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PROGRAMME OUTLINEPHASE III

Support to the Water Research Fund for Integrated Water Resources Management in Southern Africa

Water Research Fund for Southern Africa 2.0

A proposal submitted the AU/NEPAD Southern African Network of Water Centres of Excellence (AU/NEPAD SANWATCE).

January 2014Document status: FINAL

Table of Contents

LIST OF ABBREVIATIONS..........................................................................................................4

EXECUTIVE SUMMARY..............................................................................................................5

1.0. THE PURPOSE OF THE WATER RESEARCH FUND FOR SOUTHERN AFRICA (WARFSA).........................................................................................................................................7

2.0. CAPACITY BUILDING THRUST OF THE WARFSA......................................................8

2.1. The WARFSA and IWRM.......................................................................................................82.2 WARFSA in a Regional Context..............................................................................................9

3.0. OTHER ONGOING ACTIVITIES LINKED TO THE WARFSA....................................11

3.1 General....................................................................................................................................113.2. The WaterNet.........................................................................................................................113.3. Global Water Partnership - Southern Africa Water Partnership............................................123.4. The SADC..............................................................................................................................12

4.0. FINANCIAL RESOURCES REQUIRED............................................................................15

5.0. OBJECTIVES, ASSUMPTIONS, RISKS AND PRECONDITIONS.................................22

5.1. Development objective..........................................................................................................225.2. Immediate objectives.............................................................................................................22

6.0. INDICATORS AND MEANS OF VERIFICATION...........................................................24

6.1. Indicators for development objective.....................................................................................246.2. Indicators for immediate objectives.......................................................................................24

7.0. ORGANISATION, MANAGEMENT AND ADMINISTRATION OF THE WARFSA. .26

7.1. Managing institution.............................................................................................................267.2. Management Structure...........................................................................................................267.3. Accessibility...........................................................................................................................277.4. Research project selection criteria and priority research areas..............................................277.5. Information dissemination and use........................................................................................28

8.0. MONITORING, REPORTING AND EVALUATION.......................................................29

8.1. Monitoring of research projects by the management agency................................................298.2. Program monitoring...............................................................................................................308.3. Reporting requirements to fund donors.................................................................................30

9.0. FLOW OF FUNDS, ACCOUNTING AND AUDITING......................................................31

9.1. Flow of funds from donors to the AU/NEPAD.....................................................................319.2. Flow of funds from the AU/NEPAD, as executed by the AU/NEPAD SANWATCE Secretariat to the researchers........................................................................................................31

10. BIBLIOGRAPHY.....................................................................................................................32

APPENDIX 1. WARFSA ELIGIBLE RESEARCH AREAS (WARFSA 2004B)..................34

APPENDIX 2.- THE MANAGEMENT STRUCTURE OF THE WARFSA...........................35

APPENDIX 3. THE FLOW OF FUNDS FROM THE FUNDING AGENCY TO THE AU/NEPAD SANWATCE SECRETARIAT AND THE RESEARCHERS..............................36

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List of TablesTable 1: Detail WARFSA budget: Year 1-5.....................................................................................15Table 2: Detail WARFSA budget: Year 6-10...................................................................................15Table 3: WARFSA budget summary: Year 1-5...............................................................................16Table 4: WARFSA budget summary: Year 6-10.............................................................................17

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LIST OF ABBREVIATIONS

AMCOW African Ministers Council on WaterDANIDA Danish International Development Agency DKK Danish KronerFAO Food and Agriculture Organisation GWP-SA Global Water Partnership – Southern AfricaGWP-SATAC Global Water Partnership-Southern Africa Technical Advisory

CommitteeGWP-SAWP Global Water Partnership-Southern Africa Water Partnership IHE International Institute for Infrastructural, Hydraulic and Environmental

Engineering ITN International Training Network for Water and Waste Management IUCN – ROSA International Union for the Conservation of Nature –Regional Office

for Southern AfricaIWRM Integrated water resources management IWSD Institute of Water and Sanitation Development MDGs Millenium Development GoalsMOUs Memorandum of UnderstandingAU/NEPAD African Union/New Partnership in African Development NWP National Water PartnershipOECD Organisation for Economic Co-operation Development/Development

Assistance CommitteeOECD/DAC Organisation for Economic Co-operation Development/Development

Assistance CommitteePCN Project Concept NoteRASP Regional Action PlanRISDP Regional Indicative Strategic Development PlanRFP Request for ProposalsSANWATCE Southern African Network of Water Centres of ExcellenceSADC Southern Africa Development CommunitySADC-ELMS Southern Africa Development Community – Environment and Land

Management SectorSADC-WSCU Southern Africa Development Community – Water Sector Co-

ordination UnitSAWP Southern Africa Water Partnership SeK Swedish KronerSida Swedish International Development AgencySoK Streams of KnowledgeSU Stellenbosch UniversityUNCED United Nations Conference on Environment and Development UNDP United Nations Development ProgramUSD United States of America DollarWARFSA Water Research Fund for Southern Africa

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EXECUTIVE SUMMARY

This purpose of this proposal is to request support for Phase III of the Water Research Fund for Southern Africa (WARFSA, i.e., the Fund) that aims to promote research projects addressing sustainable utilisation of water resources in the region. The purpose of the Fund is to build research capacity among regional institutions and individuals as well as to promote the utilisation of research results in the planning and management of water resources in the sub-region. This is in appreciation of the fact that research activities in the water sector in most countries of the Southern African Development Community (SADC) region are limited, largely due to (i) lack of capacity to develop and carry out sound research projects and (ii) funding constraints. South Africa was the first country in the region to have established a Water Research Commission, but it has been followed to a degree by Mozambique and Zambia. The economic condition of the region makes it difficult for SADC countries to follow the South Africa model or to contribute significantly to WARFSA. Thus, in order to ensure the sustainability of WARFSA and its ability to promote Integrated Water Resources Management (IWRM) within the SADC region, continued and sustained donor support is required.

Between 1999 and 2005, WARFSA Phase I and Phase II, was largely funded by Sida which, over the course of seven years, contributed 28,000,000 SEK. In addition, SAREC financed rainwater harvesting projects and DANIDA, through SADC, contributed another DKK 3,000,000 towards Phase II. In 2013, the AU/NEPAD Southern African Network of Water Centres of Excellence (AU/NEPAD SANWATCE), was directed by the Water Resource Technical Committee (WRTC), as well as the SADC Ministers1 of Water, to act as implementing agent for the WARFSA. The AU/NEPAD SANWATCE Secretariat is hosted by the Stellenbosch University in South Africa, from where activities of network institutions are coordinated.

From its inception in 1999 to 2005, the WARFSA has funded 69 of 242 proposals received from 10 continental SADC countries, benefiting some 70 separate researchers. Additionally, five annual symposia have been held to date and a sixth is planned for early November 2005 in Swaziland in affiliation with WaterNet and GWP-SA. WARFSA is an affiliate program of the SADC Water Division (SADC WD). Its activities are therefore complementary to the other affiliate activities of the SADCA WD within the region, e.g., the Consultancy Fund, WaterNet, and the Global Water Partnership’s (GWP) Southern Africa Water Partnership (GWP-SAWP).

The projects are assessed for conformity with set criteria before being passed on to selected referees known to be experts in the proposed research area. Referees review and provide an opinion on each individual project proposal based on scientific merit and other criteria following published guidelines provided by WARFSA. Project reviews are returned to the managing institution (AU/NEPAD SANWATCE) where the results are summarised and forwarded to the Research Board for a final decision on funding. The decision on the priority research areas and on project funding rests entirely with the Board. The Research Board is comprised of 12 regional and/or European water research experts. The Board meets two times a year in any of the SADC countries.

In order to sustain the WARFSA programme, funding of $9,206,662.88 is required for year 1-5 and $10,311,829.82 for year 6-10, culminating in a total budget of $19 518 492.70. Maximum allocation per project during Phase I was US$50 000. This was reduced to US$30 000 in Phase II and will be increased to US$50 000 in Phase III, excepting that special consideration 1 Section 5.2.9.8 and 5.2.9.9 of the Record of the 24th WRTC Meeting in Lusaka, Zambia on the 7-9 May 2013.

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will be given to funding at least two basin wide, multi-sectoral, or multidisciplinary proposal at levels up to $ 100,000 per project. This project will also take into account the thematic areas as identified within the SADC Regional Strategic Action Plan (RSAP-III).

Apart from providing funds to researchers, WARFSA also conducts research methodology courses, holds annual symposia in cooperation with WaterNet and encourages researchers to hold seminars with stakeholders. These outreach activities have provided opportunities for researchers to meet and exchange ideas with other water sector professionals. As a way of encouraging dialogue between the researchers and the stakeholders, the WARFSA beneficiaries are encouraged to hold periodic seminars. There are also encouraged to promote discussions over issues of HIV/AIDS, gender and their impact on water resources management.

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1.0. THE PURPOSE OF THE WATER RESEARCH FUND FOR SOUTHERN AFRICA (WARFSA)

Funds for water research in Southern Africa are limited. Even in cases where research funds are available, the capacity to access the funds and utilise them effectively is limited. In some institutions, the infrastructure to carry out research does not exist, and if it does, the funds for research may not be accessible. This is further complicated by the lack of appropriate incentives and motivation for researchers, resulting in a high turnover of professional staff.

If the IWRM principles are to be successfully implemented in the Southern African region, strategic planning, capacity development and research activities have to be carried out to assist in the implementation. There is a need to integrate and apply research results to identified regional priority needs. One of the most important issues that can be addressed by the Fund is the translation of research results into tangible actions and policy advocacy. Research results often are published in international journals that might not be easily accessible to practitioners in the region. One goal of WARFSA is that academic research, sponsored through WARFSA Phase III, should also lend itself to being applied as a management tool, or influencing, water protocols and water policy.

Additionally, most of the research that is carried out at the moment is not widely disseminated and there is relatively little co-operation in the development of research ideas and programmes. The lack of regional journals or professional associations through which research information can be disseminated compounds the situation. Although some of the research results could be used in education, training and development programmes, this has often not been realised due to limited dissemination of such research results. Yet, SADC countries will need to improve their knowledge and data about the management of water resources, including protection of water ecosystems and the interaction of humans with water systems. Information regarding the relationships between water, land and forest variables in a natural resource management framework, multisectoral considerations in water use and the international characteristics of river basins will be required. Without this basis, water resources in the region cannot be sustainably developed and managed. The generation of data should be user and demand-driven, reflecting the needs of the various stakeholders.

The purpose of WARFSA is therefore to build research capacity among regional institutions and individuals, and to promote the utilisation of research results in the planning and management of water resources for the SADC region. Phase III is particularly important in that it will stimulate increased planning, research and capacity development activities aimed toward the sustainable utilisation of water resources in the region. The WARFSA Strategy is, amongst other issues, intended to (i) promote the utilisation of demand-driven research results in the management and policy-decision making processes of the water resources sector, and (ii) stimulate regional co-operation and co-ordination in the water sector.

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2.0. CAPACITY BUILDING THRUST OF THE WARFSA

The WARFSA evaluation (Krugmann 2002) concluded that the initial 3-year funding period from Sida was instrumental in ensuring that a workable regional funding mechanism for research projects was established and generated a great deal of interest in the region. It further highlighted that WARFSA filled a gap as an accessible funding source for water research in Southern Africa and provided a rapid-response funding mechanism for smaller projects. In addition, the success of WARFSA demonstrated the viability of managing a research fund from within the region.

It is anticipated that in the long term, WARFSA has significant contributions to build capacity to carry out IWRM research projects. Lack of regional research information dissemination, and strategies for doing so, have been amongst the most important gaps identified for WARFSA (Krugmann 2002). During Phase III, planning will be directed toward identifying regional priorities in capacity development and research with emphasis on effective governance issues. Attention will be given to the broad dissemination of results to all user groups and stakeholders through press releases, newsletters, workshops and seminars.

Researchers benefiting from the Fund will be encouraged to initiate high-level awareness campaigns among senior government officials and policy makers in their respective home countries to encourage the incorporation of research findings in national and regional water sector policies. However, WARFSA appreciates that there is a significant gap between research and policy. For this reason, WARFSA will in Phase III (i) become more programme directed toward regional priorities and (ii) take full account of national interests.

The WARFSA funds will be disbursed to researchers and/or research teams who are attached to government departments, universities, non-governmental organisations and other institutions. The funds will not be available to researchers as individuals. Although preference will be given to applications from SADC nationals and residents, the Fund will, among other things, be used to facilitate research collaboration among regional and North and South researchers. Priority will be given to young scientists who have demonstrated potential for innovative research, projects that have clearly defined gender considerations, proposals from women researchers, and proposals that address shortcomings. Proposals that show strong regional collaboration and/or are multisectoral or multidisciplinary will be encouraged.

2.1. The WARFSA and IWRMPrior to the establishment of WARFSA, water research projects carried out in the region were performed through individual researchers’ efforts with financial support from external support agencies. In such cases the research agenda was defined either by the researcher or the financing agency with the researcher merely responding to requests for proposals with its own set of criteria. More often than not, national and regional priorities were not considered, especially in IWRM. IWRM implies integration in terms of:

(i) the different physical aspects of water resources (surface and groundwater, atmospheric water, the different physical states, its quality and quantity);

(ii) its spatial variation (downstream and upstream) resulting in a river basin approach (local, national or international);

(iii) the different interests of water users and economic sectors (agriculture, domestic, industrial, hydropower, recreation etc);

(iv) the institutional framework necessary for sustainable utilisation of the water; and

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(v) consideration for the complete set of national objectives and constraints. In this regard, IWRM provides for a holistic approach to water resources management allowing for adequate inter-sectoral linkages that are built on existing institutions taking into account those stakeholders without a voice (such as the environment).

The Fund focuses on supporting research projects that aim to achieve sustainable utilisation and management of water resources in the region. The research activities should include ecosystems; social and economically sustainable use of the resources and emphasis should be put on multi-disciplinary research projects. The focus areas of research (Appendix 1) for the Fund are also highlighted in Appendix 1 of this document.

2.2 WARFSA in a Regional Context

The premise upon which WARFSA was designed, is that there is limited capacity in the region to fund water research. It is recognized that the significant proportion of the meagre financial resources allocated to research goes to bio-medical research.

In the region, outside of South Africa, allocation for water resources management is almost negligible. This is not to say that there is no concern over the need to pay attention to water resources management research, but, given the fact that the SADC community has to tackle health issues as a top priority, water resources management finds itself on the fringes of research budget allocation. This is further compounded by the re-allocation of resource towards combating the effects of HIV & AIDS (itself perceived, as of now, as a purely health issue). The persistent droughts and floods have created some degree of crisis management on an annual basis, in what would have been otherwise a stable developmental scenario where all resource base issues are given fair regional priority.

The South African situation is unique in that the importance of research in water has been incorporated in legal instruments resulting in the internal funding of such institutions as the Water Research Commission. Most member states in the SADC region do not, however, have legally constituted bodies in the form of research councils or research boards that oversee and prioritise national research issues. In line with the RSAP-III of SADC, water resources management goes beyond sovereign issues and in this regard an instrument needs to be developed to cater for research on a trans-boundary (or inter-country) basis.

Currently, the WARFSA is the only instrument that tries to address this issue hence its immediate recognition by SADC structures. While, on one hand, national funds normally cater for national interests, the SADC framework, on the other hand, in line with the SADC Treaty and associated Protocols, extends interventions to address cross-border issues. WARFSA provides an avenue by which countries can access funds located and managed within the region to address regional concerns and issues, including all thematic issues of gender, HIV / AIDS and poverty reduction.The region is currently suffering from a significant loss of memory as a result of the AIDS pandemic. The Fund is contributing to the documentation of indigenous knowledge, new practices and also in a way down loading those with experience so that what they know can be made more useful in the future. This comes in handy when one considers that the culture of documentation in the region is weak and traditionally information has been passed in an oral manner. By providing funds to conduct research in water resources management, WARFSA is assisting in the process of effective documentation which will become a reference point for future researchers in both the Southern hemisphere as well as for Northern partners.

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In phases 1 and 2 a lot of applied research results have been obtained and these are already having an impact on the way people operate. An example has been the study carried out at in Tanzania on the use of bone chuckle to remove fluorides (see Box 1 below).

What is clear from this study is that it is improving the health of local communities, as well as giving them confidence to meet that challenges of development. Indirectly, WARFSA is contributing to employment and the analysis and exploitation of opportunities by young scientists. Young graduates, who would otherwise not have had the opportunity to compete with seasoned researchers, will be given an opportunity in Phase III.

The collaborative nature of WARFSA proposals is helping the sharing of experiences across the region. More so, when one considers that Waternet/ WARFSA/ GWP-SA Symposium is fast becoming the intellectual showcase for regional research in Integrated Water Resource Management. South Africa on a bi-annual basis hosts a symposium under the banner of the Water Institute of Southern Africa (WISA). This is a forum for academic, public and private sector professionals to interact on water matters. Its major limitation currently is how to anchor itself within a regional context. This may however, not be necessary, given the pivotal role that WARFSA plays in SADC and with the network of academia through WaterNet and GWP-SA. The proposal to link WARFSA and the national research councils will further strengthen its positioning and make WARFSA more regionally relevant and sustainable.

Box 1: TRANSFORMING DEFLOURIDATION OF DRINKING WATER IN TANZANIA

The project started in .July 2000 and ended in October 2001. The total budget was USD35 000,00. The research team was led by Mr Hassani J. Mjengera then Acting Director of Water Laboratories Unit, Maji Ubungo, Dar es Salaam. The research team also had an environmental engineer, and two technicians. The Principal Investigator was a chemist.

The research project investigated different deflouridation methods potentially suitable for the conditions in Tanzania. It was motivated by the presence of fluoride levels of harmful health effects in both ground and surface water in various parts of Tanzania. The general objective of the study was to develop appropriate, affordable and adaptable methods of reducing excessive flouride in drinking water to levels that are not harmful to human beings. The methods that were developed were those that made use of easily available materials at low cost in the country. The methods were:The bone char methodThe alum/ lime or Nalgonda technique methodA combination of the bone char and alum/lime methods.

The study was first conducted in a laboratory where different conditions and the design of deflouridators was done. Water of different fluoride concentrations was tested. Bone charring kilns of various sizes as well as bone crushing and sieving machines were developed. The effectiveness of various bone char particles columns was also investigated. The packed bone char column units at household and institutional level were developed and fabricated. A plant with an automatic chemical dosing mixing based on the Nalgonda technique was developed. A ‘universal’ bone char column for treatment of waters of different fluoride concentrations was developed. The cost analysis indicated that the alum/lime method was cheaper but the study indicated that the bone char method was preferable. The methods developed during the project have been taken up and are now widely used in Tanzania. The Principal Investigator has gained recognition in the sector as a result of the success of the project and he has since been promoted. The impact of deflouridation on the lives of ordinary Tanzanians, who for generations have lived with this problem is self evident.

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3.0. OTHER ONGOING ACTIVITIES LINKED TO THE WARFSA

3.1 General

Currently there is limited funding for IWRM activities or basin wide research, both nationally as well as regionally. IWRM related research is currently funded by institutions such as IWMI2, WaterNet3, IUCN-ROSA4, WWF5 and also through the association of local authorities ICLEI6, among others. In South Africa the Water Research Commission also funds IWRM aligned research. However, these are not funds but merely institutional arrangements through which funds are transferred. For example, IWMI depends on bilateral and multilateral research grants with a strong agricultural bias. In a similar vein, IUCN funds research with an ecosystem focus. The WARFSA is a unique regional Fund for research in IWRM and agencies such as IUCN, IWMI and other academic and private institutions can also access funding.

The academia normally receives some research grants from national bi-lateral and multilateral agencies operating within their national boundaries. This however, does not often provide a regional context, which is consistent with SADC Protocol and SADC Treaty.

WARFSA is therefore filling this gap and will soon align itself as a relevant tool with the Regional Indicative Strategic Development Plan (RISDP). This alignment however carries with it a fundamental provision that the process of managing the Fund is as autonomous as possible while still addressing SADC regional priorities and any emerging issues such as gender, HIV and AIDS and poverty reduction. In fact, the Fund should be viewed as an attempt to address SADC goals and aspirations.

3.2. The WaterNetWaterNet is an initiative to establish a regional network for education, training and research on integrated water resources management in the SADC region (IWSD 2004). The University of Zimbabwe and the IWSD launched the WaterNet initiative in 1996 in collaboration with the Institute of Hydraulics and Environment (now the International Institute for Infrastructural, Hydraulic and Environmental Engineering, IHE) Delft, The Netherlands. (Pundit Consultancy 2001). This network was formalized in 2000 and now consists of a number of participating institutions, including the relevant universities and training institutes in the region, the relevant major stakeholders (water authorities, water companies and water industry) and the IHE. The major activities of WaterNet include a modular MSc programme distributed over participating institutions with exchange of lecturers and participants, training courses at different locations in the network and the WaterNet Association, a regional society of water research.

2 IWMI is an international organisation headquartered in Sri Lanka. Its Africa Office is based in South Africa and conducts research on issues of water use in agriculture and livelihoods.3 WaterNet is a network of education and training institutions in the region. Its primary research outputs relate to post graduate work but of late is involved with the Challenge Programme with IWMI.4 IUCN-ROSA’s water programme implements the Water and Nature Initiative (WANI) for Southern Africa, that promotes incorporation of the ecosystem approach to water resources management e.g. ODMP (Okavango Delta Management Programme).5 WWF is an international organisation, with a special focus on wild life, environment and ecosystem management. Have worked on the Kafue Flats (Zambia) and also Campfire (Zimbabwe). Depend heavily on donor funding, but can become a strategic WARFSA partner on bio-monitoring research, livelihoods and environmental integrity.6 ICLEI – Africa office, based in Pretoria seeks to conduct research leading to a fundable proposal for the incorporation of local authorities in IWRM. With a focus on the Limpopo basin, ICLEI, with a number of Southern African and European Institutions (IWSD included) will try to answer the question – How are and how can local authorities be involved in IWRM issues. Currently funded by EU.

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Serious thought has been given as to how to attain the best linkage between WARFSA and WaterNet given that they grew out of common roots, are complementary to one another, and have been cooperating all along (WARFSA 2004). Discussions have considered an amalgamation where WARFSA might be a part of WaterNet (WaterNet 2004) and vice versa (WARFSA 2004). It was recommended in 2004 (WARFSA 2004) that the two continue to be managed separately. This stems from the fact that one is a FUND and the other is a network. The fund is managed on the basis of transparency of allocating funds, while a network operates on shared benefits and vision of members. Major achievements have been scored through the collaboration arrangements of WaterNet and WARFSA, among these the symposium joint meetings. In Phase III this is further strengthened as WARFSA provides funds for MSc research work, further reaching out to the WaterNet member network.

3.3. Global Water Partnership - Southern Africa Water Partnership The Global Water Partnership (GWP) is a global network established by the World Bank, the United Nations Development Programme (UNDP) and the Swedish International Development Cooperation Agency (Sida) in August 1996 and is open to all organisations involved in the water sector (IWSD 2004). GWP’s aim is to promote the implementation of the Dublin-Rio Principles of IWRM that were first agreed on and adopted at the 1992 Dublin Conference. The Southern Africa Water Partnership (GWP-SAWP) consists of regional experts who generally hold senior positions within their respective institutions. Each of the countries in Southern Africa is to form its own National Water Partnership (NWP) that is self-sustaining.

The GWP-SAWP’s objective to form National Water Partnerships country-by-country and WARFSA’s objective of meeting national needs and strengthening through research material institutions are complementary. It goes without saying that the overall objectives in IWRM are similar between GWP-SAWP and WARFSA.

3.4. The SADCThe SADC recognised the need to establish a co-ordinating unit for water. In 1996, the SADC Water Sector was established and hosted by the Government of Lesotho. The Water Sector Co-ordinating Unit was instrumental in spearheading the Regional Strategic Action Plan (RSAP). With the restructuring of SADC and the centralisation in Gaborone, the unit became the Water Division in the Department of Infrastructure and Services. It continues to spear-head water issues in the region and was responsible for the many negotiations that led to creation of river basin organisations such as the LimCom, the OkaCom and ZamCom for the Limpopo, the Okavango and the Zambezi rivers respectively. The Water Division in the department of Infrastructure and Services also facilitated the production of regional water policy and a review of the RSAP, among other things. It remains central in co-ordinating policies around the region and also as an entry point for regional project funding. SADC has through the Division supported WARFSA, Phases I and II and also are prepared to support Phase III.

SADC is an inter-governmental organisation. However, IWRM issues go beyond the government systems and concerns. In order to facilitate coordination and acceptance by all member countries SADC projects are managed through Steering Committees that usually have representatives from each member state. A major difference between WARFSA and other projects of SADC is that WARFSA is a Fund whose purpose is to support research and hence its imperative that the adjudication of proposals and the checking of quality of reports and other outcomes is done by an independent body of scientists knowledgeable in the subject matter. In Phases I, this Board was created and is functioning well. This type of arrangement is consistent with research boards all over the world. As was expected the Board developed statutes and guidelines for operation and

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identified key areas of focus. However, during Phase II it became obvious that there was need to separate the science from the general administration and strategizing and so a management committee was established. Discussions with SADC WD, however went on to try and see how the WARFSA approach could still meet some of the aspirations and management proposals of SADC and vice versa. There are obvious benefits to link firmly into the SADC systems but this has to be done carefully to maintain the autonomy of the WARFSA Board. At the end of Phase II it is becoming clear that some structure, separate from the current WARFSA Board, will still be needed to be the custodian of the policies and statutes, while the WARFSA Board retains the autonomy to operate within the provision of the policies and statutes and make decisions based on these and their strategies. This does not affect the quality of science and the products of the research but ensures that the Board is not the parliament and the policeman at the same time. Therefore during the planning stage of Phase III, this issue will be revisited. What is clear is that any structure that will be created (if this comes about) will not be responsible for the adjudication of proposals, receiving of progress reports and authority to distribute funds but will instead receive reports on how well the board is performing in relation to the agreed statutes and guidelines, can arbitrate in the event of disagreements between a researcher or an institution and the Board. Such arbitration being in line with the agreed statutes as the governing legal instruments. A future scenario may be that the structure becomes the custodian of WARFSA itself as a legal entity, if WARFSA opts to assume its own legal identity. All these ideas will be pursued in Phase III through short studies. The WARFSA Board may also apply to the Consultancy fund to carry out some of these studies if it turns out that the studies are becoming expensive and beyond the budget frame suggested in this proposal..

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4.0. FINANCIAL RESOURCES REQUIRED

In general, WARFSA will strengthen and build on experiences gained and lessons learnt in Phases I & II, permitting it, in Phase III, to remain a driving force for IWRM capacity development and research activities for the next 10 year period. Additionally, there will be plans toward achieving better governance of WARFSA and ensuring its evolution toward a more sustainable demand-driven programme. Budget summaries are provided for years 1-5 in Table 1 and for years 6-10 in Table 2. Detail costs are presented for years 1-5 in Table 3 and for years 6-10 in Table 4.

As evident in the tables, a budget of $9,206,662.88 is required for years 1-5 and $10,311,829.82 for years 6-10, culminating in a total budget of $19 518 492.70.

The AU/NEPAD SANWATCE Secretariat will manage the WARFSA 2.0 Research Fund, and to lead the process of transforming WARFSA into an autonomous, self organised entity in the long term. The managing institution will advertise the Fund and call for project proposal submission following clearly defined guidelines, approved by an independent, Scientific Research Board. The IWSD will be strengthened in this phase to meet the challenges of transformation.

Apart from the long term planning, Phase III has built in lessons, concerns and experiences from Phases I & II. Among these is the introduction of MA/MSc thesis grants allocated to all countries and managed with the support of National Research Councils or Boards7. Criteria will be set for adjudicating proposals in a country and selected proposals will be approved and funded by the WARFSA Board. This does not only build the capacity of young researchers but also makes the research relevant to national priorities. Researchers will work in their own official languages (English, French or Portuguese) and this forms the first step towards addressing issues of equity. This will be worked on in close collaboration with WaterNet to avoid funding duplication.

A second departure is the introduction of pilot research projects focusing on selected themes. This provides opportunity for linking the research to key policy areas. WARFSA, as a Fund, is aiming at building research capacity in IWRM, in addition to helping foster regional collaboration and integration (a key objective within the SADC Treaty and the RSAP-III). In Phase III, a basin wide multi-disciplinary project will be supported which takes into account all facets of IWRM. Call for concept notes and research teams will be made and the WARFSA Board will adjudicate these and ask the successful bidders to submit full proposals for the Board approval and funding. Details of the criteria will be worked out by WARFSA and approved by the WARFSA Board. To further decentralise the operations of WARFSA and prepare it for a stronger regional role, a system of internships (student attachments) will be introduced by WARFSA. This will create a strong base for the future operations of WARFSA and will provide an effective entry point into some countries.

Funds will be disbursed to AU/NEPAD Secretariat, from where the fund will be managed by the AU/NEPAD SANWACTE and accounted for using the set guidelines and procedures.

7 National Research Boards or Councils are country based statutory institutions coordinating, funding and prioritising research in member states. A number of them, for some time, were paying a lot more attention to health or biomedical research. Most of them have access to limited national funds (public and private) and engaging them does not only enhance the legitimacy of WARFSA but positions it firmly as a regional player in IWRM research.

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Table 1: Detail WARFSA budget: Years 1-5Year 1 Year 2 Year 3 Year 4 Year 5 Total Year 1-5

ResearchSub-total 1 408 750.00$ 1 408 750.00$ 1 479 187.50$ 1 479 187.50$ 1 553 146.88$ 7 329 021.88$

Capacity DevelopmentSub-total 199 400.00$ 199 400.00$ 209 370.00$ 209 370.00$ 219 838.50$ 1 037 378.50$

Promotion and Implementing ResearchSub-total 45 000.00$ 20 000.00$ 47 250.00$ 21 000.00$ 49 612.50$ 182 862.50$

Dissemination and Utilisation of ResultsSub-total 80 000.00$ 50 000.00$ 84 000.00$ 52 500.00$ 88 200.00$ 354 700.00$

Long Term PlanSub-total 80 000.00$ 10 000.00$ 114 000.00$ 10 500.00$ 88 200.00$ 302 700.00$

GRAND TOTAL 1 813 150.00$ 1 688 150.00$ 1 933 807.50$ 1 772 557.50$ 1 998 997.88$ 9 206 662.88$

Table 2: Detail WARFSA budget: Years 6-10Year 6 Year 7 Year 8 Year 9 Year 10 Total Year 6-10

ResearchSub-total 1 553 146.88$ 1 630 804.22$ 1 630 804.22$ 1 712 344.43$ 1 712 344.43$ 8 239 444.17$

Capacity DevelopmentSub-total 219 838.50$ 251 830.43$ 251 830.43$ 264 421.95$ 285 421.95$ 1 273 343.24$

Promotion and Implementing ResearchSub-total 22 050.00$ 52 093.13$ 23 152.50$ 54 697.78$ 24 310.13$ 176 303.53$

Dissemination and Utilisation of ResultsSub-total 55 125.00$ 92 610.00$ 57 881.25$ 97 240.50$ 60 775.31$ 363 632.06$

Long Term PlanSub-total 11 025.00$ 92 610.00$ 46 076.25$ 97 240.50$ 12 155.06$ 259 106.81$

GRAND TOTAL 1 861 185.38$ 2 119 947.77$ 2 009 744.64$ 2 225 945.16$ 2 095 006.88$ 10 311 829.82$

Table 3: WARFSA budget summary: Years 1-5Year 1 Year 2 Year 3 Year 4 Year 5 Total Year 1-5

ResearchCompetitive bidding 1 000 000.00$ 1 000 000.00$ 1 050 000.00$ 1 050 000.00$ 1 102 500.00$

0 -$ -$ -$ -$ -$

Seed funding for proof of concept project development (including small pilots) 25 000.00$ 25 000.00$ 26 250.00$ 26 250.00$ 27 562.50$ Major Collaborative, multi-disciplinary basin wide projects 200 000.00$ 200 000.00$ 210 000.00$ 210 000.00$ 220 500.00$

Sub-total 1 225 000.00$ 1 225 000.00$ 1 286 250.00$ 1 286 250.00$ 1 350 562.50$

University admin fee (Financial System; Contracts; Legal advice etc.) 183 750.00$ 183 750.00$ 192 937.50$ 192 937.50$ 202 584.38$ Sub-total 1 408 750.00$ 1 408 750.00$ 1 479 187.50$ 1 479 187.50$ 1 553 146.88$ 7 329 021.88$

Capacity DevelopmentSecretariat (personnel support) 105 000.00$ 105 000.00$ 110 250.00$ 110 250.00$ 115 762.50$ Student attachment 10 000.00$ 10 000.00$ 10 500.00$ 10 500.00$ 11 025.00$ Board and Management Committees

Board Meetings 18 200.00$ 18 200.00$ 19 110.00$ 19 110.00$ 20 065.50$ Scientific Committee meetings 26 000.00$ 26 000.00$ 27 300.00$ 27 300.00$ 28 665.00$

Finance and Audit committee meetings 15 600.00$ 15 600.00$ 16 380.00$ 16 380.00$ 17 199.00$ Management Committee meetings -$ -$ -$ -$ -$

Training (i.e. workshops for research proposal development) 24 600.00$ 24 600.00$ 25 830.00$ 25 830.00$ 27 121.50$ Sub-total 199 400.00$ 199 400.00$ 209 370.00$ 209 370.00$ 219 838.50$ 1 037 378.50$

Promotion and Implementing ResearchPromotion materials 20 000.00$ 21 000.00$ 22 050.00$ Symposium - in conjunction with WaterNet 20 000.00$ 20 000.00$ 21 000.00$ 21 000.00$ 22 050.00$ Nodes -$ -$ -$ -$ -$ Audit 5 000.00$ 5 250.00$ 5 512.50$

Sub-total 45 000.00$ 20 000.00$ 47 250.00$ 21 000.00$ 49 612.50$ 182 862.50$ Dissemination and Utilisation of ResultsPolicy briefs 20 000.00$ 20 000.00$ 21 000.00$ 21 000.00$ 22 050.00$ International Fora 20 000.00$ 20 000.00$ 21 000.00$ 21 000.00$ 22 050.00$ In-country Promotion 30 000.00$ 31 500.00$ 33 075.00$ Translations 10 000.00$ 10 000.00$ 10 500.00$ 10 500.00$ 11 025.00$ Technical Publications -$ -$ -$ -$ -$

Sub-total 80 000.00$ 50 000.00$ 84 000.00$ 52 500.00$ 88 200.00$ 354 700.00$ Long Term PlanMid term review 30 000.00$ Studies (strategy, Legal Status, Communication etc.) 50 000.00$ 52 500.00$ 55 125.00$ Advocacy 10 000.00$ 10 000.00$ 10 500.00$ 10 500.00$ 11 025.00$ Strengthen new systems, Institutions & Implement Strategies 20 000.00$ 21 000.00$ 22 050.00$

Sub-total 80 000.00$ 10 000.00$ 114 000.00$ 10 500.00$ 88 200.00$ 302 700.00$

GRAND TOTAL 1 813 150.00$ 1 688 150.00$ 1 933 807.50$ 1 772 557.50$ 1 998 997.88$ 9 206 662.88$

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Table 4: WARFSA budget summary: Years 6-10

17

Year 6 Year 7 Year 8 Year 9 Year 10 Total Year 6-10

ResearchCompetitive bidding 1 102 500.00$ 1 157 625.00$ 1 157 625.00$ 1 215 506.25$ 1 215 506.25$

0 -$ -$ -$ -$ -$


Sub-total 1 350 562.50$ 1 418 090.63$ 1 418 090.63$ 1 488 995.16$ 1 488 995.16$ 7 164 734.06$






Promotion and Implementing ResearchPromotion materials 23 152.50$ 24 310.13$ Symposium - in conjunction with WaterNet 22 050.00$ 23 152.50$ 23 152.50$ 24 310.13$ 24 310.13$ Nodes -$ -$ -$ -$ -$ Audit 5 788.13$ 6 077.53$

Sub-total 22 050.00$ 52 093.13$ 23 152.50$ 54 697.78$ 24 310.13$ 176 303.53$ Dissemination and Utilisation of ResultsPolicy briefs 22 050.00$ 23 152.50$ 23 152.50$ 24 310.13$ 24 310.13$ International Fora 22 050.00$ 23 152.50$ 23 152.50$ 24 310.13$ 24 310.13$ In-country Promotion 34 728.75$ 36 465.19$ Translations 11 025.00$ 11 576.25$ 11 576.25$ 12 155.06$ 12 155.06$ Technical Publications -$ -$ -$ -$ -$

Sub-total 55 125.00$ 92 610.00$ 57 881.25$ 97 240.50$ 60 775.31$ 363 632.06$ Long Term PlanMid term review 34 500.00$ Studies (strategy, Legal Status, Communication etc.) 57 881.25$ 60 775.31$ Advocacy 11 025.00$ 11 576.25$ 11 576.25$ 12 155.06$ 12 155.06$ Strengthen new systems, Institutions & Implement Strategies 23 152.50$ 24 310.13$

Sub-total 11 025.00$ 92 610.00$ 46 076.25$ 97 240.50$ 12 155.06$ 259 106.81$

GRAND TOTAL 1 861 185.38$ 2 119 947.77$ 2 009 744.64$ 2 225 945.16$ 2 095 006.88$ 10 311 829.82$

19 518 492.70$ Table 5: Detail WARFSA Budget for Years 1-5

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Year 1 Year 2 Year 3 Year 4 Year 5 Total Year 1-5ResearchCompetitive bidding 1 000 000.00$ 1 000 000.00$ 1 050 000.00$ 1 050 000.00$ 1 102 500.00$

0 -$ -$ -$ -$ -$


Sub-total 1 225 000.00$ 1 225 000.00$ 1 286 250.00$ 1 286 250.00$ 1 350 562.50$






Promotion and Implementing ResearchPromotion materials 20 000.00$ 21 000.00$ 22 050.00$ Symposium - in conjunction with WaterNet 20 000.00$ 20 000.00$ 21 000.00$ 21 000.00$ 22 050.00$ Nodes -$ -$ -$ -$ -$ Audit 5 000.00$ 5 250.00$ 5 512.50$

Sub-total 45 000.00$ 20 000.00$ 47 250.00$ 21 000.00$ 49 612.50$ 182 862.50$ Dissemination and Utilisation of ResultsPolicy briefs 20 000.00$ 20 000.00$ 21 000.00$ 21 000.00$ 22 050.00$ International Fora 20 000.00$ 20 000.00$ 21 000.00$ 21 000.00$ 22 050.00$ In-country Promotion 30 000.00$ 31 500.00$ 33 075.00$ Translations 10 000.00$ 10 000.00$ 10 500.00$ 10 500.00$ 11 025.00$ Technical Publications -$ -$ -$ -$ -$

Sub-total 80 000.00$ 50 000.00$ 84 000.00$ 52 500.00$ 88 200.00$ 354 700.00$ Long Term PlanMid term review 30 000.00$ Studies (strategy, Legal Status, Communication etc.) 50 000.00$ 52 500.00$ 55 125.00$ Advocacy 10 000.00$ 10 000.00$ 10 500.00$ 10 500.00$ 11 025.00$ Strengthen new systems, Institutions & Implement Strategies 20 000.00$ 21 000.00$ 22 050.00$

Sub-total 80 000.00$ 10 000.00$ 114 000.00$ 10 500.00$ 88 200.00$ 302 700.00$

GRAND TOTAL 1 813 150.00$ 1 688 150.00$ 1 933 807.50$ 1 772 557.50$ 1 998 997.88$ 9 206 662.88$

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5.0. OBJECTIVES, ASSUMPTIONS, RISKS AND PRECONDITIONS5.1. Development objectiveTo contribute to the sustainable development and management of water resources in the SADC region in order to ensure that water is used in a manner that promotes social and economic development with due consideration to ecological requirements.

Assumptions An enabling environment that allows effective interaction between researchers and

policy makers in the region exists. There is willingness among individual SADC countries to share issues requiring

research, and seek and adopt new strategies and policies that are aimed at protecting and managing water resources.

5.2. Immediate objectives

1. To build research capacity in IWRM in the region.

Assumptions Good quality research projects are generated. Capacity to develop high quality and fundable research projects in the SADC region

exists. Basic research expertise that can be strengthened through training is available in the

region. Sufficient numbers of gender sensitive proposals can be identified. Adequate numbers of post-graduate students will participate on projects and IWRM

training courses.

Risks

Low numbers of proposals from Portuguese and French speaking nations. Inability of SADC to create a conducive environment for a coordinated approach to

capacity building Failure of the “basket funding” approach to supporting WARFSA in the medium to

long term.

2. To promote and facilitate the implementation of multi-disciplinary research projects in integrated water resources management in the region.

Assumptions Institutions and organisations in the region are interested and willing to

collaborate with each other in activities related to IWRM and are able to identify research topics of mutual interest.

Scientists and other regional and international organisations such as SADC WD and the SAWP appreciate the need for the Research Fund and give it their support and commitment.

An enabling political and economic environment for operating the Research Fund and for regional co-operation exists.

Risks Regional perception; WARFSA not sufficiently recognized amongst all IWRM

stakeholders. Previous awardees dominating project submissions. Organisational arrangements for the basin wide project proves too complex Apathy within the IWRM research community due to the current high proposal

rejection rate (69%).

3. To promote the utilisation of research results for decision-making aimed at ensuring sustainable development of water resources in the region.

Assumptions The need for an effective interaction been researchers and decision-makers is

appreciated. Stakeholders are willing to be involved in research projects, seminars and other

activities of the Fund. The research results are applicable and relevant. Willingness of stakeholders to use

the results. Adopted information dissemination strategy is effective. Postal, electronic and other communication channels in the region are effective. Willingness to participate in seminars, symposia and other for a by regional

stakeholders.

Risks Integration of WARFSA into regional development structures not yet

accomplished. WARFSA remains project driven. Competing interests amongst IWRM stakeholders not moulded into a common

vision for the greater good of all. Value of water as an economic and social good not fully appreciated within the

region.

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6.0. INDICATORS AND MEANS OF VERIFICATION

6.1. Indicators for development objectiveTo contribute to the sustainable development and management of water resources in the SADC region in order to ensure that water is used in a manner that promotes social and economic development with due consideration to ecological requirements.

Indicator Means of verification Several research projects that

address IWRM issues being implemented in SADC countries.

Published research results that are accessible to decision makers and used for decision-making.

Documents by regional governments that outline areas where research results have been or can be applied.

6.2. Indicators for immediate objectives

1. To build research capacity in IWRM in the region.

Indicator Means of verification A functional Fund management

structure in place and performing the outlined terms of reference.

Timely administration of applications and non-biased proposal selection.

Stakeholder workshops to define region priority research areas regularly held.

The brochure of the Fund periodically produced and circulated widely and applications for research funds being received.

Proposal writing courses being held and used to encourage researchers to identify possible collaborators.

The available WARFSA management facilities and bank account and amount in bank.

Brochures calling proposals and WARFSA operational guidelines

Number of meetings and available minutes of meetings held.

Progress and project proposal review reports Number of MSc research proposals.

Minutes of Board meetings. Number of projects reviewed, funded and reports

being produced. Publications, symposia and seminars given by

researchers funded through the Fund.

Reports of the stakeholder workshops.

Number of people receiving brochures and responding to the announcement.

Number of applications for research funds being received by the Fund management.

Number and reports of training courses held. List and number of regional scientists trained. List of projects submitted by trained researchers. Reports, publications and presentations at

seminars/conferences by trained researchers.

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2. Promote and facilitate the implementation of multi-disciplinary research projects in integrated water resources management in the region.

Indicator Means of verification Multi-disciplinary and

collaborative research projects addressing regional water problems being implemented.

In addition to 13.2.1. (above), one collaborative project is implemented.

Tangible results are obtained, preferably of a publishable nature.

3. To promote the utilisation of research results for decision-making aimed at ensuring sustainable development of water resources in the region.

Indicator Means of verification Research results being widely

disseminated through various channels such a presentation at national and regional symposia and workshops, Newsletters and the Internet.

Stakeholders are aware of the objectives of the projects being implemented and are actively involved in their implementation.

Regular seminars with active stakeholder participation being held.

Sections addressing the applicability of research results are being included in reports.

Number and available seminar and workshop reports. The news items in Newsletter issues dealing with

activities of the fund. The Fund website on the Internet and researchers

accessing the Internet. Number of stakeholder workshops held.

Number of stakeholders involved and aware of projects being implemented.

Research reports with clearly outlined potential application of results.

Reports that outline number of stakeholder seminars held and the number of people attending.

Documented cases where information has been used for management purposes.

Documents of national plans in relation to IWRM.

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7.0. ORGANISATION, MANAGEMENT AND ADMINISTRATION OF THE WARFSA

7.1. Managing institutionIt is important that the management institution is credible, accountable, has low degree of formal procedures (bureaucracy) and has extensive knowledge of water related activities currently taking place in the region. The WARFSA will be managed and administered by the AU/NEPAD Southern African Network of Water Centres of Excellence (SANWATCE) Secretariat, currently hosted by the Stellenbosch University, a institute of higher education in Stellenbosch, South Africa. Funding of the WARFSA programme will be administered by the AU/NEPAD SANWATCE secretariat, making use of the financial structures of the AU/NEPAD.

The fact that the WARFSA will be managed by a regional organisation will make it possible to; Provide the region an opportunity to set own research agenda. Ensure that research projects being funded address local priorities and needs. Promote local ownership of research projects and results. Build regional capacity to manage research funds. Enable the sustainability and viability of the Fund to be assessed.

7.2. Management Structure

Role of the Fund Management: The AU/NEPAD SANWATCE Secretariat will initially assess the projects in terms of compliance with application requirements. After this, the proposal will be passed to at least three referees. The AU/NEPAD SANWATCE Secretariat will convene a Research Board meeting where all those projects that have satisfactorily passed through the refereeing process are presented for a decision on allocation of funds. The AU/NEPAD SANWATCE Secretariat will identify advisers who will visit problem research projects when necessary to discuss and advise on the project implementation process. The Fund management will advertise the WARFSA, organise training workshops and seminars and annual symposia that are used by the researchers as fora for exchange of ideas and information. In addition, the Fund management will produce an annual report covering the activities of the WARFSA. The management structure is outlined in Appendix 2.

The role of the referees: The referees will be made up of regional water sector professionals requested to assist in the project refereeing process. They will be technical experts in a particular subject area and should have a good publication record. The referees will review proposals according to a set of review guidelines. Special attention will be paid to the proposal’s scientific merit, financial resources required, appropriateness of the research team and an opinion on the suitability of the project for funding. The referees will not have to meet but can attend conferences and seminars organised by the Fund. The Fund management will compile the information provided by the referees and pass this on to the Research Board that has the final decision regarding funding.

24

The role of the Research Board: While the managing institution will be responsible for the daily operation and management of the WARFSA, the decision regarding the research plans and priorities as well as which projects should be funded currently rests with the Research Board. The Research Board will be constituted and will be made up of 12 people. These are very senior water sector practitioners and donor representatives. Board meetings are held twice a year in a regional country. Appointment to the Board is done through wide regional consultations. The terms of reference and selection criteria for membership to the Research Board are outlined in the WARFSA Operational Guidelines and Status. To separate the science from the general management, a management committee has been established.

7.3. AccessibilityResearch grants will be disbursed only to researchers and/or research teams who are attached to government departments, universities and non-governmental organisations and other institutions. The funds will not be available to researchers as individuals. Although preference is given to applications from SADC nationals and residents, the WARFSA, among other things, will be used to facilitate research collaboration among regional and North and South researchers. The research proposals have to originate from and be conducted within a SADC country. Priority will be given to young scientists with potential for innovative research and projects that have clearly defined gender considerations or that target other priority issues. The current list of eligible research areas are presented in Appendix 1. The format for project proposal preparation is outlined in the WARFSA Operational Guidelines and Statutes. The need for the Board to institute some affirmative action in order to ensure that other weak SADC countries also benefit from the WARFSA is realised. This will be done by either encouraging strong and experienced researchers to twin with researchers from disadvantaged countries or by provisionally allocating funds to interesting but scientifically weak project proposals. Such projects can be further developed with the assistance of other more experienced researchers, refereed and funded.

7.4. Research project selection criteria and priority research areasA number of criteria will be used to rank research proposals, including the relevance to integrated water resources management, quality of proposal regional collaboration, gender balance in the research team, feasibility, and cost, will be assessed. Proposals focusing on the three themes of capacity building, IWRM promotion and development of knowledge, will be viewed as important. Additionally, the competency of researchers, the level and potential for institutional support (home and extended), originality, and applicability of results, are other factors of consideration. It is appreciated that in order to build research capacity, some inexperienced researchers have to be supported in order for them to be able to develop the necessary research skills. It is therefore a requirement that such applicants have to demonstrate that they have the necessary support from other experienced researchers from within their institutions or from elsewhere. Further, the attainment of a higher degree within the overall framework of the proposal will be an added advantage. The selection process will require that the proposals be critically reviewed to assess the involvement of end users of the proposed results. Priority will be given to projects with a gender perspective and that demonstrate regional research co-operation and are multisectoral or multidisciplinary in nature. Although cooperation with northern institutions will be encouraged, such northern institutions will be advised to identify

25

their own funds where possible in order to help build the research capacity in the south. The Fund administration, however, will remain very flexible in order for it to address the identified needs.

7.5. Information dissemination and useLack of regional research information dissemination and strategies for doing so have been identified as some of the most important gaps of WARFSA. The need for stakeholder and end user involvement in the development of the research proposals is viewed as being useful to encourage the stakeholders to implement research findings. This is largely because the end users will have contributed in the definition of the research objectives, are aware of the existence of the project and of the potential use of the results. WARFSA aims to involve the users and other stakeholders in proposal development and where possible dissemination of research results. Researchers benefiting from the Fund will be encouraged to initiate high-level awareness campaign among senior government officials and policy makers to encourage the incorporation of research findings in national and regional water sector policies. This will be done through publication of research results in newsletters, workshops and seminars.

26

8.0. MONITORING, REPORTING AND EVALUATION

Monitoring will be done at two levels. There will be monitoring mechanisms established for the overall program and also during the research projects implementation.

8.1. Monitoring of research projects by the management agency The WARFSA will establish monitoring and review mechanisms at various stages of implementation. The most important monitoring tools are highlighted below.

Project proposal: It is important to clearly outline the structure, format of the proposal and the procedures that need to be followed during the submission. It is important to ensure that all those issues pertaining to the quality of the projects are specified. These include the fact that some projects will be reviewed on a competitive basis except those where the Board feels that some affirmative action is required. The need for all the projects that are submitted to have institutional support will be highlighted and this will be verified through the signature of the head of institution. This is based on the assumption that the head of the institution will have read the proposal and satisfied with the quality of the proposal. The knowledge of both the institute and the applicant can also be used to determine the quality of the proposals.

Project proposal assessment: WARFSA will be administratively structured in order to ensure a multi-stage assessment of the quality of the proposal. The Fund manager will initially assess the project in terms of structure, format, language and to a limited extend, technical content and merit. After this, the proposal will then be passed to at least three independent referees, each an expert on that particular subject. The referees will review the proposals according to the guidelines provided, including scientific merit, financial resources required, appropriateness of the research team and an opinion on the suitability the project for funding. These details will be made available to the Secretariat. The Fund management will compile the information provided by the referees and this will be passed to the Research Board that will have the final decision regarding funding.

The Agreement: After the project proposal has been approved for funding, a contract will be drawn between the Secretariat, the researcher and the institution to which the researcher is affiliated. The contract will give details of the conditions under which the funds are awarded, the time frame during which the project will be implemented, the frequency of the disbursement of funds, reporting frequency, expected outputs etc.

Project Implementation: During the project implementation, there will be a clear distinction between the role of the WARFSA manager and that of the researcher to ensure the quality of the project results. The Secretariat together with the Research Board will identify advisers who will visit the problem projects on a regular basis to discuss and advise them on the project implementation process. It will also be a requirement that the Secretariat organise annual seminars and conferences, which can be used by the researchers as fora for exchange of ideas and information. In addition, the Fund management will be required to keep close contact with the researchers and to produce an annual report covering the activities of the WARFSA.

27

Role of researcher: The researchers will be required to attend and present papers at the annual symposia to be organised by the Fund during the project implementation. It will be mandatory that each researcher produces an annual technical and financial report for each of the projects funded through the WARFSA. Referees, preferably those that did the initial review, will be provided an honorarium to review the progress reports and submit a summarised report to the Board to allow them to decide whether more funds should be released. At the end of the project, a final technical report will be produced by the researcher(s) and reviewed by an expert in the particular field identified by the Secretariat. An audited financial report will be made available. Researchers will be encouraged to publish the results in peer reviewed journals and credit will be given to those who demonstrate that their research results are being applied in the sector. Project backstopping support: During the implementation of the project, selected experts in a defined area will be approached and appointed to examine problem projects as required. Detailed terms of reference for the examination will be developed and these will vary depending on the nature of the difficulties that each project is facing. During these visits, the opinion of the head of the institution to which the researcher will be attached and that of other senior project supervisors will be obtained. A report for submission to the Fund manager and the Research Board will be written. This will highlight areas where specific action will be required and any other support that the researcher might require.

8.2. Program monitoringThe results of the monitoring mechanisms established for individual projects will be used to assess the performance of the program. The Research Board will assess the performance of the program during their meetings and through reports that will be produced for donors and the Board. Where problems are identified, these will be discussed during Board meetings and corrective measures taken.

8.3. Reporting requirements to fund donorsThe AU/NEPAD SANWATCE will sign an agreement for the implementation of the WARFSA with donors. The Agreement will stipulate the reporting requirements of donors. It is anticipated that progress reports and financial statements and half year work plans will be produced once every 6 month. The same reports will be made available to the Research Board members for their information.

28

9.0. FLOW OF FUNDS, ACCOUNTING AND AUDITINGFunds will be disbursed to the AU/NEPAD, which will be accessible to the AU/NEPAD SANWATCE Secretariat, as hosted by Stellenbosch University, before it is made available to researchers.

9.1. Flow of funds from donors to the AU/NEPADAn agreement between donors and the AU/NEPAD will be signed outlining the terms and conditions of the funding. In order to ensure easy management and a steady flow of funds to researchers (Appendix 3), it is proposed that all the requested funds be disbursed as a lump sum.

9.2. Flow of funds from the AU/NEPAD, as executed by the AU/NEPAD SANWATCE Secretariat to the researchers Once the Board has approved funding for the project, the AU/NEPAD SANWATCE Secretariat will inform the Principal Investigator of the decision of the Board and that if the funds are not taken up within two months of the offer, then the offer will be withdrawn. An agreement between the WARFSA and the recipient institution is signed. The researchers will be required to submit a detailed work plan and associated costs for a period from the time of implementation to the time of the next Board meeting. The work plan and request for disbursement should be accompanied by details of the receiving bank account.

Funds will be disbursed on the basis of the work plan. Before the Board meeting, all researchers will submit detailed technical and financial reports. The financial report will be signed by the same person that signed the Agreement on behalf of the recipient institution. Referee reports will be passed to the Board, summarizing the main issues. After a careful analysis of these reports, the Board can either recommend that further funds be released or can request that an independent examination of the project or audit be conducted. All the details will be clearly spelt out in the Agreement. The flow of funds is indicated in Appendix 3.

29

10. BIBLIOGRAPHY

Agenda 21. 1992: Protection of the quality and supply of freshwater resources: Application of integrated approaches to the development, management and use of water resources, Agenda 21, Chapter 18. United Nations Conference on Environment and Development.

Brown L. R. (ed.). 1995. State of the world 1995. Earthscan Publications Ltd., London.

Delft. 1993. Water and Environment, Key to Africa's Development. The Delft Agenda Building Capacity in Sub-Saharan Africa, IHE, Delft, The Netherlands.FAO. 1990. An International Action Programme on Water and Sustainable Agricultural Development: A Strategy for the Implementation of the Mar Del Plata Action Plan for the 1990s. FAO, Rome.Fruhling, Pierre. 1996. A liquid more valuable than gold: On the water crisis in Southern Africa, future risks and solutions. Sida.

Gleick P. H. (ed). 1993. Water in crisis. A guide to the world's fresh water resources. Oxford University Press, Oxford, UK.

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Hocutt, C.H. 2005. Strategy for the Water Research Fund for Southern Africa (WARFSA), 2005-2010. June 2005.

IWSD. 2001. Guidelines for the operation and management of the Water Research Fund for Southern Africa.

IWSD. 2002. Project Proposal Phase II: Support to the Water Research Fund for Integrated Water Resources Management in Southern Africa. Proposal submitted by IWSD to Sida.

IWSD. 2004. Project Concept Note, Phase III: Support to the Water Research Fund for Integrated Water Resources Management in Southern Africa. October 2004.

Kock, E. 1996. Ban provokes labour outcry. Mail and Guardian 24-30 May, Johannesburg, South Africa.

Maya, R.S. 1996. Perspectives on water quality and conservation in Zimbabwe's urban centers. Phase 1 Report, Urban Water Quality and Conservation Project. Southern Center for Energy and Environment, Harare, Zimbabwe, 1996.

Krugmann, H. 2002. Water Research Fund for Southern Africa (WARFSA): Project Evaluation. Final Report to Sida, 31 January 2002.

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Pundit Consultancy. 2001. PCN 23: WaterNet. Building Capacity for Integrated Water Resources Management in the SADC Region. December 2001.

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SADC. 2004. Dar-es-Salaam Declaration on Agriculture and Food Security in the SADC Region

SADC. 1997. Gender and Development: A declaration by Heads of State or Government of the Southern Africa Development Community (SADC) and the Prevention and Eradication of Violence against Women and Children. An addendum to the 1997 Declaration on Gender and development by SADC Heads of State or Government

SADCELMS. 1994. Proceedings of the workshop on the development of an integrated water resources management plan for the Zambezi Basin, Livingstone.

Sida. 1999. Position Paper on the Management and Use of Water Resources: A summary of Sida’s experiences and priorities. SIDA, Stockholm.

Sharma, N.P., Damhaug, T.,Gilgan-Hunt, E.,Grey, D., Okaru, V. and Rothberg, D. 1996. African Water Resources: Challenges and opportunities for Sustainable Development. World Bank Technical Paper No. 331.

Stockholm Environment Institute. 1997. Comprehensive Assessment of the Freshwater Resources of the World. Stockholm Environment Institute, Stockholm, Sweden.

Van der Zaag and Ndamba, J. 1997. Assessment of Integrated Water Resources Management Activities in the Southern Africa Region: A Preliminary Inventory. Institute of Water and Sanitation Development, 1997.

WARFSA. 2004a. WARFSA Strategic Planning Meeting. Harare, 21-22 January 2004.

WARFSA. 2004b. Operational Guidelines and Statutes. IWSD, Harare.

WARFSA. 2005. WARFSA: Report Board Meeting 13. Harare.

WaterNet. 2004. Minutes of the 11th WaterNet Steering Committee Meeting. Windhoek, Namibia. 1 November 2004.

Water Supply and Sanitation Development in Africa. 1997. Africa Sector Review. Water Supply and Sanitation Collaborative Council; October, 1997.

World Resources Institute. 1994. World Resources 1994-1995, People and the environment. Oxford University Press, Oxford/New York

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APPENDIX 1. WARFSA eligible research areas (WARFSA 2004b).

1. Water use, conservation and technologiesSustainable management of water resources using an integrated approachWater demand managementWastewater re-useMicro-catchment management practicesLand use practices and their influence on water resourcesSystems approach in IWRM

2. Social, political and economic issuesSocial and economic influences of water on community developmentCost recovery and willingness to payEcological sanitationWater allocation and re-allocation strategies at micro- and macro-river basin scalesGender issues related to IWRMWater and politics

3. Policy and legal issuesWater and security (in a conflict related perspective on a local, regional and international level)Management of shared water coursesInstitutions and their role in IWRMLegal framework for trans-boundary waterWater harnessing and release policies and their influence on river systems (river morphology, sediment transport, and other ecosystemsInter-basin transfers

4. Ecological water requirementsWater quality and quantity for aquatic ecosystemsBio-monitoringHuman impacts on aquatic ecosystemsSustainable use of living/ natural resources from aquatic ecosystemsSustainable use of aquatic ecosystem

5. Promotion of better use of precipitationWater as a resource for small-scale farmersRain water harvestingMoisture retention of soilsSystem approaches to links between rainwater harvesting, agricultural productivity, hydrology, ecology, and society

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APPENDIX 2.- THE MANAGEMENT STRUCTURE OF THE WARFSA.

Research Board [Fund Allocation]Made up of broad based experts with knowledge about IWRM in the region. Defines terms of reference and guidelines for the Fund Management. Meets twice a year and allocates funds to

projects according to regional research priorities. Reviews reports of progress report from referees and decide either to release or withhold funding.

AU/NEPAD SANWATCE Secretariat [Management]Fund management by AU/NEPAD SANWATCE Secretariat full time staff assisted by an

officer and secretaryReceives and makes preliminary assessment of projects. Keeps close links with the referees

Referees [Scientific Review]Recognised water experts of various disciplines

Reviews project proposals and provide scientific opinion about suitability for funding.Review progress and final reports and prepare report for the Board

Funding Agency (Provide funds)Receives and reviews progress and financial reports produced by the AU/NEPAD SANWATCE Secretariat as hosted by the Stellenbosch University.

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APPENDIX 3. THE FLOW OF FUNDS FROM THE FUNDING AGENCY TO THE AU/NEPAD SANWATCE Secretariat AND THE RESEARCHERS.

After an Agreement has been signed between the AU/NEPAD, as executed by the SANWATCE Secretariat, funds are deposited into the WARFSA account at AU/NEPAD by the funding agency.

Researchers submit proposals in response to call for proposals. These are reviewed by the referees and WARFSA Board and some projects are recommended for funding.

Researchers are notified that their proposals have been approved for funding and an Agreement between the WARFSA and the recipient institution is drafted and signed.

Funds are released to the recipient institution based on a work plan. The funds should be adequate to cover research activities until the next Board meeting when technical and financial reports are submitted.

The Board either approves the reports and recommends that further funds be released or rejects the reports and asks for the project to be investigated.

More funds are released but based on a work plan and an accompanying budget.

The AU/NEPAD SANWATCE Secretariat prepares half year and annual financial reports that are submitted to donors.

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