pilot watersheds and were enthusiastically reviewed by citizens and government staff at different levels. CDD was trialled with participatory planning and implementation in each village driven by 3 groups of participants - financial management, procurement and monitoring/ evaluation. The project produced manuals for participatory project management, participatory financial management as well as participatory monitoring and evaluation operations. These manuals have been used by other projects, including the EU-China River Basin Management Program.
The project had three outputs: improved monitoring and evaluation (M&E) systems; best and new practice models; and good practice models disseminated to other programs.
CWMP supported MWR, YRCC and project management offices to strengthen the monitoring and evaluation (M&E) systems for watershed management. Activities to strengthen monitoring were implemented at community, local government and river basin scales. In particular, the project introduced participatory monitoring and evaluation and monitoring of poverty and livelihoods and biodiversity. However, there is little evidence that feedback is used to support evidence-based management of activities during implementation.
Development of a good practice model was carried out in 2006 through extensive participatory sub-watershed planning activities at county and community levels. An implementation scheme was formulated for four selected pilot sub-watersheds with importance attached to participatory planning and local government capacity building.Many of the activities implemented by CWMP were in fact good practices from Loess Plateau and other watershed management projects in China.
Dissemination materials were developed late in the life of the project and should have been prepared much earlier to influence implementation and support learning by doing and on-the-job training. However, the materials produced were well received by lower-level government agencies and used for training and workshops in the final year.
Lessons learned
CWMP provided a space where MWR and its agencies as well as Provincial, City and County bureaux could trial approaches to watershed management that were new to the Loess Plateau and, if shown to be effective, had potential to be institutionalised for widespread adoption in China. This space for experimentation that a bilateral grant program provides is an important institutional arrangement in its own right – it provides resources and a space that enables new approaches to be trialled, risks to be taken and lessons learned.
The key institutional change introduced by CWMP was an active role for farmers and other resource users in the planning and implementation of watershed management activities. Whilst this is not new to China it is new to the Loess Plateau and YRCC. The pilot activities in 4 sub-watersheds used a CDD model that proved successful and was highly appreciated by farmers, resource users and village committee members.
Several methods new to the Loess Plateau were introduced through pilot implementation. These included participatory approaches to planning using methodsfrom participatory rural appraisal and CDD for local management. In this sense CWMP was used as a space where government agencies could test methods outside national standards and norms. Participatory planning activities were implemented with a range of PRA methods and tools. Transect walk, participatory mapping, problem census/problem solving and wealth ranking methods added value, as did stakeholder voting methods. The spatial location of activities in the sub-watershed and linking of activities with livelihood outcomes with those activities with IWRM outcomes was not done well – there are relevant examples in other Chinawatersheds to support improvement of this.
Coordinating implementation of one plan with resources from several line bureaux is a difficult institutional change that seems to have been well executed by CWMB with the strong coordination of Provincial agencies, UMRB-YRCC and MWR. Integration of many programs in one plan used budgets for each group of outputs that allocated inputs and activities to different programs and sources of finance in one integrated sheet. The result was a plan that could be monitored to support management decisions during implementation as well as operation and maintenance of works. Participating bureaux have committed to activities under the integrated plans for 2 years after CWMP closure.
CWMP transformed the “implementation monitoring” system developed under the previousLoess Plateau projects into a “results-based monitoring” system. The previousLoess M&E was heavily focussed on monitoring inputs, activities and outputs. CWMP introduced a monitoring system that additionally monitors outcomes ofwatershed management activities. The frameworks developed for poverty and livelihood evaluation at HH and village levels are good practice since they effectively integrate key outcome areas and village-level indicators. The evaluation of tree planting activities (CWMP, 2008g) is a particularly good example of a practical evaluation with sound lessons learned and practical management recommendations. The methodologies used, the integration of technical and economic skills in the team and the active engagement with field stakeholders is consistent with good international practice. The Yellow River Soil and Water Conservation and Eco-environment Monitoring Centre led the development of several river-basin monitoring systems. Construction of a sub-watershed M&E data sharing platform and development of sub-watershed M&E metadata standards are good practice responses to the difficulty of collating and analysing river basin data from different sources and disciplines. The data-sharing linkages to other bureaux have been designed but need more work to put them into practice and have them institutionalised.
Four policy studies were commissioned by the project. The quality of thinking in the policy studies is generally weak and the linkages to policy reviews and national decision making is unclear.
Key lessons learned include:
- Transparency is increased through Community Driven Development (CDD)
- Effectiveness is increased through integration of many programs through one plan
- Community empowerment requires whole-of-government commitment
- There is value in an experimental space to enable institutional change
- The importance of technical support to ensure effectiveness of CDD
- Effective livelihoods and water resource outcomes require integration of socio-economic and bio-physical activities
- Focus on ground-cover rather than trees for soil conservation
- International good practice provides a useful resource of experience and lessons learned that can be adapted and applied in China.
Ref: ADL C:\Data\PROJECTS\CHI WB Evaluation\6 Deliverables\LPWRP and CWMP Synthesis Report - Final.doc
Loess Plateau Watershed Rehabilitation Projects
World Bank Loess Plateau Projects
Synthesis of Experiences and Lessons Learned1
1Background
1.1Context
The China Watershed Management Project (CWMP) is financed by the UKDepartment of International Development (DFID) and managed by the World Bank with execution under the Chinese Ministry of Water Resources (MWR). Field activities are implemented in four countiesof GansuProvince–Kongtong,Jingning, Huanxian and Huachi. The project builds on lessons learned from the World Bank Loess Plateau Watershed Rehabilitation Project Phase II.
The goal of CWMP is sustainable, pro-poor development in environmentally degraded watershed areas of China, which can be measured through changes in income and improved livelihood opportunities for poor women and men in watershed areas. The purpose of CWMP is to influence Chinese and donor approaches to watershed management and rehabilitation programmes to enhance benefits to the poor. This can be measured by the extent to which Chinese watershed management and other donor projects use CWMP-bestpractice models. The CWMP revised results framework is presented in Annex 1.
Chart 1 : Map of LPWRP and CWMP locations/ As shown in Chart 1, CWMP pilot activities are located in the Loess Plateau which forms the upper and middle reaches of the Yellow River. Project activities included pilot implementation of good practice watershed management planning and management methods; dissemination and policy studies; strengthening monitoring systems and evaluation capacity; as well as broad capacity building at community, county, city, provincial and river basin scales.
1.2Objective of the synthesis report
The objective of this reportis topresent an output-to-purpose review and synthesize examples of good practice and lessons learned from three components of the project: pilot implementation, strengthened monitoring systems and policy studies. Lessons learntare distilled in the report to support scaling up those practices and lessons to national watershed management practice.
2Summary output-to-purpose review
2.1Goal
The goal of the project is sustainable, pro-poor development in environmentally degraded watershed areas of China. Performance against goal attainment indicators in the results framework presented in Annex 1is summarised here.
Increased income and improved livelihood opportunities for poor women and men in watershed areas.
Poverty and livelihood monitoring and evaluation activities (CWMP, 2008a) with a stratified sample of around 12% of households show that between 2006 and 2007 the per capita net income level of the farmers increasedin each watershed. As shown in Chart 2, the average per capita netincome growth (Yuan/yr) was 17% in the three year period (CWMB, 2008i). However, this was driven by changes in Beicha and Fanzhuang watersheds, which seem to be attributable to service receipts (CWMP, 2008a Table 4-6). Analysis summarised in Chart 3and also presented in the independent completion reports (CWMP, 2008h; PIO, 2008), suggests that across all watersheds most of the increase comes from livestock breeding and migrant labour income (service receipts), while the contribution of crop production to income was reduced because of drought. The data is not gender disaggregated. However, the project did focus on intensification and improvement of livestock production activities, which is consistent with the sources of increased income measured by the monitoring activities.
Chart 2 : Change in per capita net income in CWMP watersheds 2006-2008
Watershed / Average net per capita income 2006 (Yuan) / Average net per capita income 2008 (Yuan) / Change(Yuan / 3 yrs) / Change
(% / 3 yrs)
Beicha Watershed of JingningCounty / 898.30 / 1078.30 / 180.00 / 20%
Jiajiyu Watershed of KongtongCounty / 1100.0 / 1222.56 / 122.56 / 11%
GaogouWatershedofHuanxianCounty / 812.50 / 932.50 / 120.00 / 15%
Fanzhuang Watershed of HuachiCounty / 889.73 / 1129.93 / 240.20 / 27%
Average for 4 pilots / 937.78 / 1097.77 / 160.01 / 17%
Source: CWMP 2008i, p21.
Survey results from 2007 for the four pilot watersheds treated by CWMP shows that 86.3% of the families had members working outside and the average outside working time was 8.3 months. This confirms that migrant labour isa major source of increased income for farmer households. The high proportion of families with migrant workers in 2007 may also reflect the serious drought in that year, that put the most vulnerable families at risk and highlights the importance of water security as well as food security for poor families. Most migrant workers are men, leaving women and children to manage farming and other enterprises in the watershed while they are away.
Evaluation work in 2007, summarised in Chart 4, identified that per capita net income(Yuan/yr) of farmers participating in CWMP was 10.4%higher than that of the corresponding control group on average.
Chart 3 : Change in household income in CWMP watersheds 2006-2007
Chart 4 : Change in per capita net income with and without CWMP
Integrated activities implemented in each pilot through coordinated efforts of several county bureaux deliver benefits to households. For example, data from Beicha watershed presented during a supervision mission in July 2008 by JingningCounty showed that 63% of poor households participated in activities and received benefits. Similarly for Gaogou watershed in HuanxianCounty, more than 70% of poor households benefits from integrated activities. Since these activities are planned to be supported and implemented for a further 2 years after CWMP closure, it seems likely that household income and livelihood opportunities will continue to improve.