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Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers



Designing scaling strategies that are adaptive to context and available resources requires an understanding of the enabling environment in which the scaling processes are embedded. This can be achieved by conducting an analysis to identify enablers and hinderers influencing farmers’ adoption of irrigation and water management technologies, and introducing measures to ensure success. This tool provides a structured guide to carrying out this analysis in a specific context. Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers IWMI • 3

Agricultural innovation scaling A tool for Enabling implementers environment analysis Analytical scope and framework Methodology and implementation plan

1 Agricultural innovation scaling

1. Agricultural innovation scaling For decades, efforts to develop and scale agricultural systemic approach to innovation, with due attention innovations have overemphasized linear innovation paid to the possible consequences of scaling efforts. We transfer via technology demonstration and view scaling agricultural innovations as a looping/cycling dissemination. This was based on the assumption process of systemically and repeatedly identifying what that innovations would be spontaneously and widely works, what fits and who is responsible (Wigboldus et adopted as a result of the trickle-down effect. Actual al.2016). The dissemination/adoption stage and the scaling approaches tend to be empirical but do not design and development of (bundled) technologies sufficiently take into account the complex realities and practices are, therefore, intertwined in this scaling of ‘softer elements’ such as people, supply chains, process to inform what works and what fits. Designing markets, financing mechanisms, policies and regulations, scaling strategies that are adaptive to context and professional knowledge, power relations, incentives, available resources requires a systemic analysis to history, etc. As a consequence, scaling initiatives often identify technology and service options, bundling do not produce the desired impacts. In some instances, interventions, and enabling and hindering factors for they may produce undesirable impacts in the form of scaling (Figure 1). The systemic analysis can be carried negative spillovers or unanticipated side effects such as out from different entry points and across levels, environmental degradation, loss of access to resources including the policy environment, scaling ecosystem and social inequality. and (irrigated) agricultural value chain. The analysis presented here is part of a wider systemic analysis Therefore, in this brief, we conceptualize agricultural tool to design adaptive scaling strategies (Minh et al. innovation scaling processes as an integral part of a Forthcoming). Policy Designing Irrigation environment adaptive supply chain Scaling scaling of ecosystem irrigation and Irrigated Natural agricultural environment water value chain management Farming and irrigation system solutions Figure 1. Systemic analysis facilitating the design of adaptive scaling strategies. Source: Minh et al. Forthcoming.

2 Enabling environment analysis Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers IWMI • 7

2. Enabling environment analysis In the subset of innovations in agricultural water management, agricultural value chains have been found to be the most typical operational setting in adaptive scaling approaches (Figure 2) (Devaux et al. 2018). It is essential to understand the enabling environment in which the scaling processes are embedded. This can be achieved by conducting an enabling environment analysis to identify enablers and hinderers influencing farmers’ adoption of the technologies, and introducing measures to ensure success. The enabling environment in an (irrigated) agricultural value chain is composed of the sets of policies, informal institutions, support services and other conditions that create or improve and maintain a general operational environment, bringing together value chain actors in a cooperative manner. Therefore, the enabling environment can be divided into the following three categories. (i) A policy environment encompassing a set of policies and regulations that establish the basis for scaling irrigation and water management solutions as well as value chain actors’ behaviors and power relations affecting irrigation development and value chain performance. (ii) Interventions encompassing government programs and projects as well as services and support provided by the private sector and other practitioners that enable the scaling of irrigation and water management solutions. (iii) An embedded environment encompassing both social and political embeddedness such as traditions, norms, religions, cultures, conventions, beliefs and sociopolitical imperatives that comprise an informal institutional context shaping value chain actors’ behaviors regarding the adoption and facilitation of irrigation. Irrigation Input supply supply Embedded environment Farmer producers Incentive Traditions, norms, Collectors/traders Value added by religions, cultures, and benefits for conventions, beliefs, Processors sociopolitical Market actors each actor imperatives Facilitating Policy environment services Policy, commercial laws, finance, market Transport, information, standards, storage, imports, markets, technology, exports, dealers, food safety, innovation, property rights communication Consumers Figure 2. Irrigated agricultural value chain: An operational setting for irrigation innovation scaling. IWMI • 8 Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers

Objectives and questions ▪ What solutions/models/approaches could facilitate the scaling of technologies? The enabling environment analysis aims to understand enabling and hindering factors for scaling suitable 3. Embedded environment irrigation technologies, identify constraints and opportunities for scaling technology, and develop ▪ What informal rules, politics, traditions and cultures recommendations for policy makers and practitioners to influence the development and implementation of scale irrigation technologies. The analysis seeks to provide the policy/regulatory framework? insights using the following questions: ▪ What customs, traditions, ethics, social norms and 1. Policy environment religious beliefs shape the practices of different actors (i.e., governments, businesses, irrigators) in ▪ What are the existing policies, programs and scaling irrigation technologies (i.e., land ownership, strategies (PPS) that promote the scaling of water gender norms, social structures, etc.)? management solutions? ▪ How do the day-to-day operations of value chain ▪ What are the objectives of these PPS and who are the actors (i.e., private sector, farmers) and markets target beneficiaries? influence actors’ decision-making regarding promoting or not promoting the scaling of irrigation ▪ How are these PPS being implemented and what are technologies (i.e., interests, prices, wages, costs, the dynamics/changes? ability, network, etc.)? ▪ What are the constraints and opportunities that the Expected outputs PPS present for scaling irrigation technologies? A country-specific report containing the following: 2. Interventions ▪ Narratives of the policy framework supporting ▪ What is the impact of existing PPS that promote irrigation development and the scaling of the scaling of water management solutions on the technologies. ground? ▪ Narratives of public and private sector interventions ▪ What other interventions exist beside the policy supporting the scaling of irrigation technologies and framework and what are their impacts? services. ▪ What are the gaps between the policy framework ▪ Narratives of the informal institutional and and its implementation, and what gaps exist in embedded environment. intervention implementation? ▪ Synthesis analysis as a basis for making ▪ What constraints and opportunities do policy and recommendations for policy, successful scaling and intervention implementation present for scaling alternative scenarios to scale irrigation and water irrigation technologies? management solutions. Brothers Gideon and Steven use a petrol pump to pump groundwater for watering their plants in Ghana. IWMI • 9 (photo: Nana Kofi Acquah/IWMI). Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers

Sabita Yadav uses solar irrigation to grow vegetables in Kamalpur, Nepal (photo: Nabin Baral/IWMI). IWMI • 10 Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers

3 Analytical scope and framework Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers IWMI • 11

3. Analytical scope and framework To achieve the above objectives and expected outcomes, the analysis covers four major areas (Figure 3): I. Reviewing the policy/regulatory framework II. Studying policy implementation and interventions on the ground III. Analyzing the informal institutional context IV. Synthesizing the results as a basis for making recommendations I Reviewing the policy/ Studying policy regulatory framework II implementation and interventions on the ground Analytical scope and framework III Analyzing the informal IV Synthesizing the results institutional context as a basis for making recommendations Figure 3. Enabling environment analysis to enhance the scaling of irrigation and water management technologies. IWMI • 12 Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers

I. Reviewing the policy/regulatory framework Different policy clusters that influence the scaling of irrigation and water management technologies are reviewed to: ▪ provide an overview of the policy coverage for scaling; ▪ assess the objectives of the policy framework/coverage and its target populations; ▪ analyze dynamics and changes in the policy framework; ▪ identify problems and gaps in the policy framework; and ▪ identify constraints and opportunities that the policy framework present for scaling technologies. The different policy clusters include but are not limited to: ▪ general framework for development (e.g., food security, climate change adaptation, poverty reduction, rural development); ▪ regional water management policies; ▪ land ownership and use policies; ▪ agricultural development policies and strategies (e.g., production, processing, marketing, consumption); ▪ water policies (e.g., development, supply, use, allocation, prioritization, management); ▪ environmental policies and strategies (storage, infrastructure, watershed management, green growth); ▪ irrigation development policies and strategies; ▪ agricultural input (irrigation) supply policies and strategies (e.g., tax exemptions, subsidies); ▪ research and development policies and strategies; ▪ agricultural extension (innovations) policies and strategies (e.g., technology transfer, innovation systems); ▪ agricultural credit policies; ▪ private sector participation, and public-private partnership policies and strategies; ▪ institutional arrangements/coordination mechanisms; ▪ gender and social inclusion policies; and ▪ market/value chain policies. The policy analysis has six steps: (i) developing an inventory of relevant and existing policy documents (ii) individual policy analysis (iii) policy cluster analysis (iv) cross-cluster analysis (v) overall analysis (vi) validation of results These steps are presented in Table 1. Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers IWMI • 13

Policy analysis: TABLE 1 Analytical steps and content to analyze i ■ What to search for: establish sets of key words to search for policies, policy Developing an implementation documents, policy analysis inventory of reports, policy assessment reports, scientific relevant and publications and donor reports. Develop existing policy the initial sets of key words based on the documents different policy clusters listed above. These sets are continuously updated during the search and analysis process. ■ Where to search: online; extension services; key informant interviews with government ministries, agencies and departments and donors; and libraries of government ministries, agencies and departments, as well as academic and research institutes. ■ Where to store: develop a policy inventory database and a sharing platform. Output: country-specific inventory/database of policies. ■ objectives, goals, aims (anticipated outputs and ii outcomes); The individual ■ thematic areas; policy ■ rationale/context; analysis analyzes ■ frameworks; content in the policy ■ existing enabling environment within the policy documents to documents (gaps); assess: ■ implementation strategies; ■ target group (beneficiaries) and social inclusion; ■ focus/priority; ■ relation to irrigation technologies/solutions/scaling; ■ implementation mechanism; ■ conflicting issues within existing policy documents (e.g., unclear mandates among implementation institutions); and ■ dynamics and changes in policy documents. IWMI • 14 Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers

iii ■ overall objective of the cluster; ■ gaps/overlap; The policy ■ policy changes; cluster analysis ■ conflicts in document structure; looks for ■ conflicts between implementation mechanisms; and ■ relation to irrigation technologies/solutions/scaling. iv The cross-cluster analysis ■ conflicts between clusters in relation identifies common and to irrigation technology scaling; and uncommon patterns between different policy documents ■ gaps/complementarities in relation and policy clusters to irrigation technology scaling. v ■ target groups/beneficiaries/social inclusion; The overall analysis reflects on the ■ opportunities for scaling irrigation cluster analysis, and technologies; moves within and between different ■ challenges for scaling irrigation policy clusters to technologies; identify: ■ gaps/constraints/bottlenecks; ■ potential solutions/ recommendations; and ■ sustainability. Output: country-specific policy analysis report. vi ■ interactions with relevant stakeholders/ individuals to gather more information; and Validation of results is carried ■ a multi-stakeholder (policy makers and out through: influencers) meeting to discuss the initial results (can be combined with validation of results from the intervention analysis (see section II). Output: meeting report. Analyzing the enabling environment to enhance the scaling of irrigation and water management technologies: A tool for implementers IWMI • 15