Version 1 2018 - kcsap.go.ke

MINISTRY OF AGRICULTURE,LIVESTOCK, FISHERIES AND IRRIGATIONSTATE DEPARTMENT FOR CROPS DEVELOPMENT

PROJECT IMPLEMENTATIONMANUAL

Version 1 2018


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Capital Hill Towers, Cathedral RoadP. O. Box 8073 00200, NAIROBI

Tel: +254 020 [email protected]

Website: www.kcsap.go.ke

KENYA CLIMATE SMART AGRICULTURE PROJECT KCSAP

KCSAP Kenya Climate-Smart Agriculture Project

KENYA CLIMATE-SMART AGRICULTURE PROJECT

(KCSAP)

PROJECT IMPLEMENTATION MANUAL

(PIM)

VERSION 1

2018


Kenya Climate-Smart Agriculture Project (KCSAP)Capitol Hill Towers, Cathedral RoadP.O Box 8073 00200NairobiTel: +254 020 2715466Email: [email protected]: www.kcsap.go.ke

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FOREWORD

Kenya’s agricultural sector continues to be a key economic and social driver of development. Overall, the sector directly contributes about 25% of Kenya’s GDP and about 27% indirectly through linkages to agro-based industries and the service sector. The sector accounts for over 65% of exports, provides about 75% of total employment and supports over 80% of the rural population.

The Kenya Vision 2030 recognizes the importance of agriculture in its goal of achieving an average GDP growth rate of 10 percent per year by year 2030. This level of growth will be crucial for attaining the SDGs 1 and 2 of ending poverty and hunger respectively. Vision 2030 impresses on the importance of transforming smallholder subsistence agriculture into an innovative, commercially oriented, and modern sector. It identifies the major challenges as low productivity, underutilized land, inefficient markets and limited value addition

The agricultural sector responded to Vision 2030 by developing the Agricultural Sector Development Strategy (ASDS) 2010–2020, which aims at attaining an average agricultural sector growth of 7 percent per year. In line with Vision 2030, the ASDS seeks to address two critical challenges: (i) increasing the productivity, commercialization, and competitiveness of agricultural commodities; and (ii) developing and managing key factors of production, such as land, water, and rural finance. With respect to adaptation to climate change, ASDS prioritizes investments in weather information systems, research on drought tolerant crop varieties, soil and water conservation, water harvesting, and strengthening integrated pest management systems. For livestock subsector, ASDS prioritizes improved management of grazing systems, biogas, livestock diversification and improved breeding of animals

The performance of the agricultural sector has been volatile, partly due to climate change that manifests itself through unpredictable weather patterns, drought and floods. The frequency and intensity of severe weather events has increased, and this trend will be further amplified in the future as temperatures rise due to climate change. The sector is responsible for about 58.6

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percent to total Greenhouse Gas (GHG) emissions in the country. Addressing this challenge will require investments in building resilience to short-term shocks and in adapting to long-term climate change. The Kenya Climate-Smart Agriculture Project (KCSAP) is one of the projects in the Ministry that aims to implement interventions that promote climate smart agriculture and addresses issues on climate change. The project focuses on interventions that will contribute to increasing agricultural productivity, build resilience to climate change risks and reduction in GHG emissions; thereby contribute to the country’s attainment of the Sustainable Development Goals (SDGs) of ending poverty (SDG1), hunger (SDG2) and combating climate change and its impacts (SDG13), as well as meet the rising demand for food which is one of the key goals of GoK’s Vision 2030 and the Agricultural Sector Development Strategy 2010–2020 (ASDS).

I take this opportunity to reassure all stakeholders that my Ministry fully supports the project and will offer the necessary leadership and guidance in the course of its implementation. I wish to thank and appreciate the World Bank, for providing the resources to implement the programme, and the County Governments for their participation, collaboration and partnership during the preparation of the project appraisal document. I urge all the stakeholders involved to diligently implement the project for the benefit of our people.

Hon. Mwangi Kiunjuri, E.G.H.Cabinet Secretary, Ministry of Agriculture, Livestock, Fisheries & Irrigation

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PREFACE

The Kenya Climate Smart Agriculture Project (KCSAP) was formulated by the Government of Kenya in 2016 in collaboration with the World Bank in line with Kenya’s Vision 2030, the Agriculture Sector Development Strategy, (ASDS) 2010 – 2020 and the Comprehensive African Agricultural Development Programme (CAADP) Kenya Compact. KCSAP focuses primarily on improving water/soil management, especially within smallholder maize systems in the marginal rainfall zones; promoting sustainable, community driven rangeland management and improved access to quality livestock services in ASALs; supporting the generation and dissemination of improved agricultural Technologies, Innovations and Management Practices (TIMPs) and building sustainable seed systems; and finally enhancing access to quality agro-weather, climate, advisory, and market information services among agro-pastoral and pastoral communities for improved decision making.

Climate Change is a key challenge to the country in its efforts to achieve the Sustainable Development Goals (SDGs) of ending poverty, ending hunger and combating climate change and its impacts. In the project counties, extremes and variability of weather; irregular and unpredictable rainfall, frequent droughts and severe floods are now common. These events negatively affect the livelihoods of small holder farmers, agro-pastoralists and pastoralists resulting in low productivity, reduced resilience to climate risks and an increase in greenhouse gas emissions.

This Project Implementation Manual (PIM) has been developed to provide detailed guidelines to the project implementing and executing agencies on the management of the project. The manual provides information on the project development objective and description, institutional and implementation arrangements, financial management disbursement, procurement as well as project monitoring and evaluation. The manual was developed through a highly consultative and participatory process by a team

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Project Implementation Manual | 2018

drawn from both public and private sector institutions including key ministries (national and county), universities, and farmers’ organizations. We believe that this manual will assist the national and county governments to effectively manage the project and achieve the triple wins of increased productivity, enhance resilience to climate change risks and reduce greenhouse gas emissions.

I wish to acknowledge and appreciate the financial and technical support of the World Bank in the development of agriculture in this country through KCSAP; The Government of Kenya through the Ministry under the leadership of the Cabinet Secretary, Hon Mwangi Kiunjuri which is fully commited to the development of the agricultural sector with the aim of achieving food security; The technical expertise from staffs in the Ministries of Agriculture Livestock Fisheries and Irrigation; Environment Industry Trade and Cooperatives; Kenya Meteorological Department; Kenya Agricultural and Livestock Research Organization (KALRO); Egerton University; Kenya National Farmers Federation (KENAFF); and the Council of Governors (CoG) for their invaluable contributions in developing this manual.

Dr. Richard L. Lesiyampe, (PhD), CBSPrincipal Secretary. State Department for Crop Development

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ACKNOWLEDGMENT

The Kenya Climate Smart Agriculture Project (KCSAP) Project Implementation Manual (PIM) was prepared through a highly consultative and participatory process spearheaded by the KCSAP NPCU. Public and private sector institutions participated in the process with representation from both national and county governments. Specifically, participants were drawn from the Ministries of Agriculture, Livestock and Fisheries; Industrialization and Enterprise Development; Environment; Kenya Meteorological Department; Kenya National Federation of Farmers (KENAFF), Egerton University and the Council of Governors.I wish to sincerely acknowledge and appreciate the efforts of the technical experts from these institutions who made compiling this document a success. My sincere thanks also go to the World Bank and the Government of Kenya for the financial and technical support without which the finalization of this manual would not have been possible.

Mr. Francis Muthami National Coordinator, Kenya Climate Smart Agriculture Project (KCSAP)

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EXECUTIVE SUMMARY

Agriculture is a major driver of the Kenyan economy and the dominant source of livelihood for about half of the population. The sector employs over 80 percent of the rural work force and accounts for more than 20 percent of formal employment therefore playing a key role in poverty reduction. The Kenya Vision 2030 recognizes the importance of transforming smallholder subsistence agriculture into an innovative, commercially oriented, and modern sector. However the sector has been facing challenges that include low productivity, underutilized land, inefficient markets and limited value addition. The Government’s efforts to address these challenges as articulated in three strategy documents; ERSWEC, SRA and ASDS have faced further challenges as a result of climate change. Kenya’s agricultural production is mainly rain-fed and as such climate change makes its performance highly volatile.

KCSAP project focuses on increasing agricultural productivity, enhancing resilience to impacts of climate change and contribute to reduction in GHG emissions. The project is being implemented by the Government of Kenya (GoK) through the Ministry of Agriculture, Livestock and Fisheries (MoALF&I), State Department of Agriculture, with funding from the World Bank. Implementation involves a three-tiered institutional arrangement (national, county, and community). At the national-level, the National Treasury represents the Government of the Republic of Kenya and the MoALF is the main implementing agency. The second tier is at the county level, with the county governments as the executing agencies, while the third tier is at community level, where beneficiaries (smallholder farmers, agro-pastoralist and pastoralist) will implement community-led interventions.

The Project Development Objective (PDO) is “to increase agricultural productivity and build resilience to climate change risks in the targeted smallholder farming and pastoral communities in Kenya, and in the event of an Eligible Crisis or Emergency, to provide immediate and effective response.”

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The project has five components as summarized below:Component 1: Up scaling Climate-Smart Agricultural Practices that focuses on interventions that promote and facilitate the adoption of TIMPs to achieve the CSA triple-wins: increased productivity; enhanced resilience (adaptation) and reduced GHG emissions (mitigation) per unit of output, as co-benefits.

Component 2: Strengthening Climate-Smart Agricultural Research and Seed Systems that supports the development, validation and adoption of context-specific CSA TIMPs to target beneficiaries under Components 1 and 3; and also develop sustainable seed production and distribution systems. The component will also strengthen technical and institutional capacity of Kenya Agricultural and Livestock Organization (KALRO) to deliver its mandate and GRIFTU Pastoral Training Institute to deliver training.

Component 3: Supporting Agro-weather, Market, Climate and Advisory Services, supports development of agro-weather forecasting and marketing information system and their dissemination tools.

Component 4: Project Coordination and Management, supports activities related to national and county-level project coordination and management, including annual work planning and budgeting (AWP&B); fiduciary aspects (financial management and procurement); human resource (HR) management; safeguards compliance monitoring; development and implementation of Management Information System (MIS) and information, communication technology (ICT)-based platforms; monitoring and evaluation (M&E) and impact evaluation (IE) studies; and communication strategy and citizen engagement.

Component 5: Contingency Emergency Response, will finance eligible expenditures related to emergency response mechanisms in case of natural or man-made, crises or disasters, severe economic shocks or other crises and emergencies.

This project implementation manual (PIM) is aimed at interpreting the PAD and outlining the linkage mechanisms for integrating the project components activities into one operational process that the implementing and executing agencies will apply. The PIM has unpacked the objectives under each component on the basis of what, how, who and when; and the expected outputs, all synchronized and merged into an implementation procedure to be used uniformly in

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the twenty-four targeted counties. The manual is organized into eight chapters and has annexes at the end that give the additional information required to guide the implementation process.The first chapter provides an overview of the project background, while chapter 2 is a detailed description of the project both in scope and financing. Chapter 3 is an insight on the institutional financial management, cross cutting issues and start up activities followed by chapters 4- 7 which describe in detail the activities to be implemented under each of the project components.. Lastly chapter 8 describes the systems to be used in the monitoring and evaluation of the project interventions at the three tiers (National, County and Community).

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TABLE OF CONTENTSFORWARD.................................................................................................................................i.

ACKNOWLEDGMENT ....................................................................................................... iii

PREFACE.................................................................................................................................. v

EXECUTIVE SUMMARY ....................................................................................................vi

TABLE OF CONTENTS .........................................................................................................x

ABREVIATIONS .................................................................................................................xvii

CHAPTER ONE ................................................................................. 21

CHAPTER TWO ................................................................................ 252.0 PROJECT DESCRIPTION, COMPONENTS AND FINANCING ................................. 25

2.1 Project description .................................................................................................. 25

2.2 Project Components ................................................................................................. 25

2.3 Project Financing ..................................................................................................... 26

2.3. Linkages with other Projects and Collaborations ........................................... 29

CHAPTER THREE .............................................................................. 30

3. INSTITUTIONAL ARRANGEMENTS, FINANCIAL MANAGEMENT, CROSS CUTTING ISSUES AND START UPACTIVITIES .................................................................................................................................................................... 30

3.1 Institutional Arrangements ............................................................................................ 30

3.1.1 National level ...........................................................................................................30

3.1.3 County Level: .........................................................................................................31

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3.1.4 Community Level ..............................................................................................32

3.2 Financial Management Disbursement and Procurement ........................................ 36

3.2.1. Financial Management ......................................................................................36

3.2.3. Disclosure Requirements ..................................................................................38

3.2.4Governance and Anti-Corruption Measures .......................................................39

3.3 Mainstreaming of Cross Cutting Issues .................................................................. 40

3.3.1 Environmental and Social Safeguards ........................................................40

3.3.4 Mainstreaming HIV/AIDs ...............................................................................45

3.4 KCSAP START–UP ACTIVITIES ................................................................................. 55

3.4.1 Project Launch ...................................................................................................55

3.4.2 Induction of Project Staff ...................................................................................56

3.4.3 Identification and Selection of Sub-counties and Wards ...................................57

3.4.4 Baseline Survey .................................................................................................57

3.4.5 CSA Planning and Prioritization at County and Ward Levels ...........................58

3.4.7 Sensitization and Awareness Creation on the Project ........................................60

3.4.8 Contracting Private Advisory Service Providers ...............................................61

3.4.9 Pre-Contracting Activities .................................................................................62

3.4.10 Participatory Contracting Workshop ................................................................63

CHAPTER FOUR ............................................................................ 66

4. UPSCALING CLIMATE-SMART AGRICULTURAL PRACTICES ...................................................................66

4.1 Sub-Comp 1.1 Building Institutional Capacity and Strengthening Service Delivery ................................................................................................................... 66

4.1.1 Strengthening the Capacity of County, Sub-county and Ward to deliver ............. Agricultural Services ......................................................................................................66

4.1.2 Supporting CSA planning and prioritization at county and ward levels .............68

4.1.3 Contracting Private Advisory Service Providers ................................................69

4.1.4 Facilitating Community Institutions ...................................................................69

4.2 Sub-Component 1.2: Supporting Investments in Smallholder Agro-Pastoral ...............

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Production Systems. ........................................................................................................................... 69

4.3 Subcomponent 1.3: Supporting Investments in Pastoral Production Systems .... 71

4.4 Development of Investment Proposals ........................................................................ 1

4.4.1 Micro and Sub-Project Proposal Development .....................................................1

4.4.2 Screening and Vetting of Micro and Sub-Project Proposals ................................1

4.4.3 Implementation of micro and sub-projects ...........................................................1

4.4.4 Participatory M&E at NPCU, CPCU and Community levels .............................80

4.4.5 Operation and Maintenance ................................................................................80

CHAPTER FIVE .............................................................................. 81

5. STRENGTHENING CLIMATE-SMART AGRICULTURAL RESEARCH AND SEED SYSTEMS ..............................81

5.1 Overview ........................................................................................................ ............... 81

5.2 Supporting Climate-Smart Agricultural Research and Innovations ................ 82

5.2.1 Developing, Validating and Supporting Adoption of Climate-Smart TIMPS ..83

5.3 Building a Competitive and Sustainable Seed Systems .......................................... 85

Strengthening Technical and Institutional Capacity .................................... 89

5.3.1 Financing of Professional Development Training for PHD and MSc ................89

5.3.2 Deliver CSA Curriculum, Development of Short Term Technical Training and Re-Tooling:……………. .............................................................................90

5.3.3 Hiring Interns in Specialized Areas to Support Researchers .............................91

5.3.4 Refurbishment and/or Upgrading of Research Facilities and Infrastructure ......91

CHAPTER SIX ................................................................................... 92

6. SUPPORTING AGRO-WEATHER, MARKET, CLIMATE AND ADVISORY SERVICES ..........................................92

6.1 Overview ........................................................................................................................ 92

6.2. Improving Agro-meteorological Forecasting and Monitoring ......................... 93

6.2 Developing Integrated Weather and Market Information System ...................... 94

6.4 Building Technical and Institutional Capacity .................................................. 100

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CHAPTER SEVEN ........................................................................... 101

7. CONTINGENCY EMERGENCY RESPONSE ....................................................................................................101

CHAPTER EIGHT ............................................................................ 103

8. PROJECT MONITORING AND EVALUATION ................................................................................................103

8.1 Assessment of Progress in Project Implementation ............................................... 103

8.2 Baseline Survey .......................................................................................................... 105

8.4 Internal Review and Backstopping ........................................................................ 106

8.5 Review Missions .......................................................................................................... 106

8.6 Mid-Term Review ........................................................................................................ 106

8.7 Case Studies ................................................................................................................ 106

8.8 End of Project Impact Evaluation ........................................................................... 107

8.9 Project Management and Information System ...................................................... 107

8.10 Development of ICT Platform .................................................................................. 107

8.11 M&E Plan..................................................................................................................... 108

8.12 M&E Manual ............................................................................................................... 108

8.13 Capacity Development for M&E ............................................................................... 108

8.14 Reporting .................................................................................................................... 109

8.15 Flow of Information...................................................................................................110

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ANNEXES ....................................................................................... 112ANNEX 1A: COMPOSITION AND TERMS OF REFERENCE FORNATIONAL PROJECT STEERING COMMITTEE ...................................................................112

ANNEX 1B: COMPOSITION AND TERMS OF REFERENCE FORNATIONAL TECHNICAL ADVISORY COMMITTEE ...........................................................114

ANNEX 1C. COMPOSITION AND TERMS OF REFERENCE FORNATIONAL PROJECT COORDINATION UNIT .....................................................................117

ANNEX 1D. COMPOSITION AND TERMS OF REFERENCE FORCOUNTY PROJECT STEERING COMMITTEE ..................................................................... 137

ANNEX 1E: COMPOSITION AND TERMS OF REFERENCE FORCOUNTY TECHNICAL ADVISORY COMMITTEE .............................................................. 138

ANNEX 1F. COMPOSITION AND TERMS OF REFERENCE FORCOUNTY PROJECT COORDINATION UNIT ........................................................................ 139

ANNEX 1G: COMPOSITION AND TERMS OF REFERENCE FORCOMMUNITY IMPLEMENTATION STRUCTURES ............................................................ 146

ANNEX 2: PARTICIPATION AGREEMENT BETWEENNATIONAL AND COUNTY GOVERNMENT ......................................................................... 152

ANNEX 3A: MOU BETWEEN MOALF AND KALRO .......................................................... 157

ANNEX 3B: MOU BETWEEN MOALF AND MENR ............................................................ 167

OBJECTIVES ................................................................................................................................169

ANNEX 4A: KCSAP FLOW OF FUNDS ARRANGEMENTS ................................................ 180

ANNEX 4B: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT (IFR) ........... 181

ANNEX 4C: QUARTERLY INTERIM FINANCIAL REPORT (IFR) ..................................... 181

ANNEX 4D: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT(IFR) - P1- STATEMENT OF SOURCES AND USES OF FUNDS ......................................... 183

ANNEX 4E: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT(IFR) - EXPENDITURE PER COMPONENT ........................................................................... 188

ANNEX 4F: SUMMARY OF MOVEMENT OF BANK ACCOUNT BALANCES ................ 192

ANNEX 4G: IDA DESIGNATED ACCOUNT “A” AND “B” STATEMENT ......................... 194

ANNEX 4H: PCU MAIN OPERATIONS ACCOUNT “A” [KSHS]RECONCILIATION AND STATEMENT .................................................................................. 195

ANNEX 4J: SUMMARY OF OUTSTANDING IMPRESTS .................................................... 196

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ANNEX 4K: LIST OF OUTSTANDING IMPRESTS ............................................................... 197

ANNEX 4L: LIST OF COUNTIES BANK BALANCES ......................................................... 197

ANNEX 4M: KALRO KSHS OPERATIONS ACCOUNT RECONCILIATION STATEMENT ...198

ANNEX 4N: KALRO KSHS OPERATIONS ACCOUNT BANK STATEMENT .................... 198

ANNEX 4P: KMD KSHS OPERATIONS ACCOUNT RECONCILIATION STATEMENT .............................................................................................................................. 199

ANNEX 4Q: KMD KSHS OPERATIONS ACCOUNT BANK STATEMENT ........................ 200

ANNEX 4R: EXPENDITURE FOR CONTRACTS SUBJECT TO WORLD BANK’S PRIOR REVIEW ........................................................................................................................ 201

ANNEX 4S: EXPENDITURE FOR CONTRACTS NOT SUBJECT TO WORLDBANK’S PRIOR REVIEW ........................................................................................................ 202

ANNEX 5: QUARTERY M&E REPORTING FORMAT ........................................................... 205

ANNEX 6: RESULT FRAMEWORK KENYA CLIMATE SMART AGRICULTURE PROJECT (P154784) .................................................................................................................. 206

ANNEX 7: GENDER MAINSTREAMING, AND SOCIAL AND ECONOMIC INCLUSION OF YOUTH AND VULNERABLE AND MARGINALIZEDGROUPS (VMGS)...................................................................................................................... 216

ANNEX 8: DETAILED PROJECT IMPLEMENTATION MATRIX ........................................ 226

ANNEX 9: IMPLEMENTATION MATRIX FOR SUPPORT TO AGRO-WEATHER, MARKET, CLIMATE AND ADVISORY SERVICES ................................................................................. 256

ANNEX 10: ENVIRONMENTAL AND SOCIAL SCREENING CHECK LIST ..................... 279

ANNEX 11: PROPOSAL FORMAT FOR COMMUNITY CSA MICRO-PROJECTS ............ 287

ANNEX 12: PROPOSAL FORMAT FOR SUBPROJECTS ..................................................... 288

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LIST OF TABLES

Table 1: Project Counties ............................................................Error! Bookmark not defined.Table 2: Estimated Project Cost and Financing ..........................Error! Bookmark not defined.Table 3: Summary of Coordination structures and timeline for their establishment ............. 35Table 4: Summary of Startup activities for KCSAP .............................................................. 56Table 5: Community mobilization and planning process ..................................................... 59Table 6: Summary of competitive SP selection process ........................................................ 61Table 7: Summary of pre-contracting activities ..................................................................... 63Table 8: Participatory Contracting Workshop Process ........................................................... 64Table 9: Targeted Community Trainings ................................................................................ 67Table 10: Examples of Potential TIMPs for Scaling up CSA under different grant

windows ....................................................................................................................75

Table 11: Summary of Grant Windows under Component 1 ................................................. 79Table 12: Reporting and Feedback Timelines ...................................................................... 109

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ABBREVIATIONS AND ACRONYMSAAYI Area Average Yield IndexABDC Agribusiness Development CenterADC Agricultural Development CorporationADP Annual Development PlanAI Artificial Insemination

AIRCAMIP Agricultural Information Resource Centre

APL Adaptable Program LoanASAL Arid and Semi-Arid LandASDS Agricultural Sector Development StrategyASDSP Agriculture Sector Development Support Program

AWP&BAWS

Annual Work Plan and Budget

BCR Benefit-Cost RatioCA Conservation AgricultureCAADP Comprehensive Africa Agriculture Development ProgrammeCAFFS Conservation Agriculture Farmer Field SchoolCAP Community Action PlanCBK Central Bank of KenyaCBO Community-Based OrganizationCBP Capacity-Building PlanCBPP Contagious Bovine Pleuropneumonia (CBPP)CCAFS Climate Change, Agriculture and Food Security ProgramCDD Community-Driven DevelopmentCDDC Community-Driven Development CommitteeCDDO Community Driven Development OrganizationsCDP Community Development PlanCEC County Executive CommitteeCESD Contracted Extension Service Delivery

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ABBREVIATIONS AND ACRONYMS

CESDM&VCD

CGIAR

Contracted Extension Service Delivery Model & Value Chain Devel-opment

Consultative Group for International Agricultural Research CIAP CIDP

Community Integrated Action PlanCounty Integrated Development Plan

CIGCIS

Common Interest GroupClimate Information Services

CNA Capacity Needs AssessmentCoG Council of GovernorsCPA County Project AccountCPC County Project CoordinatorCPCU County Project Coordination UnitCPF County Procurement FunctionCPS Country Partnership StrategyCPSC County Project Steering CommitteeCQS Consultants’ Qualifications SelectionCRF County Revenue FundCRG Competitive Research GrantCS County SecretaryCSA Climate Smart AgricultureCSO Civil Society OrganizationCTD County Technical DepartmentDA Designated AccountDC Direct ContractingDL Disbursement LetterDP Development PartnerEA Environmental AssessmentEAAPP East African Agricultural Productivity ProgramEACC Ethics and Anti-Corruption CommitteeEAGC East Africa Grain Council

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ABBREVIATIONS AND ACRONYMSEDP Enterprise Development PlanEFA Economic and Financial AnalysisEFTEGS

Electronic Fund TransferEarly Generation Seed

EMP Environmental Management PlanEPS Economic Planning SecretaryESIA Environmental and Social Impact AssessmentESMF Environmental and Social Management FrameworkESMPESSA

Environmental and Social Management PlanEnvironmental and Social Strategic Assessment

EWS Early Warning SystemsEX-ACT Ex-Ante Carbon-Balance Tool (of the United Nations)F&C Fraud and CorruptionFAO Food and Agriculture Organization of the United NationsFEWSNET Famine Early Warning Systems NetworkFFS Farmer Field SchoolFM Financial ManagementFMD Foot and Mouth DiseaseFMNR Farmer-Managed Natural Tree Regeneration FNSP Food and Nutrition Security PolicyFNSS Food and Nutrition Security StrategyGAC Governance and Anti-CorruptionGDP Gross Domestic ProductGHG Greenhouse GasGHGA Greenhouse Gas AccountingGNI Gross National IncomeGoK Government of KenyaGRS Grievance Redress ServiceHa HectareHRHSNP

Human ResourcesHunger Safety Net Program

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ABBREVIATIONS AND ACRONYMSIAC Inspection and Acceptance CommitteeIAD Internal Audit DepartmentIAMWARM

IBRD

Irrigated Agriculture Modernization and Water-Bodies Restoration and Management projectInternational Bank of Reconstruction and Development

ICB International Competitive BiddingICR Implementation Completion and Results ReportICRAF World Agro-forestry CentreICT Information and Communication TechnologyIDA International Development AssociationIEC Information, Education and CommunicationIFAD International Fund for Agricultural DevelopmentIFC International Finance CorporationIFDC International Fertilizer Development Corporation IFMIS Integrated Financial Management Information SystemIFR Interim Financial ReportILRI International Livestock Research InstituteIP Indigenous PeoplesIPPF Indigenous Peoples Planning FrameworkIRR Internal Rate of ReturnIS Implementation SupportIWUAIVR

Irrigation Water Users’ AssociationInteractive Voice Response

KACCAL Kenya Adaptation to Climate Change in Arid Lands ProjectKAGRC Kenya Animal Genetics Resources CenterKALRO Kenya Agricultural and Livestock Research OrganizationKAPAP Kenya Agricultural Productivity and Agribusiness ProjectKAPP Kenya Agricultural Productivity Program KAPSLMP Kenya Agricultural and Sustainable Land Management ProjectKARI Kenya Agricultural Research Institute

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ABBREVIATIONS AND ACRONYMSKCSAP Kenya Climate Smart Agriculture ProjectKDSP Kenya Devolution Support Project KEBS Kenya Bureau of StandardsKENAFF Kenya National Farmers FederationKENAO Kenya National Audit OfficeKENFAP Kenya National Federation of Agricultural ProducersKEPHIS Kenya Plant Health Inspectorate ServicesKFS Kenya Forest Service

KIMKLBOKLIP

Kenya Institute of ManagementKenya Livestock Breeders Organization

KMD Kenya Meteorological DepartmentKNBS Kenya National Bureau of StatisticsKRRP Kenya Rural Roads ProjectKSG Kenya School of GovernmentLLI Leadership, Learning and InnovationM&E Monitoring and EvaluationMENRMIS

Ministry of Environment and Natural ResourcesManagement Information System

MOALF Ministry of Agriculture, Livestock, and FisheriesMoDP Ministry of Devolution and PlanningMoH Ministry of HealthMoITC Ministry of Information and Communications Technology MOPE Market-Oriented Producer EnterpriseMoTIC Ministry of Trade, Industry and CooperativesMoU Memorandum of UnderstandingMPRLP Madhya Pradesh Rural Livelihoods ProjectMTP Medium-Term PlanMTR Midterm Review

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ABBREVIATIONS AND ACRONYMSNAMANARDTC

Nationally Appropriate Mitigation ActionNational Aquaculture Research, Development and Training Centre

NARIGP National Agricultural and Rural Inclusive Growth ProjectNARIs National Agricultural Research InstitutesNARS National Agricultural Research SystemNASEP National Agricultural Sector Extension PolicyNCB National Competitive BiddingNCBF National Capacity Building FrameworkNCCAP National Climate Change Action Plan

NCCRSNDMANDVI

National Climate Change Response StrategyNational Drought Management AuthorityNormalized Difference Vegetation Index

NEDI Northeastern Development InitiativeNEMA National Environment Management AuthorityNGO Nongovernmental OrganizationNPC National Project CoordinatorNPCU National Project Coordination UnitNPSC National Project Steering CommitteeNPV Net Present ValueNRM Natural Resource ManagementNT National TreasuryNTACOAG

National Technical Advisory CommitteeOffice of the Auditor General

O&M Operation and MaintenanceOPOPV

Operational PolicyOpen Pollinated Varieties

PAPBAK

Project AccountPlant Breeders Association of Kenya

PBKPCW

Pyrethrum Board of KenyaParticipatory Contracting Workshop

PDOPET

Project Development ObjectiveParticipatory Education Theater

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ABBREVIATIONS AND ACRONYMSPFM Public Financial ManagementPforR Program for Results PICD Participatory Integrated Community DevelopmentPIM Project Implementation ManualPOPPD

Producer OrganizationPublic-Private Dialogue

PPP Public-Private PartnershipPPRPRS

Peste des petits ruminantsPopulation Registration System

PSPLWHA

Principal SecretaryPeople Living With HIV/AIDs

RAP Resettlement Action Plan REDD reducing emissions from deforestation and forest degradationRPF Resettlement Policy FrameworkRPLRP Regional Pastoral Livelihood Resilience ProjectSACCO Savings and Credit CooperativeSAIC Social Accountability and Integrity CommitteeSCC Social Cost of CarbonSCM Supply Chain ManagementSDA State Department of AgricultureSDF State Department of FisheriesSDG Sustainable Development GoalsSDL State Department of LivestockSDPS State Department of Planning and StatisticsSLMSMS

Sustainable Land ManagementShort Message Services

SOE Statement of ExpenditureSORTSPSR

Systematic Operations Risk-Rating ToolSocial Protection Single Registry

SRASSS

Strategy for Revitalizing AgricultureSingle Source Selection

STAK Seed Trade Association of Kenya

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ABBREVIATIONS AND ACRONYMSSUN Scaling-Up NutritionTA Technical Assistance TCB Tissue-culture BananaToTTIMPsUAIUNCCD

Training of TrainersTechnology Innovation Management PracticesUnit Areas of Insurance

UNDP United Nations Development Program UNEP United Nations Environment ProgrammeUNFCCC United Nations Framework Convention on Climate ChangeUSAID United States Agency of International Development VC Value ChainVMG Vulnerable and Marginalized GroupsWDP Ward Development Plans WFPWMO

World Food Programme World Meteorological Organization

WKCDD&FM Western Kenya Community Driven Development and Flood Mitigation

WRI World Resources InstituteWRUA Water Resource Users’ Associations

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CHAPTER ONE

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1. INTRODUCTION

1. Agriculture is a major driver of the Kenyan economy and the dominant source of employment for about half of the population. The sector employs over 80 percent of the rural work force and accounts for more than 20 percent of formal employment therefore playing a key role in poverty reduction. In 2016, agriculture, forestry and fishing sector contributed 32.6 percent to the national gross domestic product (GDP). The Kenya Vision 2030 recognizes the importance of transforming smallholder subsistence agriculture into an innovative, commercially oriented, and modern sector. It identifies the major challenges as low productivity, underutilized land, inefficient markets and limited value addition. Addressing these challenges is crucial in attaining the Sustainable Development Goals (SDGs); 1 ending poverty and 2 of eradicating hunger in Kenya. The Government’s efforts to address these challenges were articulated in a number of policy and strategies which include Agriculture Sector Development Strategy (ASDS) 2010–2020, National Agricultural Research Systems (NARS) 2012 and National Agricultural Sector Extension Policy (NASEP) 2012.

2. The Center for Global Development ranks Kenya 13th out of 233 countries for “direct risks” from “extreme weather and 71st for “overall vulnerability” to climate change (KCSAP PAD). The country is active in the international and regional dialogue on mainstreaming climate change into agricultural policies, plans and actions and is a signatory to the UNCCD and United Nations Framework Convention on Climate Change UNFCCC. Kenya is also implementing the Compressive Africa Agriculture Development Program (CAADP) Framework (2010) and the East African Community Climate Change Policy (EACCCP 2012

3. Master plan and Strategy, which also informs Kenya’s National Climate Change Policy (NCCP). At national level, the Kenya Climate-Change Act, 2016 envisions “a climate resilient and low carbon growth sustainable agriculture that ensures food security and contributes to the national development goal. Further, Kenya Climate-Smart Agriculture Strategy (KCSAS), 2017-2026, provides a framework for action on effects of climate change. The KCSAP project focuses on increasing agricultural productivity and enhancing resilience to the impacts of climate change. .


4. The Project Development Objective (PDO) is “to increase agricultural productivity and build resilience to climate change risks in the targeted smallholder farming and pastoral communities in Kenya, and in the event of an Eligible Crisis or Emergency, to provide immediate and effective response.”

To achieve this objective the project will support:

(i) Improving water/soil management, especially within smallholder maize systems in the marginal rainfall zones—specifically, in smallholder mixed crop-livestock, crop-livestock-tree (agro-silvo-pastoral) production systems and in crop forest (agro-forestry) production systems;

(ii) Promoting sustainable, community‐driven rangeland management and improved access to quality livestock services in ASALs—specifically, in pastoral/extensive livestock production systems;

(iii) Supporting the generation and dissemination of improved agricultural Technology, Innovation, Management Practices (TIMPs) and building sustainable seed systems

5. The project interventions will be concentrated in 24 selected counties in Arid Areas, Semi-Arid Areas and Medium-to-High Rainfall Areas (Table 1). Each county will select four to six wards in up to three sub-counties using the following criteria: (i) Poverty level of ward; (ii) Vulnerability to climate risks; (iii) Presence of priority value chains; (iv)Geographic proximity and contiguity of wards; (v) Absence of similar initiatives to avoid duplication; and (vi) Presence of ward-level technical department officials.



Table 1: Project Counties

Arid Counties Semi-Arid Counties Non-ASAL Counties

1 Marsabit 1 West Pokot 1 Busia2 Isiolo 2 Baringo 2 Siaya3 Tana River 3 Laikipia 3 Nyandarua4 Garissa 4 Nyeri 4 Bomet5 Wajir 5 Tharaka Nithi 5 Kericho6 Mandera 6 Lamu 6 Kakamega

7 Taita taveta 7 UasinGishu

8 Kajiado 8 Elgeyo Marakwet

9 Machakos 9 Kisumu

6. The direct beneficiaries of the project are estimated at about 521,500 households of smallholder farmers, agro-pastoralists, pastoralists and fisherfolks. These beneficiaries include members of Common Interest Groups (CIGs,) Vulnerable and Marginalized Groups (VMGs), POs, and other recipients of project grants such as PPPs thus recipients of grants, as well as beneficiaries that benefit from landscape-level investments implemented by counties. Of these, 163,350 represent households organized into about 4,950 CIGs and 18,150 represent households organized into 1,100 VMGs. All these groups will also benefit from community CSA micro-projects. About 240,000 and 100,000 households will benefit from the county-level and public-private partnership (PPP) investments (subprojects), respectively. More than 600 micro, small and medium enterprises (MSMEs) will also benefit directly from project interventions.

7. The total project cost is estimated at US$279.7 million, of which the International Development Association (IDA) will finance US$250 million under an Investment Project Financing (IPF) instrument. The estimated project cost takes into account GoK counterpart funds (US$15.9 million equivalent), county governments (US$8.3 million), and beneficiary contributions (US$5.5 million equivalent) for a total of US$29.75 million equivalent.

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8. This project implementation manual (PIM) interprets the PAD by outlining the linkage mechanisms for integrating the project component activities into one operational process that the implementing and executing agencies will apply. In designing the PIM, the component objectives laid in the PAD have been unpacked using the what, how, who and when, and the expected output, all synchronized and merged into an implementation procedure to be applied uniformly in the twenty-four project counties. Alongside the design considerations, the following attributes are also taken into account;

i) Interpretation and implementation of the Kenya Government Climate Change agenda and Pluralistic Service Delivery attributes. (National Climate Change Response Strategy – (NCCRS 2017), Agricultural Sector Development Strategy (ASDS) 2010-2020; and the National Agricultural Sector Extension Policy –(NASEP) 2012)

ii) Farmer empowerment to demand and adopt Climate-smart mitigation practices for sustainable agricultural development.

iii) Promotion of alternative livelihoods and practices to reduce pressure on the natural resources and broaden the base for household incomes.

iv) Incorporation of guidelines and provisions to ensure good practices that do not perpetuate dependency.

v) Mainstreaming of gender, environmental concerns, social inclusion and adequate representation of women, youth and other vulnerable groups.

vi) Lessons learnt from KAPP and WKCDD projects to enhance participatory development for efficiency and results.


7

CHAPTER TWO




2. PROJECT DESCRIPTION, COMPONENTS AND FINANCING

2.1 Project description 9. KCSAP design is informed by eight main principles; (i) prioritization of TIMPs (ii)

scaling-up promising TIMPs; (iii) value chain approach; (iv) Gender and youth sensitivity; (v) inclusion of nutrition (vi) collaboration with other World Bank Group Agencies (vii) complementarity with other interventions; and (viii) phased implementation approach.

10. The phased approach will involve the use of readiness indicators in identifying the participating counties to be covered by a project year. These indicators include ;(i) completion of the PICD process and development of community development plans and micro-projects; (ii) integration of KCSAP interventions or CSA investment plans into the County Integrated Development Plans (CIDPs); (iii) willingness to co-finance the proposed county-level interventions; and (iv) establishment of the county implementation arrangements (CPSC, CTAC, CPCU). The counties that meet these criteria will start implementing the project interventions in the first year while the rest will start once they are ready. It is expected that at least 15 counties will start implementation in year 2 and the 24 will have started by year 3.

2.2 Project Components The project has five components as described below:

Component 1: Up scaling Climate-Smart Agricultural Practices:

11. This component focuses on interventions that promote and facilitate the adoption of TIMPs to achieve the CSA triple-wins: increased productivity, enhanced resilience (adaptation,) and reduced GHG emissions (mitigation) per unit of output, as co-benefits. It comprises of three subcomponents: (i) building institutional capacity and strengthening service delivery; (ii) supporting investments in smallholder agro-pastoral production systems; and (iii) supporting investments in pastoral extensive production systems.

Component 2: Strengthening Climate-Smart Agricultural Research and Seed Systems:

12. This component supports the development, validation and adoption of context-specific CSA TIMPs to target beneficiaries under Components 1 and 3; and also develop sustainable seed production and distribution systems. It comprises of three subcomponents: (i)

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supporting CSA research and innovations; (ii) building competitive and sustainable seed systems; and (iii) strengthening technical and institutional capacity to coordinate and deliver research and seed system outputs. The component will also strengthen technical and institutional capacity of Kenya Agricultural and Livestock Organization (KALRO) to deliver its mandate and GRIFTU Pastoral Training Institute to deliver training

Component 3: Supporting Agro-weather, Market, Climate and Advisory Services

13. This component supports development of agro-weather forecasting and marketing information system and their dissemination tools. The component has three subcomponents: (i) improving agro-meteorological forecasting and monitoring; (ii) developing integrated weather and market information system and (iii) building technical and institutional capacity for agro-meteorological observation and forecasting, collection and analyses of agricultural statistics, and market advisory services. Climate information will be translated into actionable knowledge while agro-weather advisories disseminated towards improving producers’ long-term capacity for adopting CSA TIMPs, managing weather shocks and climate risks, and sustaining agricultural production under the changing climatic conditions.

Component 4: Project Coordination and Management

14. This component supports activities related to national and county-level project coordination and management, including annual work planning and budgeting (AWP&B); fiduciary aspects (financial management and procurement); human resource (HR) management; safeguards compliance monitoring; development and implementation of Management Information System (MIS); development of information, communication technology (ICT)-based platforms; monitoring and evaluation (M&E) and impact evaluation (IE) studies; and communication strategy and citizen engagement..

Component 5: Contingency Emergency Response

15. This zero cost subcomponent will finance eligible expenditures related to emergency response mechanisms in case of natural or man-made, crises or disasters, severe economic shocks or other crises and emergencies. This contingency facility can be triggered through formal declaration of a national emergency by the government authority; and upon a formal request from GoK to the Bank through the National Treasury (NT). In such cases, funds from an unallocated category or other project components will be reallocated to finance emergency response expenditures to meet agricultural crises and emergency needs.


2.3 Project Financing

16. The total project cost is estimated at US$279.7 million, of which the International Development Association (IDA) will finance US$250 million under an Investment Project Financing (IPF) instrument. The estimated project cost takes into account GoK counterpart funds (US$15.9 million equivalent), county governments (US$8.3 million), and beneficiary contributions (US$5.5 million equivalent) for a total of US$29.75 million equivalent.

Table 2.2 summarizes the estimated project costs and Bank/IDA financing.

Contributions to Project:

IDA - US$ 250 million

GoK- US$ 15.9 million equivalent

County Governments - US$ 8.3 million equivalent

Beneficiary contribution - US$ 5.5 million equivalent

Total Cost - US$ 279.7 million

Table 2: Estimated Project Cost and Financing

Project ComponentProject Costs (US$ million)

IDA Financing (US$ million)

% IDA Financing

Co-financing (US$ million)

1. Upscaling Climate-smart Agricultural Practices 163.80 150.00 92% 13.80

2. Strengthening CSA Research and Seed Systems 53.70 50.00 93% 3.70

3. Supporting Climate, Agro-weather, Market Information and Advisory Services

32.90 30.00 91% 2.90

4. Project Coordination, Monitoring and Evaluation 29.30 20.00 68% 9.30

5. Contingency Emergency Response 0.00

Total Costs 279.70 250.00 90% 29.70


Table 3: Detailed Estimated Project Cost and Financing

Project Component Project Costs (US$ million)

IDA Financing (US$ million)

% IDA Financing

Co-financing (US$ million)

Component 1Upscaling Climate-smart Agricultural Practices

163.80 150.00 92% 13.80

Subcomponent 1.1Building Institutional Capacity and Strengthening Service Delivery

24.00 24.00

Subcomponent 1.2Supporting Investments in Smallholder Agro-pastoral Production Systems

70.3 63.0

Subcomponent 1.3Supporting Investments in Pastoral Production Systems

69.5 63.0

Component 2Strengthening CSA Research and Seed Systems

53.70 50.00 93% 3.70

Subcomponent 2:1Supporting Climate-Smart Agricultural Research and Innovations

30.9 28.9

Subcomponent 2:2Building Competitive and Sustainable Seed Systems

16.0 14.3

Subcomponent 2:3Strengthening Technical and Institutional Capacity

6.8 6.8

Component 3Supporting Climate, Agro-weather, Market Information and Advisory Services

32.90 30.00 91% 2.90



Subcomponent 3:1Improving Agro-meteorological Forecasting and Monitoring

16.5 15.0

Subcomponent 3:2Developing Integrated Weather and Market Information System

11.4 10.0

Subcomponent 3:3Building Technical and Institutional Capacity

5.0 5.0

Component 4 Project coordination, Monitoring and Evaluation

29.30 20.00 68% 9.30

Subcomponent 4:1Project Coordination 24.8 15.5

Subcomponent 4:2Monitoring & Evaluation and Impact Evaluation

4.5 4.5

Component 5 Contingency Emergency Response

0.00

Total Costs 279.70 250.00 90% 29.70

2.4. The PDO level results indicators

17. The key project outcome indicators include the following:

(i) Direct project beneficiaries (number), share of which female (percent);

(ii) Productivity Indicator—Increase in productivity of selected agricultural commodities supported by the project (percent); and

(iii) Resilience Indicator—Targeted beneficiaries (organized in CIGs/VMGs) who have adopted at least one of the technologies, innovations and management practices (TIMPs) promoted by the project (number), share of which female (percent).

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2.5. Linkages with other Projects and Collaborations

18. The project design draws lessons from an extensive range of national and global projects such as; the use of the Participatory Integrated Community Development (PICD) tool adopted from Western Kenya Community Driven Development and Food Mitigation Project (WKCDD&FMP), and the contracted service delivery approach in the Kenya Agricultural Productivity and Agribusiness Project (KAPAP) whose effectiveness and quality control needs improvement. The project is linked to National Agricultural and Rural Inclusive Growth (NARIG) Project in regard to development of standard training modules for each of the priority value chain at financial fiduciary management, and environmental and social safeguards among others.

19. The project will collaborate with the International Finance Corporation (IFC) and the Multilateral International Guarantee Agency (MIGA) in its value chain development initiatives such as value addition and linking smallholder farmers to input, output and financial markets and abating political risk for local and international private investors. This collaboration may be in form of provision of loans by IFC to local private firms undertaking value addition and political risk guarantee to foreign direct investors.


15

CHAPTER THREE




3. INSTITUTIONAL ARRANGEMENTS, FINANCIAL MANAGEMENT, CROSS

CUTTING ISSUES AND START UP ACTIVITIES

3.1 Institutional Arrangements

20. Project implementation will involve a three-tiered institutional arrangement: National, County, and Community levels. At the National level, the MoALF will be the main implementing agency while at the County level; County Governments will be the executing agencies. At the Community level, beneficiaries will implement their community-led CSA interventions. The project will also mainstream: Environmental and social safe guards; Gender and social inclusion; and Nutrition in its activities. Details of the institutional arrangements; roles and responsibilities; and implementation processes are provided below;

3.1.1 National level

21. The National Project Steering Committee (NPSC): This is the supreme body of KCSAP and is responsible for the overall oversight and policy guidance of the project to ensure that it operates within the principles and framework of Vision 2030, the Agricultural Sector Development Strategy (ASDS) and the Financing Agreement for the project signed between the Government of Kenya and the World Bank. The committee will take overall responsibility for ensuring that the project remains within the project development objective and that the project resources are utilized efficiently and effectively to achieve agreed targets. The committee is chaired by the Cabinet Secretary, MoALF&I, and co-Chaired by the Chair, Council of Governors’ Committee on Lands and Agriculture. The committee is composed of PSs from the implementing Ministry,, Executing Agencies, Chairmen of key stakeholder institutions and Governors representing the NEDI and non NEDI Counties. The composition and Terms of Reference (ToR) of the NPSC are detailed in Annex 1A

22. The National Technical Advisory Committee (NTAC): the Committee is responsible for providing technical support to the overall implementation of the project and approving the national and county level investments and CSA research proposals. The Agriculture Secretary, State Department for Agriculture, MoALF is the Chair of the committee and

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the Chairperson, Counties’ Agriculture Caucus (formed by CECs of Agriculture) is the co-Chair. The committee is composed of Directors from the implementing Ministry and partner institutions. The number of members of NTAC attending each meeting will depend on the agenda or technical advice sought by the National Project Coordination Unit (NPCU). The composition and TOR for NTAC is contained in Annex 1B

23. The National Project Coordination Unit (NPCU) is embedded in the SDCD, MoALF&I and is responsible for managing day-to-day project implementation. Headed by the National Project Coordinator (NPC), the NPCU comprises of Component Coordinators (Components 1-3), M&E Officer, Finance Officer/Project Accountant, Procurement Officer, Internal Auditor, Human Resource and Administration Officer, Information and Communication Officer, ICT Officer, Gender Specialist and the Environmental and Social Safeguards Compliance Officer. The roles and responsibilities of NPCU and its staff are detailed in Annex IC.

3.1.2 Partnerships

24. The project will involve diverse number of partners to; (a) provide extension services, (b) produce and distribute commercial seed (KCSAP will work with KEPHIS, KAGRC) c) strengthen sustainable commercially driven seed multiplication and distribution systems, through the NARS institutions (d) support private firms and producer organizations to promote production alliances in priority value chains – for instance KCSAP will provide Competitive Matching Grants to private firms (up to 200,000US$) and producer organizations (up to 100,000US$) for financing value addition activities, (e) organize producer organizations into alliances – KENAFF and the Department of Cooperatives will play critical role in organizing productive alliances, and (f) to provide agro-weather information advisories through KMD.

3.1.3 County Level:

25. The project implementation and oversight structures at county level include County Project Steering Committee (CPSC), County Technical Advisory Committee (CTAC) and County Project Coordination Unit (CPCU). The Cabinet Secretary, MoALF will enter into Participation Agreements (PAs) detailing mutual responsibilities for the implementation of the program with the respective county governments (Annex 2) while an MOU will


thereafter be signed and effected between the county governments and their beneficiary communities. (Annex 3).

26. County Project Steering Committee (CPSC): The CPSC comprises of Chief Officers from relevant County Ministries, the County Director National Environment Management Authority (NEMA); County Director KMD and representatives from the private sector and civil society. The CPSC will provide project implementation oversight in the respective counties and will be responsible for approving the project’s annual work plans and budgets (AWP&BS) at county level, as well as ward and community project proposals. They will also ensure that project activities and community micro-projects are incorporated into the Counties respective Annual Plans (CAPs and County Integrated Development Plans (CIDP). The committee is chaired by County Executive Committee member for the Agricultural Sector and the CPCU Coordinator is the secretary. The TOR for CPSC is contained in Annex 1D

27. County Technical Advisory Committee: The County Technical Advisory Committee (CTAC) is responsible for providing technical support to overall project implementation, approval of county level investments; coordination and selection of wards where project implementation will be undertaken. The CTAC comprises of Directors of Technical Departments and will have several sub-committees or sub-CTACs. The sub-committee of CTAC attending each meeting will depend on the agenda or technical advice sought by the County Project Coordination Unit (CPCU). During the vetting of micro-project proposals, a minimum of seven members from different technical departments must be present. The CTAC chair must be from the relevant agricultural sector department. The composition, terms of reference are detailed in Annex 1E

28. County Project Coordination Unit: The County Project Coordination Unit (CPCU) is embedded in the county government structures in the agricultural sector department. The unit is headed by a County Project Coordinator (CPC) and is responsible for the day-to-day operations of the project. The unit comprises of the County Project Coordinator, Agriculture Statistics Officer, County M&E Assistant, County Finance Assistant/Project Accountant, County Procurement Assistant, Internal Auditor, a Research Liaison Officer and support staff (secretary, drivers, cleaner) These staff is deployed to the project on a full time basis by the county government. The CPCU coordinator serves as the secretary to both the CPSC and the CTAC. Sub county technical teams (SCTT) are constituted to


coordinate project activities within the targeted project wards. The composition, terms of reference are detailed in Annex 1F

3.1.4 Community Level

29. This is the third level in the overall institutional structures for implementing the project. At this level community driven development structures are established to represent beneficiaries while taking into account one third gender rule. To this effect the county governments will enter into a memorandum of understanding (MOU) with respective beneficiaries. All community structures must be duly registered with the relevant GoK authorities e.g. Department of Social Services. Basic literacy levels should be taken into account in the establishment of the community leadership structures. However all county government employee can serve as ex-officio members, and not as elected office bearers of these community structures.

30. Common Interest Groups: A common interest group (CIG) is a collection of community members who have mutual interest and come together to share information and work cooperatively in implementing part of the Community Action Plan. A CIG will comprise 20-30 members who pay membership and annual fees along their priority Value chains. The number of CIGs in a zone will depend on the interested farmers. CIGs will be comprised of existing farmer groups (women groups, youth groups, self-help groups among others) interested in participating in the project. Opportunities will be flagging in order to identify interested groups as well as form new CIGs during the PICD process. However, membership to groups will be open throughout the project period. All CIGs will be registered with the relevant GoK authorities e.g. Department of Social services and democratically elect their leadership that include; Executive committees, and Social Accountability and Integrity Committee (SAIC). Each of these committees will have three members comprising Chairman, Secretary, and Treasurer. The one third gender rule will be taken into account during these elections to ensure the participation of the most vulnerable gender in the groups. The CIG executive committees will oversee the operations of their groups and receive demonstration materials and any other goods procured for their groups. The SAIC committee will play the role of auditing the group activities, grievance redress and spearhead participatory monitoring and evaluation within their groups. The CIGs with support from Service Providers and Sub-county Technical Advisory Committee (SCTT) will prepare micro-project/enterprise development proposals and submit them to



the CPCU for onward transmission to CTAC for vetting.

31. Vulnerable and Marginalized Groups (VMGs): The project will finance CSA micro-projects exclusively targeting VMGs who are registered with relevant GoK authorities e.g. Department of Social Services. The objective of such targeting is to empower VMG members and elevate their productive capacity and economic status, so that they fully participate in VCs and SACCOs. VMG members will be identified during the PICD process using criteria that include; land ownership, asset ownership/perceived value, number of meals per day, number of dependants, female-/child-headed households, and advanced age, among others. The VMGs will comprise unemployed youths, internally displaced people (IDPs), elderly women and men, widows/orphans, differently abled, recovering substance abusers, people living with HIV/AIDS and Indigenous Peoples. Deliberate effort will be made to target women/women-groups in pastoral communities.

32. The VMGs will democratically elect their leadership comprising of Executive committees, and Social Accountability and Integrity Committees (SAIC). Each of these committees will have three members - Chairman, Secretary, and Treasurer. The one third gender rule will be taken into account during these elections to ensure the participation of the most vulnerable gender in the groups. The executive committees will oversee the operations of their groups and receive demonstration materials alongside any other materials procured for their groups. The SAIC committee will play the role of auditing the group activities, grievance redress and take part in participatory monitoring and evaluation within their groups. With support from SPs and SCTT, VMGs will prepare micro-project/enterprise development proposals and submit them to CPCU for onward transmission to CTAC for vetting.

33. Producer Organizations: When CIGs and VMGs attain sufficient volumes of produce and economies of scale, the SPs in collaboration with KENAFF will build their capacity to federate into producer organizations such as Cooperatives and Limited Companies. This will improve their access to production technologies; input and output markets; financial services and opportunities for value addition to their products.

34. Community Driven Development Committees: The Community Driven Development Committees (CDDC) will be one of the outputs of the PICD process. Three community leaders from each zone will be nominated by sub-CTDs to spearhead and constitute an

21



interim CDDC. Eventually the interim CDDC together with the CIG, VMG and POs will democratically elect thirteen (13) members drawn from the CIG/VMG and PO leadership out of which at least 4 will be women/men. The CDDC will be managed by a democratically elected Executive Committee of five people comprised of a Chairperson, Secretary, Treasurer and two (2) committee members. The CDDC will be duly registered with a relevant GoK authority e.g. Social Services Department and will operate a functional Bank Account. The CDDC will work through the following sub-committees; Micro-project management, Procurement, Finance and Social Audit and Integrity (SAIC). The sub-committee members will be elected by the beneficiary communities and will each be comprised of five (5) members except for the finance sub-committee which will have three members. Details on the establishment and roles of the CDDC and its sub-committees are in Annex 1 G.

35. County Value Chain Development Committee CVCDC): All the CIGs/VMGs/POs executive committees for specific enterprises e.g. dairy will convene at the ward level and democratically elect a Ward Enterprise Executive Committee (WEEC) comprising of chairperson, secretary and treasurer. This committee will be in charge of aggregation of data received from the various CIGs/VMGs/POs executive committees. The various ward enterprise executive committees within e.g. dairy VC (dairy cow, dairy goat, dairy camel) will form the ward dairy value chain executive committee that will meet with those from the other value chains to elect members of the CVCDC. The ward enterprise executive committees from the various value chains will also elect two of their members (male and female) to form the County Value Chain Development Group that will elect a County Value Chain Development Committee (CVCDC). This committee will manage service provision to CIGs/VMGs/POs. The representation of women and VMGs in these committees must be ensured.

36. Project Management Committees (PMC): The beneficiaries of each of the subprojects funded by KCSAP will elect their Project Management Committees (PMC) i.e. executive, procurement and SAIC committees that will oversee the implementation process. The one third gender rule will be taken into account during these elections to ensure the participation of the all the gender and social groups among the beneficiaries.

37. Community Driven Development Organizations: The Community Driven Development Organization (CDDO) will be established at the county level with a sub-committee in


each of the targeted sub-counties. This organization will comprise 13 democratically elected leaders drawn from the leadership of each CDDC, CBOs, WRUAs, SACCOs, Social Accountability and Integrity Committees (SAICs), and other key community organizations. The CDDO in collaboration with CPCU and CTAC will be responsible for planning and design of sub-projects, their implementation as well as community participatory monitoring, evaluation and reporting both at sub-county and county levels. Roles and responsibilities are detailed in Annex 1G.

Table 1: Summary of Coordination structures and timeline for their establishment

Coordination structures Responsibility/ Actor Date Expected Output

National Project Steering Committee (NPSC) PS- SDCD April 2017 NPSC in place

National Technical Advisory Committee (NTAC) PS-SDCD July 2017 NTAC in place

National Project Coordination Unit (NPCU) NPSC July 2017 NPCU in place

County Project Steering Committee (CPSC) CPSC December 2017 24 CPSCs in place

County Technical

Advisory Committee (CTAC)CPSC December 2017 24 CTACs in place

County Project Coordination

Unit CEC & CPS Board October 2017 24 CPCUs in place

Sub-county Technical Advisory Committee (SCTT) CTAC February 2017 45 out of 72

SCTTs in place Community Driven Development Committee (CDDC)

CPCU/SCTT August 2018 25 CDDCs in place

County Value Chain Development Committee (CVCDC)

CPCU/CTD November 2018 CVCDC for each priority value chain

Community Driven Development Organization CPCU/CTD November 2018 24 CDDOs


3.2 Financial Management Disbursement and Procurement

3.2.1. Financial Management

38. The financial management arrangements are meant to ensure that;

(i) Financial resources reach the implementing and executing agencies and ultimately the project beneficiaries in the shortest time possible;

(ii) Resources are used to finance the intended activities with efficiency and economy;

(iii) Resources are properly accounted for and project results and outcomes are achieved; and

(iv) Acceptable auditing arrangements are in place.

Flow of Funds Arrangements:

39. The project has adopted the Statement of Expenditure (SoE) method of disbursement. The flow of funds will involve two Designated Accounts (DA) one for the county activities (DA-1) and national activities (DA-2). The MoALF&I will trigger transfer of funds from DA-1 through the County Revenue Fund (CRF) accounts to the dedicated County Project Accounts (CPAs), which shall be opened to receive and disburse project proceeds at the county level. CPAs will be opened by each participating county at the CBK or in financial institutions acceptable to World Bank/IDA. Beneficiary communities will open community bank accounts (CAs) at commercial banks or in financial institutions acceptable to World Bank/IDA to which funds will directly be disbursed from the CPAs once they have met the eligibility criteria (Annex 4A).

40. KALRO and KMD will each open a separate Kenya Shillings Segregated Project Account (SPA) to facilitate receipt of IDA proceeds from the Project Account (PA) managed by MoALF&I. The mechanism for funds requisitions, accountability, and reporting formats are provided in the project Financial Management Manual (FMM).

41. Each CPCU shall open an operations bank account with the Central Bank of Kenya or a financial institution acceptable to IDA. This account shall be replenished from DA-1. The CRF accounts will be replenished from DA-1, and each CPCU shall maintain a detailed inventory of all the CAs. NPCU shall maintain a similar inventory of all the DAs, CPAs, SPA, CPAs, and CAs under the project. The bank account inventory shall provide details including but not limited to account name, beneficiary name, account number,



bank, branch, branch location, signatories and specimen signatures, and account operating mandates.

42. The triggers for the initial deposit/transfer from DA-1 to CRF accounts will include the signing of the Participation Agreements between MoALF&I and the respective county governments, and approved county AWP&Bs. Subsequent transfers will be based on submitting Statement of Expenditure (SoEs). For community groups, eligibility criteria will include having a community development plan/business plan on value chain upgrading and an approved micro-project. Once these eligibility criteria have been met, funds will be disbursed by County Governments (CGs) from their CPAs to the CAs.

43. Accounting and Internal Control system: Accounting and internal control systems will be in line with the GOK and World Bank guidelines, the FMM and applicable public management regulations. For communities, additional controls are provided in the Matching Grant Manual. MoALF&I has internal auditors seconded from the National Treasury, therefore MoALF&I will designate a project internal auditor at the NPCU to take overall responsibility for the project audit at the national level. Each participating county will designate a county project internal auditor. The internal auditors at the national and the county level shall integrate the project internal audit activities into their AWP&BS, which shall include periodic field-based travel to specific project sites at the county, ward, and community level. The Office of the Auditor General (OAG) will audit all the executing agencies (KALRO, KMD and County) accounts besides their internal audits.

Financial Reporting:

44. The project will submit quarterly Interim Financial Reports (IFRs) and Annual Financial Statements to the World Bank. The IFR will be submitted to the World Bank no later than forty five (45) days after the end of each quarter. Each county will prepare their IFRs including community expenditures and submit them to the NPCU within thirty (30) days after the end of each quarter for consolidation by the NPCU for submission to the World Bank.

External Audit Arrangement:

45. The NPCU will prepare annual financial statements which will be submitted for external

25



auditing no later than three (3) months after the end of each financial year. External auditing will be conducted by the Office of the Auditor General (OAG) and the audit report and management letter will be submitted to the World Bank no later than six months after the end of each financial year. Details on funds flow and related controls are provided in the Annex 4A and the Financial Management Manual (FMM).

3.2.2 Management of procurement of Goods, Works and non-Consulting Services

46. Management of procurement of Goods, Works and non-Consulting Services will be carried in out accordance with World Bank guidelines, specifically under International Bank of Reconstruction and Development (IBRD) Loans, International Development Agency (IDA) Credits and Grants by World Bank Borrowers Procurement guidelines (OP/B 11.00). The guidelines also detail selection criteria and employment of consultants under IBRD Loans and IDA Credits & Grants. Other relevant guidelines and circulars provided by the GoK and World Bank will be applicable. Procurement arrangements for community level will be in line with the “Guidance Note for Design and Management of Procurement Responsibilities in Community-Driven Development Projects,” of March 15, 2012.

47. At the national level, NPCU will be responsible for implementing procurements under components 2 and 3 and part of Components 1 and 4. This will include procuring large contracts and managing contracts such as civil works, goods and consultants; and project assets such as vehicles, computers and accessories, office equipment and furniture among others. All capital assets1 will be procured centrally at the national level in order to achieve economies of scale.

48. At the county level, the CPCU will spearhead execution of procurement activities under Component 1 and part of Component 4. At community level, a subcommittee of the CDDCs together with the CPCU will undertake the procurement of the materials required for the micro-projects and demonstrations. Details refer to the KCSAP Procurement Management manual.

1 Capital assets include motor vehicles, motor cycles, computers, ICT equipment, furniture and photocopiers.


Procurement Plan:

49. A Procurement Plan (PP) prepared by MoALF&I detailing all procurements is undertaken and will be a continuous process during project implementation. This plan will be made available in the project’s database and on the World Bank’s external website. The plan will be updated annually as per the GoK and the World Bank requirements.

3.2.3. Disclosure Requirements

50. The project will proactively disclose the following documents on its website: (i) procurement plans and updates; (ii) invitation for bids for goods and works for all International Competitive Bidding (ICB) and National Competitive Bidding (NCB) contracts; (iii) requests for expression of interest for selection/hiring of consulting services; (iv) contract awards of goods and works procured following ICB/NCB procedures; (v) list of contracts/purchase orders placed following shopping procedures on a quarterly basis; (vi) shortlists of consultants; (vii) contract awards of all consultancy services; (viii) lists of contracts following direct contracting (DC), consultants’ qualifications selection (CQS), or single source selection (SSS) on a quarterly basis; (ix) reports on actions taken on complaints received on a quarterly basis; and (x) the progress of all contracts awarded and payments made on a quarterly basis.

51. To ensure that stakeholders are well informed on the project undertakings, information on all civil works including; contract description, contractor’s name, contract amount, and physical and financial progress will be displayed on a notice board at CPCU offices. The project MIS will capture information on micro projects, subprojects and all procurements carried out by communities. Such information will include description, quantity, unit rate, and supplier/contractor/consultants names and their remuneration. At community levels, posters and pamphlets will be printed in simple languages, preferably local languages and distributed, to uphold high integrity in implementing micro projects/subprojects, drawing from the experiences from KAPAP, KAPSLM, KACCAL and WKCDD projects.


3.2.4 Governance and Anti-Corruption Measures

52. To strengthen overall Governance and Anti-corruption (GAC) aspects during project implementation, the following governance and risk mitigation measures have been developed by the GoK and the World Bank;

53. Building of the capacity of communities/public institutions on financial and procurement management at each level of the project. At the county and community level the capacity building will focus on CIGs, VMGs, POs, PPPs, and SACCOs as well as the county government staff. The trainings will cover financial management, procurement, and record-keeping. Simple manuals and guidelines will be developed and where necessary translated into local languages.

• The project MIS will: (i) capture and update data on project finances, activities, and performance across project components and subcomponents; (ii) generate reports comparing performance between counties and communities on key project results versus financing; (iii) geo-map key project interventions under each component (including name of activity, financing, results, name and contacts of responsible persons); and (iv) keep a fixed asset register of project assets. The MIS will accommodate inputs from different levels of project implementation using easily available technology such as tablets, Smart-phones, GPS.

• A complaint and grievance-handling mechanism will be developed. This will include establishment of a grievance/complaint handling committee that will establish a framework specifying what types of complaints will be handled, by which entities/agencies for complaint handling; a focal point officer designated to coordinate complaints and complaint/ grievance registers maintained by designated officers. Complaints such as fraud and corruption cases that cannot be handled at the project level will be forwarded to the Ethics and Anticorruption Committee (EACC). Capacity on complaint management system will be built at all levels of project implementation. Quarterly monitoring reports will be consolidated, reviewed by NPCU, and provided to the Bank.

• Transfers/disbursements of funds will be suspended to counties and communities that do not comply with record-keeping, reporting, and other governance requirements.



• Project support through backstopping and impromptu visits to implementation sites at each level will be conducted.

3.3 Mainstreaming of Cross Cutting Issues

3.3.1 Environmental and Social Safeguards

54. The adherence to the Environmental and Social Management Framework (ESMF) complies with the World Bank safeguard policy on Environmental Assessment (EA) (OP/BP 4.01) which takes into account the natural environment (air, water and land); human health and safety; social aspects (involuntary resettlement, indigenous peoples; and physical cultural resources) and Trans-boundary and global environmental aspects. KCSAP will use a range of instruments available that satisfy the Policy including: Environmental and Social Impact Assessment (ESIA); Environmental and Social Strategic Assessment (ESSA); Environmental Audit (EA); Hazard or Risk Assessment; Environmental and Social Management Plan (ESMP) and the Environmental and Social Management Framework (ESMF). Environmental screening will be undertaken to determine the extent of potential impact and the type of instrument to use

55. KCSAP project is assigned environmental Category B – Partial Assessment. Category B project interventions are those that are likely to have negative environmental and social impacts that are largely reversible, they are small in scale and are site-specific. The proposed project investments in regard to rural infrastructure development that will be screened include; irrigation, local markets, water conservation structures; and agricultural VCs for example storage facilities, local level value addition, and limited use of agro-chemicals among others. The project is expected to trigger five World Bank environmental and social safeguard policies: (i) Environmental Assessment (OP/BP 4.01); (ii) Pest Management (OP 4.09); (iii) Indigenous Peoples (OP/BP 4.10); and (iv) Physical Cultural Resources (OP/BP 4.11) (v) Involuntary Resettlement (OP/BP 4.12).

56. In line with the World Bank and the GoK environmental and social safeguard policies and requirements, the following framework documents have been prepared to guide project implementation: (a) Environmental and Social Management Framework (ESMF) for Environmental Assessment (OP/BP 4.01), (b) Integrated Pest Management Framework (OP 4.09); (c) Vulnerable and Marginalized Group Framework (VGMF) for Indigenous Peoples (OP/BP 4.10); and (d) Resettlement Policy Framework (RPF) for Involuntary

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Resettlement (OP/BP 4.12). These frameworks provide a mechanism for: (i) identifying and assessing potential adverse environmental and social impacts, based on the types of activities envisioned; and (ii) proposing screening methods and processes of assessing and designing appropriate mitigation measures for the identified investments. The screening will utilize the Environmental and Social Screening Form/checklist provided in the framework documents; and an Environmental and Social Project Report will outline environmental mitigation measures.

Environmental and Social Management Framework

57. The Environmental and Social Management Framework (ESMF) will allow the implementation/executing agencies to (a) identify, assess and mitigate potential negative environmental and social impacts of subprojects and (b) ensure proper mitigation measures and monitoring plans are in place and are an integral part of the subprojects costs. While the majority of the proposed KCSAP interventions are anticipated to have significant positive impacts on the environment and livelihoods of the targeted communities, some of the subprojects to be funded may have inherent environmental and social risks. The ESMF therefore lays out procedures for screening and mitigating impacts that may arise during the project implementation. Specifically, the ESMF outlines (i) Environmental and social screening processes for subprojects, which will enable the government and the communities to identify potential environmental and social impacts of the proposed investments; and to address them by incorporating the relevant mitigation, prevention, and management measure (ii) Integrated pest management framework which promotes safe, effective and environmentally sound pest management. Each project activity targeting plants and livestock development will prepare its Pest Management Plan (PMP). To ensure that negative impacts are minimized or eliminated, the ESMF encourages the inclusion of mitigation impacts at the design of investment subproject prior to implementation. (Annex 10 for the screening checklist)

Resettlement Policy Framework:

58. The Resettlement Policy Framework (RPF) is prepared to guide the selection and implementation of Sub-Projects that will require precautionary measures related to involuntary resettlement. The RPF is to be complied with where there will be involuntary resettlement, impacts on livelihoods, acquisition of land or restrictions on access to


natural resources and proceeds. The RPF provides project stakeholders with procedures to follow in addressing the risks that may arise from implementation of Sub-Projects leading to economic or physical resettlement of populations. It provides guidelines on how the project will avoid, minimize, manage or mitigate and even compensate all project related displacement risk. The RPF provides guidelines on preparation of resettlement plans of the affected people. It includes a grievance redress mechanism to provide affected people with avenues for making a complaint or resolving disputes that may arise and ensure appropriate and mutually acceptable redress actions are taken as well as providing a transparent and accountable implementation process (Annex 10 for the screening checklist).

Vulnerable and Marginalized Groups Framework (VMGF):

59. The objective of the VMGF is to ensure the development process associated with KCSAP fully respects the dignity, human rights, economies, and culture of vulnerable and marginalized peoples and that the KCSAP sub-projects have broad community support from the affected vulnerable and marginalized people. The VMGF recognizes this support can only be attained through free, prior and informed consultation. To that end VMGF provides guidelines which will avert any potentially adverse effects on the vulnerable and marginalized groups; or if avoidance proves not feasible, minimize, mitigate or compensate for such negative impacts. The VMGF will also ensure vulnerable and marginalized groups receive social and economic benefits that are culturally appropriate and inclusive in both gender and intergeneration terms.

Sustainable Land, Water, and Agro-forestry Management

60. Extensive environmental degradation mainly due to poor farming practices and deforestation in catchment areas has resulted in siltation of rivers, reservoirs, irrigation canals, and the ultimate loss of fertile top soils. At the same time, the way land is utilized increasingly determines the ability of households/communities in any given catchment to withstand climate-induced production risks, such as floods, droughts, and landslides. To contribute towards restoring and maintaining soil productivity in smallholder farming systems, the project will finance research and development (R&D) on integrated soil fertility management using combined use of organic and mineral resources, resilient germplasm, and nutrient cycling and conservation. The R&D will involve integration


of SLM challenges during identification and dissemination of appropriate TIMPs under component 1 and 2. Examples of such TIMPs include; use of farmyard manure, efficient use of crop residues as livestock feeds, water management, crop-livestock tree integration, rural/bio-energy, livelihood diversification and modern inputs into VC development. Other interventions for the NEDI counties include; controlled grazing, rangelands reseeding, bush control and other existing indigenous technical knowledge that promote SLM. Grass-root institutions for strengthening collective action to scale-up SLM practices in the 24 counties will be identified.

3.3.2 Gender Mainstreaming and Social Inclusion

61. The project recognizes that gender mainstreaming and social inclusion are key in achieving its objectives. This recognition is in line with the social pillar of Kenya’s Vision 2030, the Agricultural Sector Development Strategy (ASDS) (2010-2020) and the Kenya County Partnership Strategy (2014-2018).

62. The project has designed a strategy for gender mainstreaming and social inclusion of youth and VMGs whose objectives are; i) social awareness and capacity building of all stakeholders-implementing agents, County governments, SPs, beneficiary communities (men, women, youth and VMGs); ii) ensure participation of women, VMGs and youth in decision making, as well as in micro-projects and subprojects; iii) design and implement special program targeting vulnerable women, VMGs and youth to address their basic and persistent constraints to access resources. All stakeholders will be accountable to gender mainstreaming and social inclusion by ensuring collection and reporting of sex and gender-disaggregated data. (See annex 7 for details)

63. The project will support the following activities:

i) Undertake a gender and social analysis at the start of the project to develop an understanding of the site-specific gender, cultural and socio-economic context as well as the differential vulnerabilities of men and women, youths and other VMGs in the targeted farming communities.

ii) Undertake capacity building initiatives with gender and socio-inclusion modules to stakeholders at all levels. Such will include; training of trainers (TOTs) workshops for implementing teams, awareness creation and sensitization forums at community



level, targeted communication and information sharing, youth involvement in ICT and social media, as well as tailored training and skills development programs

iii) Integrate gender and social inclusion issues during the PICD process in order to;

-identify the different categories of farmers (men, women, youth, VMGs) within the selected wards

-establish the socio-economic status, constraints, needs and priorities for men, women, youth, and VMGs

-use a gender and social inclusion perspective during the identification and development of CSA TIMPs to ensure that such TIMPs address the need and priorities of men, women, youth, and VMGs

iv) Take into account gender and social inclusion concerns during the planning and implementation of all community level project activities (meetings, trainings, demonstrations, on-farm trials, vetting of micro-project proposals, and design of micro-projects and subprojects activities).

v) Capacity build the CPCU staff on collection and reporting of data sets that are disaggregated by sex, gender and social groupings in order to measure the achievement of the targets set in the results framework.

vi) Design and implement special programs and investments targeted to vulnerable women, VMGs and youth to boost their human development and social capital and ensure that 10% of the matching grants under window 1 of the community-level investments are allocated to such groups. The levels of marginalization will be taken into account during screening and vetting of proposals from the VMG groups. (Annex 7 for details)

vii) Adopt the 30% gender rule as stipulated in the Constitution of Kenya 2010 to ensure that women, VMGs and youth participate in decision making and micro-projects/subprojects at all levels ( CIGs, CDDCs, PMCs, CVDCs, CDDOs). This will enable such groups effectively influence decisions that promote gender equity and social inclusion at local and higher levels.

viii) Disseminate as well as develop with beneficiaries appropriate models/strategies towards promoting gender equity within beneficiaries’ households. An example of such is the gender equity model developed under KAPAP for the dairy VC in West

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Pokot that enables both women and men to retain and control their incomes.

viii) Develop and pilot a model that allows for the analysis of the participation of different gender groups (women, youth, VMGs and men) in the project and the expected outcomes, associated factors and lessons that could be replicated elsewhere in the region for effective gender mainstreaming and social inclusion.

3.3.3 Mainstreaming Nutrition

64. The project has included nutrition mainstreaming among the seven main principles that informed its design. This inclusion is based on the recognition that despite the existence of the Kenya National Food and Nutritional Security Policy (FNSP, 2011) and the draft Food and Nutritional Security Strategy (FNSS), their potential for implementation in MoALF&I has not been fully realized. This is due to underfunding of the Home Economics department that is responsible of undertaking nutrition sensitive interventions at the household level.

65. The nutrition mainstreaming in KCSAP is aimed at ensuring that the project will favor interventions and leverage activities that have direct and indirect links with improving nutritional outcomes among project beneficiaries, particularly women and children under the age of five. The opportunities for project interventions include; i) capacity building for stakeholders on food and nutritional security concerns and sensitization of communities on the need to change social cultural eating practices that distort household food allocation patterns, ii) inclusion of mainstream nutrition aspects in the CIGs/VMGs capacity building curriculum, iii) enhancing women’s access to information and appropriate TIMPs, iv) food production diversification to include high-value traditional crops and small livestock enterprises, v) targeting the youth in agriculture by strengthening and supporting the 4k-clubs in schools to achieve a multiplier effect. Under window 1 of community-level investment, the service provider consortia will be tasked to assist their beneficiaries (CIGs/ VMGs) to develop proposals with three investment categories/windows as follows; i) implementation of CSA TIMPs 70% ii) livelihood diversification 20% and iii) mainstreaming nutrition 10%.

66. The project will collaborate with other stakeholders in particular the countys’ departments of health in order to identify the nutritional gaps for the under-fives and create synergies to enhance the existing efforts towards nutritional mainstreaming. This shall further entail interrogating available data especially from the department of health with a view


to mirror on prioritized interventions which can create the desired impact across different communities in the project areas. Consolidating gains and focusing on emerging nutritional concerns in dietary needs will offer an opportunity to zero in on what will be practical to blend and implement. The project will also adopt the nutritional assessment tools and manuals that will be developed by NARIGP.

67. Typical interventions that address nutrition will include promotion of; a) Consumption pathways, which promote traditional nutrient-dense crops and small livestock raising through home and school-based gardening (kitchen garden, multi-story kitchen gardens, fruit trees indigenous vegetables), poultry /bee/rabbit keeping and aquaculture, value addition of crops and livestock products; b) Income pathways, that focus on home-based food processing, storage, and preservation to retain nutritional value, increase shelf-life, and ensure food safety; while at the same time reducing seasonality of food insecurity and post-harvest losses; and (c) Women’s empowerment pathways, which facilitate women’s participation in on- and off-farm activities by promoting labor-saving technologies and group savings and credit schemes.

3.3.4 Mainstreaming HIV/AIDs

68. The Bank and the government recognize the relationship between HIV/AIDS and socio-economic development which has become a central point in policy discussions. Mainstreaming HIV/AIDS therefore is a crucial issue to be factored in any development project. The project will undertake a range of activities that are aimed at reducing stigma towards the infected and contributing towards preventing further spread of the pandemic. Some of the HIV/AIDS mainstreaming activities will include: implementation of the work place HIV/AIDS policy; including HIV/AIDS awareness in the training of trainers curriculum for SP, POs, and Farmer leaders; including VMGs of People Living With HIV/AIDs (PLWHA); encouraging PLWHA to take lead in trainings thereby promoting open discussions about the pandemic and help in the reduction of the social stigma associated with the disease. Also inclusion of PLWHA concerns during the development, validation and transfer of CSA TIMPS.

3.3.5 Knowledge Management and Communication

Knowledge Management is the process of capturing, distributing, and effectively using


knowledge, while communication is the art of imparting or exchanging information by speaking, writing, or using some other medium. The strategic Knowledge Management and Communication approaches to be used in KCSAP will include interpersonal communication, mass media, social and digital media/ ICT/Internet

a) Interpersonal communication

69. This approach will deliver messages via face-to-face interactions. Interpersonal communication will be used at all the levels i.e. national and county levels during meetings, as well as during community group meetings. Examples include community barazas, scheduled meetings, workshops & conferences, farm visits, field days, exhibitions, trade fairs and shows, learning tours, farmer to farmer extension, briefings, trainings, consultations and expert advice among others.

Community Barazas and Meetings:

70. Community barazas: these will be the entry point to community mobilization as well as sharing progress in implementation with community members from time to time.

Meetings: Scheduled meetings will conducted by project implementation structures at all levels.

Workshops and Conferences

71. Workshops: NPCU will conduct annual national review workshops at the national level and invite relevant stakeholders to review progress in implementation, share experiences and lessons learnt for components 2 and 3. CPCUs will similarly conduct annual review workshops at the county level and invite relevant stakeholders to review progress in implementation for component 1. Other training workshops will also be conducted by the NPCU and CPCU for project staff and stakeholders as appropriate

Conferences: Project staff will from time to time participate in various conferences (national and international) as necessary.

Farm Visits to CIGs by SPs consortia

72. Group training of beneficiaries and farm visits by SP consortia at designated points: The venue will be consultatively agreed upon by the SP and the beneficiaries e.g. at



demonstration plot site or a group members farm

Method and Result demonstrations

73. This will be used by KALRO and SP consortia to demonstrate the step by step approaches in implementing specific TIMPs in order to achieve the desired outcome.

Field days/Exhibitions/Trade Fairs

74. SP consortia in collaboration with CPCU and event organizers will show case project progress and achievements by CIGs/VMGs/POs. Beneficiary communities will also be encouraged to attend such events in order to access new technologies.

Cost of materials required and transport costs will be anticipated during planning and budgeting by the CPCU and the SP consortia and factored in their respective budgets.

Documentation of proceedings of any nature at all times will be absolutely mandatory e.g. minutes of meetings, attendance lists of activities conducted. These will be accompanied with photographs of such activities as proof as much as possible.

b) Mass Media

Mass media mainly centers on print and electronic media

(i) Print media (written communication)

75. This approach will use dairies, targeted posters, information brochures, booklets, newspapers magazines and banners with key messages on KCSAP. All posters and brochures will be produced along the professional criteria of the 7 Cs of communication (clear, concise, correct, concrete, coherent, complete and courteous). For example a poster will have only one or at most two messages to put across, distribution of brochures will be well planned as will be the development and placement of banners to mention a few.

Diary

76. A diary is an important tool for recording key points – brief but precise notes on what is working well, and why, and what is not working well and why. Who will keep a dairy?

• All community management structures e.g. CIG/VMG/PO/CDDC/CDDO secretaries

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will keep a diary for taking notes during any official interaction with the SP consortia and the project officials or noting any significant developments taking place in the group. Simple note books or exercise books will be provided by the CPCU for documenting important points. All such documentation will be dated and serialized.

• Service Provider (SP) consortia will equally keep a diary to note important beneficiary information needs that he/she will seek to redress. These needs will later be captured in SP monthly reports stating whether the needs were addressed or not and why. Information needs that are identified but not addressed by the SP consortia will be filtered by CPCU from the SPs reports, prioritized and addressed in collaboration with the sub-county Technical Teams and feedback relayed to beneficiaries through the SP consortia.

• Officers at all levels will keep diaries

Information Education Communication materials (IEC)

77. These will include technical information booklets, leaflets, brochures, educational posters, journal publications on research findings

Information brochures: Each CPCU will prepare awareness creation information brochures for their respective counties and share them with relevant stakeholders e.g. during County project launch, visits to CPCU offices, exhibitions and shows. The brochures will also be posted on the respective county websites.

NPCU (Communication Officer & Research Coordinator) and KALRO in collaboration with MOALF&I, KEMFRI, KMD and other stakeholders will prepare, and package CSA training materials such as training modules and manuals for training trainers (ToTs) on CSA at the county level (County Technical Departments and Service Provider Consortia) before they embark on training beneficiary communities. They will prepare technical information brochures, leaflets, booklets and educational posters for use by SP consortia. Educational posters will be used to visually communicate technical messages to beneficiaries for ease of understanding the messages e.g. different steps in pest control, or pictures of different pests etc. This approach will help in harmonizing standards for packaging of user-friendly education materials across all the project counties. These materials will be posted on the project website at the national level by NPCU while county


specific materials will be posted on the county website by the CPCU.

All the packaged technologies will be digitized and archived. Materials such as leaflets, booklets, brochures and roll- up banners will be displayed in the reception and waiting areas at the NPCU and CPCU

Publicity posters

78. Publicity posters will be used to:

• Publicize mobilization Barazas– information on the posters will clearly indicate the title of the activity, objective, date of the event, venue, time and who is invited to the event and the contact of the event organizers. The objective will be to create awareness among community members to enable them attend the barazas and enroll as members of CIGs/VMGs.

• Publicize opportunities/enterprises suitable in the location (promotion of opportunities poster). This poster will indicate the cost benefit analysis of engaging in the enterprise being promoted with the objective of enticing community members to take up the opportunities as members of CIGs/VMGs.

• Disclose funds allocated to each CIG/VMG, micro-project, and sub-project. This information will be enlisted on the posters and publicized for purposes of transparency and accountability. Soft copies of the disclosure poster will also be sent to NPCU (Communication Officer) for archiving.

All the posters will be placed in strategic public places such as market places, church compounds, schools, and chief’s offices as appropriate. The disclosure of funds posters will be placed immediately after the release of funds to the CIGs/VMGs and the sub-projects.

Newspapers and Magazines

79. English and Kiswahili papers/magazines are an effective channel for reaching policy makers, national and county leaders of all cadres, researchers, small, medium and large scale farmers. Newspapers and magazines will be used to publicize/create awareness on project launch at county and national levels; invite calls for Expression of Interest (EOI)


from potential advisory service providers in county magazines and newsletters; publicize milestones achieved in the project implementation process e.g. feature stories from counties and research. Efforts will be made at both national and county levels to collaborate with local and national programs such as Seeds of Gold of the Nation Newspaper and other media outlets to cover success stories from time to time. Copies of printed features and press releases will be digitized and filed by the CPCU and the NPCU; press cuttings will also be filed as evidence.

Public Sign boards

80. CPCU will support the fabrication of sign posts for the CIGs/VMGs/POs, micro-projects and sub-projects and have them erected in prominent locations such as the village, ward, sub-county and county for awareness creation and direction. NARS institutions/POs/private firms receiving support from KCSAP will equally have similar sign-posts. The sign posts will bear project logo, government emblem, micro-project/sub-project/research activity, name and address, activities being undertaken, project cost, start and expected completion date for all components. Cheap and locally available materials will be used in fabricating the sign boards in order to discourage vandalism of metals e.g. building stone walls and having them decently painted. Directional signs indicating location of KCSAP offices will be appropriately placed.

Collateral media

81. Key messages about KCSAP will be packaged and delivered to target audiences using collateral media for promotional purposes e.g. T- shirts, caps, billboards, pens and bumper stickers, and banners among others.

Progress reports

82. Technical progress reports will be submitted to the NPCU by CPCU, NARS institutions/KMD/KALRO for consolidation and sharing with stakeholders as follows:

• Quarterly progress reports - by the 5th day of the month following the reporting quarter.

• Annual reports - by the 15th day of the month following the reporting year i.e. 15th August.



The reports will document activities for the period under review and will provide information on achievements according to the work-plan; what didn’t succeed and why?; whether there were changes in the programs strategy, how and why?; grievances reported and how they were resolved; challenges and recommendations

Policy Briefs

83. Based on lessons learnt during project implementation, NPCU will oversee the preparation of policy briefs for policy makers in MoALF&I in order to influence meaningful policy change in the sector.

Branding

84. NPCU/CPCU/KMD/KALRO/NARS institutions will ensure that all project assets are branded in order to discourage misuse and loss. This will include vehicles, computers, furniture, micro/sub-project equipment, tools, plants, machinery and all items procured using project funds.

Notice boards

85. These shall be used where possible for displaying internal circulars and urgent messages that require the immediate attention of staff.

(ii) Electronic media/Information Communication technologies (ICT)

86. These include radio, TV, Social and Digital Media/ ICT/Internet/websites

Radio

87. The great potential of radio for dissemination of information including agricultural messages has been universally acknowledged. The following Vernacular stations are active across the county:- Kass FM and Chamgei FM (Kalenjin), Coro, Kameme and Inooro FM (Gikuyu), Ramogi FM (Luo), Mulembe FM (Luhya), Musyi FM (Kamba) and Egesa FM (Gusii). KBC also broadcasts in vernacular of nearly all communities. All KCSAP counties have FM radio stations transmitting programs in local languages. These stations will be used:

• By NPCU to create general awareness on project objectives and coverage through radio spots in local languages

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• By CPCU to relay awareness messages on project activities e.g. publicity on mobilization barazas for beneficiaries to turn up in large numbers

• Through talk shows: The CPCU in collaboration with the local FM stations, SP consortia, county sector department and CDDC will organize quarterly interactive radio talk shows on progress in project implementation

Audio visuals - TV and video documentaries

88. Video Documentaries -These will be used particularly during capacity building sessions of SPs Consortia and CTDs by KALRO and CPCU. Agricultural Training Colleges (ATCs)/Mobile Pastoral Training Centers often have such training materials and equipment. Agricultural Information and Resource Centre (AIRC) has a library of training video documentaries on various topics including one produced by the Kenya Adaptation to Climate Change in the Arid and Semi-Arids Land (KACCAL) which is also available the NPCU.

The NPCU and CPCU will produce short video documentaries on success stories (7-10 minutes long) tracking progress (with and without project). These clips will be posted on U-tube besides making efforts to collaborate with media houses in order to provide them with content for the existing agricultural TV programs. Arrangements will also be made to have TV Talk Shows on the project.

Reporters from both the print and electronic media will be invited to cover and air important field activities such as project launch, field days and exhibitions. Extreme caution will however be exercised when dealing with the press as they can make or break an institution.

Social and Digital Media/ ICT/Internet

89. This will involve the use of different platforms such as the KCSAP website for posting project documents and video documentary links, mobile phone, group emailing, and KCSAP Facebook page and tweeter handle.


90. Websites

• All project offices (national and county) will have Local Area Networks (LANs) for efficient communication and to ensure data /information sharing and efficiency in reporting.

• NPCU, CPCU and all stakeholders will use the internet as an effective real-time communication tool through e-mails and social media. The coordination units will each have e-mail addresses; and create a face book page to encourage social media interaction.

• NPCU will design its website and post all relevant project documents including standardized technical information brochures & leaflets, research publications, project documentaries, tender notices/awards and any other project related documents.

Facebook and Tweeter:

91. The project will have an interactive face book page for communicating with the general public as well as a Tweeter Handle for sharing information about the project for enhanced visibility

Mobile phone

92. NPCU and CPCU in collaboration with mobile phone and other service providers will use mobile phones to:

• Register project beneficiaries in the project counties

• Share agro-weather and market advisories with the beneficiaries

• Relay tailor made technical messages through existing SMS and ICT web based platforms such as i-cow, e-soko, NAFIS

• Relay U- Report type of Short Message Service (SMS) or Interactive Voice Response (IVR) – this is a social message tool designed for selected community representatives to respond to or report issues, and work as positive change agents on behalf of community members. The U-repot will be used to:

• Receive direct feedback on the performance of SPs from farmers


• Handle complaints and grievances

• GPS mapping of project activities in the project counties

93. Groups e-mail – will be used for real time communication within the project and with stakeholders.

Monitoring of KMC Activities

94. A monitoring system is necessary as it helps to detect flaws and oversights in some of the KMC messages that go out to communities. Elements of the project that are important for monitoring KMC activities will include IEC materials and distribution systems, tracking of beneficiaries’ levels of knowledge on project modality and principles, roles and responsibilities of beneficiaries and members of groups. Gauging behavior change as a result of KMC interventions and project management capabilities. Monitoring tools like media audit, awareness rating and participation levels shall be used. The evaluation strategy will look at both process and output indicators of the KMC interventions. Process evaluation will keep track of the deliverables i.e. the mechanism of work as regards the strategy while output evaluation will focus on the immediate outcomes of the various KMC strategy interventions.

95. Monitoring of KMC activities to determine their impact will be done periodically commensurate to the work plan. The following indicators will determine the extent to which KMC activities have been implemented:

a) The number of news articles/features published;

b) The number of opinions/views from stakeholders recorded;

c) The number and types of communication materials produced and disseminated;

d) The number of radio programs aired including the number of invited listeners who participated in the program;

e) Number of farmers/beneficiaries accessing technical information through print and electronic media;

f) Number of farmers/ beneficiaries satisfied with the content they are receiving;



g) Number of farmers/ beneficiaries receiving information that facilitate timely decision making;

h) Number of communication channels used to reach beneficiaries;

i) Preferred channels of receiving information;

j) Number of information needs identified and addressed;

k) Number and types of leaflets/technical information brochures developed and distributed e.g. production, value addition, market information;

l) Number of learning tours, demonstrations and field days planned for and executed;

3.3.6 Social Accountability & Grievance Redress Mechanism

Public Disclosure of Information

96. The principle behind public disclosures is to enhance transparency and accountability to the beneficiary communities and to make them feel part of the project by sharing critical information with them. To achieve this, details of all approved CIG/micro-projects/sub-projects/research interventions indicating funding levels, contact persons will be displayed by the CPCU/CDDC/NARS institutions on KCSAP website as well as respective county websites; and public information notice boards e.g. at the chiefs office , county offices, county Commissioners/County Governor’s offices, churches, mosques, temples, public/ social halls. Details will include names of the CIGs, micro-projects, sub-projects, research project, ward, sub-county, approved and released funds, and contact persons. (refer to Communication Strategy for a sample poster)

Community Meetings

97. Monthly community meetings (barazas) where the CDDC and project management committees present detailed and updated information on community micro-projects will be held. Community members will have an opportunity to ask questions, seek clarification and give suggestions on the implementation of the micro-projects during these meetings. The community meetings will include community general assembly, CIG/VMG meetings and CDDC meetings. Proceedings of the meetings will be submitted to the CPCU by the CDDC for incorporation in their quarterly reports.

45



GPS mapping of project activities

98. All KCSAP supported CIGs/VMGs/POs/micro-projects/research projects and sub-projects will be geo-mapped in the project counties and all geo-mapped interventions will be web-based to make it publicly accessible and will be updated continuously as necessary. This information will include name of CIG/VMG/PO/research intervention, key activities, contact persons, funding level, membership disaggregated by gender. The maps will be accompanied by an active photograph of the intervention and will also play a key role in enhancing project visibility. The ICT officer at the NPCU will conduct trainings for the county M&E officers to enable them to undertake this exercise.

Grievance Redress Mechanism (GRM)

99. A GRM is a strategy developed to mitigate social risks in the implementation of the KCSAP. A Grievance Redress Mechanism for the project shall be established where it does not exist or strengthened/refined/adapted to the project where it exists locally, whether these mechanisms are formal or informal. Project Affected Persons (PAP) and other parties will submit complaints regarding the KCSAP, through the established GRM, or existing appropriate local grievance mechanisms. How the project implementers respond to and manage these concerns, inquiries and complaints will have significant implications on how the project is perceived and, possibly whether or not it succeeds. The GRM will ensure that complaints received are promptly reviewed in order to address project-related concerns.

100. The existing community based grievance resolution structures or the Social Accountability and Integrity Committee (SAIC) at CIG/VMG/PO/micro-project/sub-project level will resolve grievances or disputes received and logged and ensure that redress actions are implemented by responsible parties. If the aggrieved Project Affected Persons (PAPs) or communities are not satisfied with the redress action at CIG/VMG/PO/micro-project/sub-project level, they will have an opportunity for redress at the ward level by the CDDC SAIC or at the county level by the CDDO SAIC, and should this also fail, it will be sent to the CPSC then to the NPSC or other dispute resolution structures such as the land tribunal, and finally the complainants are entitled to seek redress through the Courts of Law once they are not satisfied.


Objectives of the GRM

101. The purpose of a grievance mechanism is to establish a way for individuals, groups or communities affected by the project to contact the relevant project authorities if they have an inquiry, a concern or a formal complaint. It provides parties affected by the project with avenues for making a complaint or resolving any dispute that may arise during the course of the KCSAP implementation and ensure determination of entitlements of compensation and implementation of the project. It is also aimed at ensuring that appropriate and mutually acceptable redress actions are identified and implemented to the satisfaction of complainants; and avoid/minimize the need to resort to judicial proceedings or outbursts by aggrieved PAPs/communities that would have been prevented through an effective GRM.

102. The project will have a functional grievance redress mechanism for reporting and resolving grievances from project beneficiaries and other stakeholders. A grievance reporting system comprising telephone lines, opinion/suggestion boxes placed at Chiefs Offices, CPCU Offices, letters, e-mails, face to face, a central web based database and SMS text messages will be used. The system will be integrated with the PMIS for effective processing and monitoring of complaints.

103. Grievances are likely to emerge from two sources: a) CIG/VMG/PO/micro-project/sub-project levels or b) project staff and consortia levels. Grievances/complaints will be launched at every level of project’s organizational structure e.g. CIG/VMG/PO, micro-project, sub-project, county and national levels.

A register to log the grievances will be maintained at each level starting at the CIG level to the national level.

Grievance Redress Committees

104. At the CIG/VMG/PO/CDDC&CDDO levels, the Social Accountability and Integrity Committees (SAICs) will record grievances and also help in their mediation. Representatives of PAPs and religious representatives will join the SAICs during mediation.

Reporting complaints

105. Complaints, suggestions, compliments, queries or comments will be reported at any


of the project implementing/executing institutions using the following methods: Letters, e-mails, text messages, verbal narration from walk-in complainants and phone calls, social media and reports from project staff, independent monitors, supervision teams, government officials, or any interested persons or special groups like VMGs, elderly people; reports of staff, consultants, NGOs, journalists and other interested stakeholders. To facilitate reporting of complaints from these diverse sources of communications channels, necessary details of these channels will be prominently displayed. This will include dedicated telephone lines, cell-phones, physical addresses and postal addresses of relevant offices, email addresses, and suggestion boxes. All complaints will be serially entered into a complaints log book/register, which will be maintained at different implementation structures and levels starting from the CIG/VMG/micro-project/subproject, county and national level for easy tracking. At each level, the SAIC secretary, CDDO SAIC secretary/M&E Officer (County level) and Information/Environment and Social Safeguards Officers at the national level will register the complaints. The focal person at each level will log the complaints into the complaints register as well as their resolutions and forward them to the M&E Officer (County level) for compilation and integration in the quarterly progress report and integration in the MIS.

Dispute Resolution Mechanisms

106. Grievances arising from the project will be reported and resolved at various levels starting at CIG level using the CIG constitution but will be escalated upwards through the existing structures (CDDC, CDDO) to CPSC through the CPCU, NPCU, and NPSC depending on the nature of the complaint.

107. For complaints involving community members, beneficiaries will be encouraged to report and resolve issues at community level through the CIG/VMG/PO/CDDC SAICs, during their monthly meetings using their constitution. Members may also apply their customary dispute resolution mechanisms as appropriate. If the nature of the a complaint/grievance is such that it cannot be reported or resolved at community level, beneficiaries will be sensitized during community mobilization and other capacity building opportunities on how to escalate their complaints upwards through the project institutional structures from CPCU to NPSC. If after exhausting the project institutional structures, beneficiaries are still dissatisfied with explanations and solutions offered, they will have the option of seeking justice through through the court of law.



108. The efficacy of these complaints handling procedures will be monitored and assessed during the annual review workshops for modifications if required. All complaints will be categorized, logged in a register to be maintained at all levels (CIG/VMG/CDDC/CDDO/CPCU/NPCU), collated, and followed up. Complaints and their follow up will be recorded, analysed and reported in quarterly and annual project reports. The SAIC executives at all level, M&E Officer at CPCU level and Communication/Environment and Social Safeguards/M&E Officers at the NPCU will monitor and report on the efficacy of the complaints handling mechanisms.

109. Grievance Handling Process

(i) The SAIC at each level will interrogate the PAP in the local language and complete a Grievance Form to be provided which will be signed by the leader of the SAIC and the PAP/complainant;

(ii) This will then be lodged in the Grievance Log book provided by the SAIC at whatever point;

(iii) The PAP/complainant should expect a response from the SAIC within seven days of filing the complaint. If the issue is not resolved, the SAIC will escalate the complaint to the next SAIC until the highest level possible;

(iv) The CPSC will be given a fourteen (14) day notice to hold a meeting to resolve a grievance or escalated it;

(v) Two days after the meeting, the CPSC executive will call the PAP and the relevant SAIC for discussions and resolution. The resolution will be presented to the PAP in written form on the same day of the meeting;

(vi) If there is no resolution to the grievance, the CPSC and the PAP/complainant shall then refer the matter to either County Land Tribunal (if the complaint is on issues concerning land) or the NPCU;

(vii) Law Court - The Kenyan laws allow any aggrieved person the right of access to Court of law. If the complainant still remains dissatisfied with the County Land Tribunal, and the response from the national level; the complainant has the option

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to pursue appropriate recourse via judicial processes.

(viii) Grievances will also be received at county level by the M&E Officer and the national level by either the Environment & Social Safeguard Officer or the Communication Officer. At this level, the grievances will be mediated by the CPAC and NPAC respectively.

Courts of law will be a last resort in view of the above mechanism.

(Refer to KCSAP Communication Strategy for details on communication and social accountability including Grievance redress mechanism)

3.4 KCSAP START–UP ACTIVITIES

3.4.1 Project Launch

110. The aim of a launch is to create awareness on the project objectives and geographical coverage. KCSAP will be launched at the national and county levels. At the national level, there will be two launches namely; the Technical and Executive launches. The Agriculture Secretary of the State Department of Agriculture will convene the Technical Launch within six months of Project’s effective date. The participants will include members of implementing and executing agencies at National and County levels. The Executive launch will be spear headed by the Cabinet Secretary MoALF after the Technical Launch. Participants to the executive launch will include high level Government representatives, members of the coordination and implementation structures as well as representatives from the executing agencies, relevant development partners and other key stakeholders.

111. The county level launch events will be spearheaded by the CEC in charge of Agriculture sector after the national project launchs. Participants to the launch will include members of the county coordination and implementation structures as well as representatives from the implementing agencies, NPCU, representatives from executing agencies, relevant development partners, farmer representatives and other key stakeholders.

3.4.2 Induction of Project Staff

112. The National and the relevant County line departments as well as the newly recruited project staffs will undergo KCSAP induction training.


i) National level induction: This will be done by the World Bank and the GoK with a focus on; financial management; monitoring and evaluation; and overall expectation from the project team. The NPCU will in turn induct the relevant departments of the implementing and executing agencies on the project and its expected outcomes.

ii) County level: The NPCU will conduct four regional induction workshops for CPCU staffs and representatives of county governments on the project implementation processes, roles and responsibilities, World Bank requirements and expected outcomes.

Table 2: Summary of Startup activities for KCSAP

Activity Responsibility/Actor By date Main role/ Expected Output

National Project Launch PS-SDA December

2017 KCSA- Awareness created

Induction of newly recruited NPCU staff on KCSAP

NPC/PS State Dept. of Agriculture

January 2018

Train the new staff on the PIM and prepare them to play their roles

Project Launch – At Counties Chair- CPSC January

2018 KCSA- Awareness created

Induction of newly recruited CPCU staff, CEC, CO and County Departmental Directors on KCSAP

NPCU February 2018

Train them on the PIM and prepare them to play their roles, including Launch planning, and Budgeting

Annual work-planning and Budget workshops NPCU February

2018Resources for county activities released

Training the CTAC and CPCU on the KCSAP Community

Planning Process

NPCUMarch /April 2018

sub-CTAC and sub-county technical staff capacity built to undertake effective PICD


3.4.3 Identification and Selection of Sub-counties and Wards

113. The identification and selection of sub-counties and wards will be triggered by the CPCU in collaboration with the CPSC. The CPCU will convene a steering committee meeting, whose agenda will include selection of the four to six (4-6) wards in up to 3 sub-counties in order to avoid spreading resources too thinly; and to maximize on the impact of project interventions. Interrogation on the needs of the farmers towards unlocking the potential in the priority value chains should be taken into account alongside such wards having participated in other development initiatives that may have resulted in creation of ‘white elephants’. The criteria for ward selection will include;

i. Poverty level of wards

ii. Vulnerability to climate risk

iii. Absence of similar initiatives in order to avoid duplication

iv. Geographical proximity of wards to each other

v. Presence of ward level technical department officials.

In sub-counties where the staff are inadequate, an assurance by the County government that staff will be deployed to such sub-counties will be necessary.

3.4.4 Baseline Survey

114. A baseline survey will be conducted after the project sites have been identified. The objective of the baseline survey is to establish the baseline status in regard to the Key Performance Indicators (KPIs). The M&E Officer at the NPCU in collaboration with Component Coordinators will spearhead the process. The survey will be carried out through a competitively identified consultancy as detailed in the M&E manual.

3.4.5 CSA Planning and Prioritization at County and Ward Levels

115. The CSA planning and prioritization will be undertaken in each of the 24 project counties by an appropriate technical team to be constituted by CTAC. This team will have representatives from all relevant county departments. The process to undertake this activity will include; collection and analysis of both secondary and primary data; development of guidelines and eligibility criteria to be used in the CSA planning, prioritization and categorization of the CSA investments into short-term (1-3 years) and medium-term



(4-8 years); designing the approaches to be used to achieve public participation and preparation of the county CSA investment plan. The team will also liaise with the county planning department to ensure that their CSA investment plan is integrated into the current County Integrated Development Plan (CIDP). The prioritization criteria should focus on environmental, social and sustainability factors and the contribution of the prioritized investments towards achieving the projects’ triple wins.

116. The preparation of these investment plans will involve the following steps: (i) analysis of natural resource endowments, farming systems, location-specific climate risks and areas of acute vulnerability for the agricultural sector; (ii) analysis of priority intervention areas and relevant investments for each county or cross-county;(iii) identification of priority VCs to focus project efforts;(iv) selection of sub-counties and wards for concerted action;(v) identification of potential county-level investments needed for climate resilience; and (vi)county needs assessment to identify technical assistance (TA) requirements.

117. The main sources of the information required to undertake this activity will be accessed from secondary data sources to include; existing policy documents on climate change -National climate Change Response Strategy (NCCRS), National Climate Change Action Plan (NCCA), Kenya Climate Change Strategy (KCCS); the specific County Climate Risk Profiles (CRPs) and data collected during the CIDP development process, as well as all other relevant documents. The team will also be supported to undertake Participatory Rural Appraisal (PRA) exercise to collect primary data to fill any identified information gaps and for ground-trothing of the prioritized CSA investments. The CSA investment plans will form the framework for developing CSA investment proposals for subprojects as well as guide the selection of CSA TIMPS for scaling up in each participating county. Such TIMPS must be in the form of an integrated package of interventions, context specific and demand-driven. (Annex 8 for details).

3.4.6 Participatory Integrated Community Development - PICD

118. This involves community mobilization and planning to appraise community resources, challenges and identify opportunities to achieve CSA triple wins. This process will be spearheaded by the CTAC in collaboration with the CPCU and the local administration. Each ward will be divided into four zones to ensure farmers/pastoralists do not travel for long distances to get services. All the mobilization and planning activities will be

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carried out in the zones. Leadership structures will also be established at the various levels starting from the CIG/VMG level upwards to the zone, ward, sub-county and county levels. In the NEDI counties, each settlement/Manyatta will be considered as a zone due to the long distances between settlements. The PICD team will comprise of CTAC, SCTT, CPCU, agricultural researchers, and representatives of the Kenya Meteorological Department (KMD), potential service providers and opinion leaders. The process will involve sensitization and mobilization of communities in designated areas; ensuring the participation of women and the vulnerable and marginalized members of the community. This activity will trigger participatory development by giving the communities the opportunity to state their situation, their problems and perceived opportunities for the different social groups within the community. The assessment will include establishment of area specific baseline on the status of natural resources, gender relations, vulnerability levels, socio-economic status, nutritional concerns and agricultural/rural development performance indicators. The PICD team will assist communities to draw Community Integrated Action Plans (CIAPs) that highlight development, conservation and sustainable agriculture needs and the required CSA TIMPS.

119. Researchers will avail- ready to use CSA TIMPs that address the identified needs. In cases where research gaps exist, the researchers will convene stakeholders’ fora to set the research agenda on possible collaborative research solutions. The KMD and MoALF will seek to establish concerns in regard to access and use of agro-weather and market information; and the associated factors and opportunities for improvement of these services. The CIAPs will be summarized into specific, measurable, achievable, realistic, and time-bound (SMART) problem statement that will inform service delivery proposal development by potential service provider consortia.


Table 3 Community mobilization and planning process

Activity Responsibility/Actor By date Expected Output

1.

Train the sub-CTAC and sub-county technical staff on the KCSAP Community Planning Process

CPCU/CTAC/ KALRO/KMD

December/January 2018

Sub-CTAC and sub-county technical staff capacity built to undertake effective PICD

2. Develop PCID tools

CPCU/CTAC/sub-CTAC/KALRO/KMD January 2018 Data collection tools

developed

3. Desk review and planning for PICD

CPCU/CTAC/sub-CTAC/KALRO/KMD January 2018

Secondary data collected, existing gaps identified and PICD plan developed

4. Community entry barazas

CPCU/Sub-CTAC/KALRO/KMD

January/February 2018

Awareness on KCSAP created

5. Conduct PICD CPCU/Sub-CTAC/KMD/KALRO

February/March 2018

PICD report, existing groups and priority VC and challenges identified

6.

Analyze PICD report to develop VC problem statement, identify appropriate TIMPs & existing gaps

CPCU/Sub-CTAC/KALRO/KMD March 2018

CIAP, VC problem statement developed , appropriate TIMPs & existing gaps identified, livelihood & nutrition mainstreamed opportunities identified


3.4.7 Sensitization and Awareness Creation on the Project

120. After the induction of Project staff and the establishment of the county-level project institutions described in above, the CPCUs with support of the NPCU will undertake county-level targeted sensitization of county technical staff (especially officers in the relevant County Technical Departments of: Agriculture, Livestock and Fisheries; Finance and Planning; Co-operatives, Trade and Marketing; Environment and Forest Services; Public Works; Water and Irrigation; Gender and Social Development; KMD) political leadership, and the wider county population (i.e., beyond participating CIGs, VMGs, and POs) on the objectives, role, and expected outcomes of the project.

121. This will be done through topical workshops and Information Education Communication (IEC) materials, designed by the NPCU and adapted as necessary by the CPCUs. During these workshops emphasis will be made on undertaking a Capacity Needs Assessments (CNAs) with the involvement of the CTDs. A project website with GIS mapping of micro and sub-projects will be developed by the NPCU which CPCUs will adapt or modify the mapping materials to suit specific needs. The pathways which will be used for information sharing will include posters, signboards, Participatory Education Theater (PET) by the youth and local radio stations among others.

122. The sensitizations will focus on the following key topics: (a) community-led agricultural development; b) CSA TIMPS (c) Sustainable land management; (d) good practices on extension services and VC development; (e) basic nutrition facts (e.g., healthy diet/diversification of food consumption based on locally available food); and (f) good practices for livelihood improvement with nutrition-sensitive activities;(g) gender and social inclusion concerns among others.

3.4.8 Contracting Private Advisory Service Providers

123. Service provider consortia will be competitively selected to offer VC specific services to address challenges identified in the CIAP and as summarized in the problem statements (Table 5). A call for expression of interest by the CPSC for prospective service providers’ consortia based on the summarized problem statement will be advertised in the participating counties through county/sub-county notice boards, local print media and FM radio stations. The bidding consortia must be legally registered and have the right professional mix with



sufficient grass root partners/front line extension workers (at least one grass root partner per VC enterprise per ward). Using the set criteria provided by the NPCU, CTAC will vet and shortlist three SP consortia firms per VC. CTAC will also prepare terms of reference to request or technical proposals from the selected SP consortia. The proposals will be evaluated on basis of the guidelines provided in the extension manual. In the NEDI and other counties where the SP consortia may not be available, public extension agents will be facilitated to provide services.

Table 4: Summary of competitive SP selection process

Activity Responsibility/ Actor By date Expected Output

1.

Advertisement of Expression of Interest to provide extension services

NPCU, CPCU March/April 2018

A pool of potential Service Providers (SP) respond to the call.

2. Shortlisting of SP firms per VC CTAC/CPCU April 2018 Three most qualified SP

firms shortlisted

3.

Development of TOR to guide formulation of Proposals from prospective SPs

CTAC/CPCU April 2018 TOR developed

4.Evaluation of Proposals and selection of SP consortia

CTAC/CPCU April 2018 Consortia for each Value chain recruited

5. Determine contract fees using set criteria

CTT / CPCU & CTACChair- CPSC

April 2018 Contract fee for SP consortia determined

N/B CPCU and CTAC will be trained by the NPCU on Competitive Recruitment of Service Providers prior to commencement of the selection process.

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3.4.9 Pre-Contracting Activities

124. The objective of this step is to define the climate-smart interventions, identify the direct beneficiaries and establish their leadership structures at the CIG/VMG, zonal and ward levels. The sub-CTAC and the CPCU in collaboration with the Social Service and Cooperatives Departments will spearhead the process within ten months of project effectiveness.

125. Identification of beneficiaries: During the PICD process, existing groups (farmer groups, women groups, men groups, youth groups, self-help groups, VMGs) with mutual interest and willing to participate in a given VC targeted by the project will be identified. Consequently, the SP consortia will formulate enterprise specific climate-smart investment opportunities and flag to the groups as well as other interested farmers who are not members of any group to trigger their interest to participate. Farmer/VMGs who do not belong to any group will enlist into new groups or join existing ones. The newly formed groups as well as unregistered existing group will register with the relevant GOK authorities’ e.g. the Department of Social Services. Where VMGs do not exist, Social Services Department, local administration, SP consortia and the CPCU will collectively identify vulnerable members within the community and assist them to form and register VMGs. For the NEDI counties, where the flagging approach may not be necessary, each village will be considered as a CIG and the vulnerable members within facilitated to form VMGs. All CIGs/VMGs will elect the executive committees comprising Chair, Secretary and Treasurer. All the chairpersons of the CIG/VMGs/NEDI villages within a sub county will come together to establish the other community leadership structures as described in section 3.1.4.

126. Formation of community management committees and election of leaders: Three types of grant management structures will be establishment on the basis of the types of grants available in the KCSAP project as listed below. This will enable prudent management of the grants for each VC and sub-project having their own grant management structure and separate bank accounts to prevent comingling of funds; and most importantly, to distribute responsibilities to a wider spectrum of community members. Projects grants will be managed at three levels. (i) Micro-projects e.g. value addition investments that are ward specific will be managed by the CDDC in that particular ward while (ii) sub-projects that cut across multiple wards or counties e.g. water-pan, irrigation systems


will be managed by a project management committee established by the CTAC from the beneficiary communities. (iii) Service Provision Grants that involve payment of the contracted service delivery will managed by the county value chain development committees (CVCDs).

127. Participatory Planning Workshops: This entails revisiting the Community Integrated Action Plan and focusing on the specific value chain enterprise and micro-projects for detailed planning of interventions to come up with Enterprise Development Plans (EDPs)/ Micro-project opportunities. The EDP will include the appropriate CSA TIMPs, timelines for interventions, demonstration materials, planed tours, researchable issues, agro-weather and market advisory interventions, and budget (showing the community contribution). It will also include cross cutting issues such as land management issues, environmental and social safeguard interventions, gender and social inclusion as well as communication and grievance redress mechanisms.

Table 5: Summary of pre-contracting activities

Activity Responsibility /Actor By date Expected Output

1.

Training the CPCU and Consortia on TIMPS, EDP formulation and Micro-projects Planning

NPCU/KALROApril/May , 2018

CPCU & SP consortia trained on development of EDPs and micro-project plans

2.

SPs prepare and flag/advertise value chain opportunities awareness creation posters

CPCU/SP Consortia

June, 2018 CIG/VMGs in place

3.Elections of CVCDC and Micro-project leaders elected at ward level.

CPCU/SP Consortia/ SCTD June, 2018

CIG management structures in place


Activity Responsibility /Actor By date Expected Output

4.EDP developed using the CIAP and incorporating CSA-TIMPs

CPCU/SP/Consortia/SCTD/CIG leaders June, 2018 EDPs developed

5. Micro-Project proposal development

CPCU/SP Consortia/CIG &VMG leaders

June 2018 Micro-projects proposals in place

6.

Development and vetting of budgets for extension service provision contracts & micro-projects

CPCU/CPSC June 2018 Budgets approved

7.Development and vetting of budgets at the National level

NPCU/NPSC June 2018 Budgets approved

8.Contracts and Micro-projects FUNDs RELEASE to counties

NPCU/MOALF July/August 2018

Funds for implementation released

3.4.10 Participatory Contracting Workshop

128. The objective of the Participatory Contracting Workshops (PCWs) is to enable the beneficiaries within each value chain to negotiate with their Service Provider Consortia and agree on the terms of engagement and sign the Extension Service Delivery Contracts. The PCW will be organized by the CPCU who will also moderate the negotiations between the CVCDCs acting on behalf of the beneficiary communities and the SP consortia. All CIG/VMG executive committee members (Chairperson, secretary & treasurer) will also participate in the negotiations. The negotiations will focus on;



a) Services to be offered by SP consortia based on the EDP and setting of the targets to be achieved by beneficiaries (CIG and VMGs).

b) Payment benchmarks to be achieved by SP consortia in order to qualify for a given percentage of the payment.

Table 6: Participatory Contracting Workshop Process

Activity Responsibility/ Actor By date Main role/ Expected

Output

1.

Training the CPCU and Consortia on the Extension Contracting Process

NPCU May/June 2018Realistic Contracts between the Beneficiaries and Consortia assured.

2.Participatory Contracting Workshops

CPCU/Consortia/ CTD June/July 2018 Extension Service

Delivery Contracts signed

3. Drafting and signing of Contracts

CPCU – The Consortia and CVDC.

Within 12 months of project effectiveness

Extension Contract between the CIGs and the Service provider consortium in place

129. Implementation of EDPs: The SP consortia will avail extension advisory services to the CIGs/VMGs in line with the EDP implement schedule.and the contact document. This services will focus on the various segments of the value chains and include linking of the beneficiaries to other service providers such as input suppliers and markets, as well as facilitating the development of micro-project proposals.

130. County Sub-Projects: These are county CSA investments that may be ward specific or span multiple wards or counties. Sub-projects would include demarcation and restoration of livestock migratory routes and common grazing land, breeding programmes (heat and drought tolerant varieties/breeds), water-pans/sand dams, rehabilitation of small and medium-size irrigation schemes, dry season grazing, rangeland management and restoration, fodder banks, eradication of invasive species, disease free zones among

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others. The sub-projects will be identified and prioritized during the CSA planning and prioritization at the county and ward level as described in section 3.4.5 above. The CPCU will facilitate the County Technical Departments (CTDs) to prepare the sub-project proposals and submit the proposals to the CTAC for review and subsequent transmission to the CPSC for approval.

131. For the NEDI counties, sub-projects will focus on interventions under the priority subsector investments as identified by the Needs Assessment Plan for these counties. The participating counties will form joint committees and draw participation agreements clearly stipulating responsibilities, timelines and contributions by each county.

3.4.11 Public Extension Service Providers

132. Public Extension Service Providers: In areas where extension service provider consortia are not available, the respective county governments will use public extension service providers. In such cases, technical officers at the ward level will generate CSA area specific action plans that will be presented to the sub-CTAC for review, collation and forwarding to the CPCU and CTAC for approval and support.

3.4.12 Development of Project implementation Manuals

137. For detailed implementation guidelines, the following manual and modules will be prepared;

i. Matching Grants Manual

ii. Extension and Value Chain Development Manual

iii. Collaborative Research Grants Manual

iv. Seed Systems Manual

v. Financial Management Manual

vi. Procurement Manual

vii. M&E Manual

viii. PICD Training Module

ix. TIMPS Training Modules


x. Value Chain Specific Handbooks

xi. County Technical Departments Training Modules

xii. Gender and Social inclusion Module

xiii. Environmental and Social safeguards Modules

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CHAPTER FOUR


4. UPSCALING CLIMATE-SMART AGRICULTURAL PRACTICES

133. This chapter describes the activities to be undertaken by component one. The component has three sub-components that focus on up-scaling climate smart agricultural practices and facilitate the adoption of the appropriate Technologies, Innovations and Management Practices (TIMPs). The three sub-components are:

(i) Building Institutional Capacity and Strengthening Service Delivery:

(ii) Supporting Investments in Smallholder Agro-Pastoral Production Systems.

(iii) Supporting Investments in Pastoral Production

4.1 Sub-Comp 1.1 Building Institutional Capacity and Strengthening Service Delivery

134. This subcomponent will build institutional capacity at county, ward, and community levels to plan, implement, manage and monitor ward/county sub-projects and community micro-projects. A Capacity Building Assessment (CBA) will be undertaken and a Capacity Building Plan (CBP) developed through a competitively recruited consultancy at the NPCU level. Specifically, this subcomponent will finance project interventions related to: (i) strengthening the capacity of county and wards to deliver agricultural services; (ii) Supporting CSA planning and prioritization at county and ward levels; (iii) Contracting private advisory service providers; and (iv) Facilitating community institutions.

4.1.1 Strengthening the Capacity of County, Sub-county and Ward to deliver Agricultural Services

135. Building Capacity of CTDs: The objective is to build the capacity of CTDs to enable them provide requisite agricultural services, quality assurance and oversight of service providers. This will be done through (i) supporting staff in the CTDs to undertake short-term (72) and long-term training (24 BScs and 24 MScs) as well as exposure visits; (ii) providing equipment to county- and ward-level technical staff (for example, motor vehicles, motorcycles, veterinary and laboratory equipment, IT and office equipment); (iii) providing budget for O&M of offices, equipment, and supervision (field visits); and (iv) training ward-level public extension staff in the delivery of agricultural advisory services.


136. Technical training of County and Ward CTDs will be undertaken through workshops, exchange visits, and publications while field-based learning will be undertaken through site visits, demonstration plots, and pilots. Capacity building efforts will emphasize both learning-by-doing and technical/methodological and field practical (hands-on) training. Capacity building under this subcomponent will be coordinated and harmonized with the National Capacity Building Framework and other current donor initiatives. All technical trainings will be undertaken by NPCU in collaboration with: consultants; academic and research institutions; such as the Kenya School of Government, Kenya Institute of Management, agricultural universities, and KALRO; as well as of specialized agencies like the National Environment Management Authority (NEMA) and KEPHIS.

137. Training needs assessment will be undertaken to identify the capacity needs in regard to the following key areas: (i) understanding CSA concepts, assessing TIMPS, and designing CSA investment plans; (ii) mainstreaming the country CSA investment plan into CIDPs and monitoring and evaluating their implementation; (iii) planning and providing agricultural extension and business advisory services; (iv) providing animal health services, including disease surveillance and vaccination campaigns; (v) integrating Community Development Plans into county planning and budgeting processes (specifically in mainstreaming CDD micro projects into county budgeting systems); (vi) identifying gender/social concerns, gender mainstreaming initiatives and including VMGs in county agricultural development programs; and (vii) planning, designing, and implementing relevant rural infrastructure to enhance access to markets by CIGs. The project will use standardized training modules developed under other sector projects.

138. Training of Service Providers: The NPCU in collaboration with the CPCU will organize sensitization and training for contracted SPs on the developed standard training modules for facilitating the TIMPs interventions and training of community institutions.

139. Training of community institutions: The CPCU will facilitate through the SPs capacity building of community members and management committees, to improve their skills and technical capabilities in CDD implementation. These trainings will be the responsibility of the SP and should be included in their Terms of Reference and Contracts. They will carry out these activities under the supervision of the field officers of the CTDs and the CPCU. The table below summarizes some of the community trainings to be undertaken, the targeted groups and the timing.



Table 7: Targeted Community Trainings

Training Target group Responsible When

PICD CTAC, CTDs CPCU in collaboration with NPCU

Community Entry

Social Accountability and Integrity Training

SAIC, Integrity Committee

CPCU to facilitate SPs After PICD

Basics of Leadership, project management, group dynamics, conflict management, Social Accountability and complaint handling

CIG/VMG, CVCDC, PMC, CDDC,

CPCU to facilitate SPs Contract signing

Resources mobilization and proposal writing


CPCU to facilitate SPs/CTAC

One week after leadership training

Value chain upgrading opportunities

CIG/VMG, CVCDC


After proposal training

Procurement and Financial Management



One week after resource mobilization

Participatory Monitoring and Evaluation

CIG/VMG, CVCDC, PMC, CDDC, CDDO


One week after Procurement & financial management training

Report writing and documentation

CVCDC, CDDC, CDDO, PMC,


Two weeks after PM&ETraining

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Training Target group Responsible When

Cross cutting issues on Gender, Environment, HIV & AIDs, Social inclusion

All committees and sub-committees


After report writing training

Exchange Visits CIG/VMG,CVCD, PMC, CDDC and CDDO members


Within Implementation period

Risk Management All committees CPCU to facilitate SPs/CTAC

Within implementation period

4.1.2 Supporting CSA planning and prioritization at county and ward levels

140. 145. The detailed activities of CSA planning and prioritization are discussed in Chapter 3.4.5 as part of the project start-up activities.

4.1.3 Contracting Private Advisory Service Providers

141. The detailed activities of contracting private advisory service providers are discussed in Chapter 3.4.6 as part of the project start-up activities.

4.1.4 Facilitating Community Institutions

142. The detailed activities of facilitating community institutions are discussed in Chapter 3.4.5

4.2 Sub-Component 1.2: Supporting Investments in Smallholder Agro-Pastoral Production Systems.

143. This subcomponent will finance climate-smart agriculture (CSA) investments in the form of community micro-projects, identified through the participatory processes, which help beneficiaries achieve the triple-wins (i.e. increased productivity; enhanced resilience; and reduced GHG emissions) in 17 counties2 located in semi-arid and medium-to-high potential (non-ASAL) areas. Specifically, this subcomponent will support CSA investments

2 Semi-Arid Counties (West Pokot, Baringo, Laikipia, Machakos, Nyeri, Tharaka Nithi, Taita Taveta and Kajiado); and Non-ASAL Counties (Busia, Siaya, Nyandarua, Bomet, Kericho, Kakamega, Uasin Gishu, Elgeyo Marakwet, and Kisumu).


aimed at: (i) improving water and soil management; (ii) promoting livelihood and crop diversification; (iii) constructing and rehabilitating small-scale farmer-managed irrigation schemes; (iv) producing and conserving pasture and fodder crops; and (v) supporting market linkages, value addition, and post-harvest management. The mechanism for providing matching grants to CIGs, VMGs, POs and SACCOs to implement micro-projects are outlined in the Matching Grants Manual. Micro-projects will be selected on a competitive basis, based on the recommendations of CPCU, and approved by CPSC. The CSA investments to be financed are grouped into the following three windows;

a) Window I: Community Investments support to CIGs and VMGs for implementing TIMPs; with support from SPs and CTDs, CIGs/VMGs/POs will prepare micro-project proposals and submit to CPCUs for approval by CTAC. The proposals will be presented to the community during a general assembly for buy-in. The format for the micro -project proposals development is given in Annex 11.. The developed proposals will be subjected to environmental and social impact screening (Reference: Annex 10) done by the community under the supervision of the SPs and the CTDs. Each proposal received from the CIGs shall have three investment windows: (i) implementation of CSA TIMPs (70 percent); (ii) livelihood diversification (20 percent); and (iii) mainstreaming nutrition (10 percent). These proposals will be vetted by the CTAC and those found to be viable forwarded to the CPSC for approval. Once approved, CIGs and VMGs will receive matching grants ranging from US$7,000 to US$10,000 to implement and manage their community CSA micro-projects, while allowing each member to derive private benefits.

Typical interventions of the CSA micro-projects will include; Improving water and soil management; promoting livelihood and crop diversification; construction and rehabilitation of small-scale farmer-managed irrigation schemes; producing and conserving pasture and fodder crops and supporting market linkages, value addition and post-harvest management. To enhance ownership of community CSA micro-projects, CIG members will be required to contribute at least 10 percent of the costs of their CSA micro-projects either in cash or in-kind. The CIG will be facilitated by their SPs to federate into legal entities such as cooperatives and also encouraged to form Savings and Loan (S&L) groups in order to enhance their access to rural finance. These S&L groups will be supported to federate into SACCOs and S&L and it is


expected that this will contribute towards sustainability of project interventions. The project will provide matching grants of up to 50 percent of members’ total savings to boost SACCOs’ capital and ultimately link them to micro-finance institutions and commercial banks.

4.2.1; Support to vulnerable and marginalized groups:

144. The project will also finance CSA micro-projects targeting exclusively VMGs. The objective is to empower VMG members and elevate their productive capacity and economic status, so that they fully participate in VCs, POs and SACCOs. The membership to the VMG groups will be determined with the help of CTDs and opinion leaders through participatory targeting methodologies during the PICD process using a criteria that will include; land ownership, asset ownership/perceived value, number of meals per day, number of dependents, female-/child-headed households, and advanced age, among others. VMG members will develop micro-project proposals from prioritized issues in the CDP or based on their county prioritized VCs guided by the SPs and the CTDs. The proposals will be presented to the VMGs during a special baraza for their buy-in. Each proposal received from the VMGs shall have three investment windows: (i) implementation of CSA TIMPs (60 percent); (ii) livelihood diversification (30 percent); and (iii) mainstreaming nutrition (10 percent). Grants ranging from US$3,000 to US$5,000 will be provided to each VMG depending on the selected and approved micro-project. Approximately 10 percent (US$2.5 million equivalent) of the total grants under Window I will be allocated for support to VMGs. VMG members will not be required to contribute towards the costs of their approved CSA micro-projects. The format for the micro-project proposals development is given in Annex 11. The developed proposals will be subjected to environmental and social impact screening where need be (Reference: Annex 10) by the community under the supervision of the SPs and the CTDs.

4.2.2 Screening and Vetting of Micro and Sub-Project Proposals

145. The proposal will be presented to the CDDC/CDDO for initial screening and officially submitted to the CPCU. The micro-projects proposals will be forwarded to CTAC for vetting using weighted criteria (Detailed in matching grants manual) and subsequent approval by CPSC. The sub-projects proposals will be forwarded to CTAC for vetting and recommendation by CPSC, they are then submitted to NTAC for approval. To increase



transparency in the process, proposals will be tracked using MIS system reporting as detailed in the M&E manual.

4.2.3. Implementation of micro and sub-projects

146. In order to enable effective implementation of micro and sub-projects, beneficiaries will receive management and technical training support from the SPs, as part of their contract of facilitating the CDD process. The trainings shall include but not limited to the following topics: CSA TIMPS, Group dynamics, Communication Skills, Team Work, Leadership and governance, Conflict Resolution, Sustainability, Environmental Management, Gender, social inclusion, Monitoring and Evaluation (Project Cycle Management), Report writing skills, constitution Development, Financial management, Record Keeping, Procurement procedures and value chain related trainings.

147. SPs will be paid on the basis of achieved milestones agreed upon in the signed contract document. In this way, communities will be empowered to demand quality services from SPs. In case of public extension advisory service providers (where there are no consortia) extension workers will be required to develop an EDP, activity schedule and agreed monthly tasks. Subject matter specialist of the relevant CTDs will support the PMCs of the CIGs and VMGs in supervising the service delivery of the SPs. In absence of contracted consortia the extension workers will be subjected to rigorous performance evaluation based on set monthly milestones. The CTACs in collaboration with CPCU will verify the accomplishment of the agreed quarterly task between the beneficiary group and the extension worker before recommendations are made to process payments. The public extension workers under public extension system will be paid allowances as per project rates.

The details in regard to all the CSA investments are given in the matching Grants Manual.

a) Window II: Investments support to county governments to implement CSA interventions that provide public goods and are ward-specific or span several wards; Investments or subprojects under this window will be identified and prioritized during the CSA planning and prioritization exercises at the county and ward levels. The CTDs will prepare detailed proposals on the potential sub-projects and submit them to the CPCU who will review and submit them the NPCU for further review

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and submission to NTAC for approval.

b) Window III: PPPs support to private firms and POs to promote production alliances in priority VCs.

4.3 Subcomponent 1.3: Supporting Investments in Pastoral Production Systems

148. This subcomponent will support the operationalization of the North Eastern Development Initiative (NEDI) and will cover seven out of the eight NEDI3 counties: Marsabit, Isiolo, Tana River, Garissa, Wajir, Mandera and Lamu. The CSA investments under this subcomponent will be financed under two windows: (i) Community Investments - support to CIGs and VMGs to implement CSA practices; and (ii) County Investments - support to county governments to implement CSA interventions that provide public goods and span across several wards and cross-county. Investments financed under these two windows will be consistent with the respective county CSA plans which have been incorporated in the County Annual Plans (CAPs) and CIDPs.

Window I: Supporting Community Investments in Pastoral Systems.

149. This window will provide matching grants for the existing and newly formed CIGs (village or manyatta) to enable them invest in community CSA micro-projects in extensive/pastoral production systems. With support from SPs, CIGs/VMGs will prepare micro-project proposals and submit to CPCUs for approval by CTAC. Each proposal received from the CIGs shall have three investment windows: (i) implementation of CSA TIMPs (70 percent); (ii) livelihood diversification (20 percent); and (iii) mainstreaming nutrition (10 percent). Typical interventions of the CSA micro-projects will include forage production, storage, and marketing; small-scale fattening operations; water resource development (water pans, sand dams, water harvesting, tube wells or bore holes); community rangeland management; community pasture production and storage; and alternative livelihoods (poultry, beekeeping, value addition of livestock products).

150. Once approved, CIGs and VMGs will receive matching grants ranging from US$7,000

3 NEDI is a GoK’s special program that aims at supporting infrastructure (water, transport and off-grid energy) and agriculture development, especially the livestock sub-sector in the marginalized counties of northeastern, based on the recently completed needs assessment and investment plan. Although Turkana is one of the NEDI counties it is not included under KCSAP because it is supported by NARIGP and RPLRP. One of the county selection criteria was that counties that are under NARIGP should not be included under KCSAP.


to US$10,000 to implement and manage their community CSA micro-projects, while allowing each member to derive private benefits. To enhance ownership of community CSA micro-projects, CIG members will be required to contribute at least 10 percent of the costs of their CSA micro-projects either in cash or in-kind. The CIG will be facilitated by their SPs to federate into legal entities such as cooperatives and also encouraged to form Savings and Loan (S&L) groups in order to enhance their access to rural finance. These S&L groups will be supported to federate into SACCOs S&L and it is expected that this will contribute towards sustainability of project interventions. The project will provide matching grants of up to 50 percent of members’ total savings to boost SACCOs’ capital and ultimately linked to micro-finance institutions and commercial banks.

Support to vulnerable and marginalized groups:

151. The project will also finance CSA micro-projects targeting exclusively VMGs. The objective is to empower VMG members and elevate their productive capacity and economic status, so that they fully participate in VCs, POs and SACCOs. VMG members will be determined with the help of CTDs and opinion leaders through participatory targeting methodologies during the PICD process. Criteria to identify vulnerable and marginalized individuals will include land ownership, asset ownership/perceived value, number of meals per day, number of dependents, female-/child-headed households, and advanced age, among others. With support from SPs and SCTDs, VMGs will prepare micro-project proposals and submit to CPCU for approval.

152. Each proposal received from the VMGs shall have three investment windows: (i) implementation of CSA TIMPs (60 percent); (ii) livelihood diversification (30 percent); and (iii) mainstreaming nutrition (10 percent). Grants ranging from US$3,000 to US$5,000 will be provided to each VMG depending on the selected and approved micro-project. Approximately 10 percent (US$2.5 million equivalent) of the total grants under Window I will be allocated for support to VMGs. VMG members will not be required to contribute towards the costs of their approved CSA micro-projects.

153. The mechanism for providing matching grants to CIGs, VMGs, POs and SACCOs to implement micro-projects are outlined in the MGM. Micro-projects will be selected on a competitive basis, based on the recommendations of CPCU, and approved by CPSC.


Window II: Supporting County- and Cross-County Investments

154. This window will finance selected CSA interventions under the priority livestock sub-sector investments identified by the Needs Assessment and Investment Plan for NEDI counties. Each county will prepare and submit sub-projects for improving productivity and value addition in the extensive pastoral production systems. According to the needs assessment report, the NEDI priority investments include: (i) rehabilitation and equipping of selected abattoirs; (ii) development of disease free zones; and (iii) supporting breeding programs and animal feed production. Detailed investment proposals will be developed by CTDs. County governments would be required to provide a contribution of at least 20 percent of the total cost of the sub-projects. The proposed sub-projects shall be consistent with the county CSA plan which is incorporated in the CAP and CIDP and will focus on the following areas.

155. Supporting the rehabilitation and equipping of selected abattoirs: Lack of functional abattoirs has been identified as a major bottleneck for pastoralists’ access to local and national markets for meat products. The GoK and county governments are financing the construction of several abattoirs in the seven NEDI counties that are at different stages of development. The maximum KCSAP financing would be up to US$2 million per county. KCSAP interventions will involve: (i) the upgrading of existing facilities; and (ii) equipping two abattoirs strategically located in the primary livestock markets (Wajir and Marsabit) and two others in the secondary markets (Isiolo and Garissa). The CTDs in collaboration with the CPCU in each of these four counties will prepare and submit to CTAC proposals on the selected abattoirs. The proposals should provide background information in regard to its location, development status, the number of beneficiaries and their estimated livestock population. Also to be included is bankable business plan that shows the detailed support required and the proposed financial viability of the proposed investment. The support should focus on improvements on waste management (e.g. waste flow separation, bio-digester), energy and water use efficiency, as well as hygiene (e.g. clean water supply, ante mortem and post mortem inspection areas, overhead carcass transport rails, dressing cradles and hoists to get carcass dressing off the floor, materials and equipment for improving hygiene and bio-security) and the complementary infrastructure development (e.g., holding/fattening/resting grounds, reception stockyard, waste/effluent management ponds, by-products processing such as skin and hides) for



efficient operational of the abattoirs and a training program designed to change the way traders, slaughterhouse management, slaughter men, meat inspectors and transporters deal with waste management; energy and water use efficiency; bio-security; meat hygiene; and food safety. CTAC will vet the proposals on the basis of the following criteria: (i) abattoirs located in local primary or secondary livestock markets and with potential for accessing export markets; (ii) demonstrated financial viability (based on cost-benefit analysis) of the investment; (iii) abattoirs are adequately connected to the utilities (water, energy) and transport networks; (iv) abattoirs having bankable business plans for PPP operations and maintenance; (v) abattoirs located in areas with large animal population or where livestock marketing routes converge; and (vi) abattoirs located in areas earmarked as future disease free zones. Each of the upgraded and equipped abattoirs will be subjected to regular inspection to ensure that hygiene standards and safe operational procedures are maintained.

156. Supporting the development of disease free zones: The project will explore possibilities of establishing animal Disease Free Zones (DFZs)/Livestock Export Zones (LEZ) in Lamu, Tana-River, Isiolo, Wajir, Marsabit, and Mandera counties. The implementation will include; 1) undertaking feasibility studies to identify existing stock routes, some of which are based along the Lamu Port and Southern Sudan-Ethiopia, areas that have a potential to be isolated and secured as holding grounds and counties with bankable public-private-partnership business plans, including clear links to local and export markets. 2) treatment and cleansing of prioritized trade sensitive diseases where the animals will be screened 3) development of export quarantine stations where the livestock will be kept under quarantine for a period of time acceptable to a trading partner (e.g., 21 – 30 days) while being screened to confirm freedom from the diseases to comply with international livestock movement guidelines and import certification requirements.

The maximum project financing for DFZ/LEZ activities would be US$3 million equivalent per county.

157. Supporting breeding programs and animal feed production: The project will finance the introduction of heat tolerant animal breeds in the NEDI counties to increase resilience of pastoralists. New improved and heat tolerant animal breeds will be multiplied in county and ward farms/ranches, in conjunction with subcomponent 2.2 activities. Breeding programs for Camel and small ruminants (sheep and goat) will be critical for

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sustaining livelihoods in these dry-lands. The project will also finance the production and distribution of drought tolerant forage/pasture and also provision of feeds during times of emergencies. Implementation of these interventions will be undertaken alongside those under component 2 and will include; 1) identification of genotypes for heat-tolerant breeds and drought-tolerant feed crops. 2) Establishment of suitable model farms for the breeding programs and feed multiplication and promotion of irrigated fodder/pasture seed and fodder/pasture production (also storage and marketing) along the rivers in Tana River, Isiolo, Wajir, Mandera and Garissa counties. The CPCU in collaboration with the CTDs and support from KENAFF will also identify private firms who will be engaged in Public-Private-Partnership (PPPs) arrangements in regard to fodder/pasture production.

158. The CTDs will prepare the sub-project proposals and submit to the CPSC. Individual sub-projects could range from US$200,000 to US$500,000 and counties can submit multiple sub-projects up to a maximum of US$1 million. CPSC will submit the sub-project proposals to the NPCU for vetting, prior to approval by NTAC. NPCU will report to the NPSC on the number and cost of the approved county-level sub-projects. The envisaged support includes provision of machinery and equipment for fodder/pasture production (e.g., tractors, mowers, compactors, pelleters, balers, pulverizers, and mixers), construction of hay sheds and market places. Training of farm staff (e.g., managers, machine operators, field officers) and development of PPP business plans. Priority will be given to sub-project proposals submitted by two or more counties to address joint resource management and supply chains that cut across several counties (e.g., maintenance of cattle corridors for facilitating livestock mobility, watershed/catchment management for sustainable soil and water management). Such inter-county sub-proposals can receive grants of up to US$3 million.

Examples of Potential TIMPs for Scaling up CSA under different grant windows and summary of Grant levels

159. The list of potential TIMPs for up-scaling CSA under different grant windows is shown in Table 10. This list is only indicative, not exhaustive, and provides some examples of potential activities and the PCUs will consider all activities, beyond the examples given below, that could contribute to the triple outcomes of CSA and meet the eligibility criterion described in this Project Implementation Manual. Activities will be selected for their demonstrated effectiveness and attention will be paid to the institutional implementation


framework, in view of the project’s objective to upscale successful practices. To be eligible, the integrated sub-projects will need to include a combination of activities that together deliver on CSA’s triple outcomes. The detailed process of accessing matching grants for investments in pastoral systems under the two investment windows is provided in the Matching Grants Manual.

Table 8: Examples of Potential TIMPs for Scaling up CSA under different grant windows Type of TIMPS Agro-pastoral Production Systems Pastoral production System

Window I (CIG/VMG) Window II (County) Window I (CIG/VMG)

Window II (County)

Sustainable Landscape Management

- Conservation agriculture

- Crop rotation and diversification

- Use of drought resistant/tolerant crops

- Forage production, storage and marketing

- Small scale fattening operation, Small scale farmer managed irrigation

- Compost production plant (household waste management)

- Windbreaks, hedgerows, enhanced clearing, live-hedge

- Promotion of non-timber forest products

- Creating agro-forestry parks

- Nursery (village or individual)

- Promoting alternative domestic energy/reducing wood energy utilization

- Demarcation and restoration of livestock migration routes and common grazing land

- Rangeland management and restoration e.g. eradication of invasive species, reseeding

- Forage production, storage and marketing

- Small scale fattening operation

- Demarcation and restoration of livestock migration routes and common grazing land

- Supporting breeding programs (heat and drought tolerant livestock breed)

- Feed and water buffer improvement , fodder banks

- Promoting dry season grazing

- Rangeland management


Type of TIMPS Agro-pastoral Production Systems Pastoral production System

Water management

- Development/rehabilitation of small-scale irrigation schemes

- Promotion of water and energy conservation technologies for water lifting (possibly solar, treadle, and energy-efficient pumps)

- Promotion of water conservation technologies for water distribution (drip irrigation and California system)

- Water pans/sand dams

- Cattle dips

- Dredging of waterways

- Development of ponds

- Rehabilitation of small and medium-size irrigation schemes

- Development of ponds

- Dredging of waterways

- Development of ponds Development of boreholes, water pans, sand dams etc.

Animal health

- Infrastructure for vaccination and support to livestock services

- Cattle dips

- Disease surveillance, vaccination, quarantine

-

- Infrastructure for vaccination and support to livestock services

- Cattle dips- Disease

surveillance, vaccination, quarantine

- Support for development of disease free zones

Crop-livestock integration

- Crop residue chopping, storage material, and facilities

- Manure storage

- Feed storage facility

- Feed/input shop

Energy

- Promoting Biogas, renewable energy and energy efficiency in agricultural operations



Type of TIMPS Agro-pastoral Production Systems Pastoral production System

Market Access - Sale yards

- Market infrastructure upgrade and market linkages

- Collecting sheds/aggregation and market centers

- Rural roads

- Market infrastructure development

- Upgrading of abattoirs facilities

- Market infrastructure upgrade

- Rural roads

Livelihood Diversification

- Fisheries

- Beekeeping

- Small scale irrigation along the river

- Value addition of livestock and crop products

- Crop diversification

- Off-farm employment

- Poultry - Beekeeping - Value addition

of livestock and crop products

- Off-farm employment

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Table 9: Summary of Grant Windows under Component 1

Description

Agro-pastoral system Pastoral System

Window I (CIG/VMGs)

Window II (County)

Window III (Public Private Partnership)

Window I (CIGs/VMGs)

Window II (County and inter-county)

Total Budget $30 million $30 million $5 million $25 million $40 million

Size range

CIGs:$7,000- $10,000,

VMGs: $3,000- $5,000

$200,000 - $1,000,000

POs: $100,000

Private Sector: $200,000

CIGs$7000 - $10,000,

VMGs: $3,000 to $5,000

$200,000 - $2,000,000

Grant recipient

CIGs and VMGs

County technical department

Producer Organizations Private Companies

County technical department

Approving authority CPCU NTAC NTAC CPCU NTAC

Matching contribution

10% contribution from CIG members (in cash of kind)

20% contribution from county government (in cash)

50% contribution from private companies and POs

10% contribution from CIG members (in cash of kind

20% contribution from county government (in cash)


Indicative number of beneficiaries per grant

20-30 farmers > 500 farmers > 500 farmers 20-30 herders

and farmers > 500 herders and farmers

4.4 Participatory M&E at NPCU, CPCU and Community levels

160. The funded county level investments will be subjected to continuous monitoring and evaluation to determine their conformity to the approved proposals and progress towards impact as well as conformity to GoK and World Bank procedures and regulations. Participatory M&E processes and risk mitigation measures for community investments are detailed in chapter 8 and in the M&E manual.

4.5 Operation and Maintenance of County level Investments

161. The participating counties will be responsible for O&M of county level investments financed under the project. They will therefore plan for cost recovery (e.g., user fees or charges) or include costs for O&M into their budget as will be indicated in their proposal/O&M plan and as stipulated in Memoranda of Understanding (MoUs) between participating counties and MoALF. The budget required for O&M activities for benefiting individual farmers, such as small-scale irrigation schemes, will likely be paid by fees collected from beneficiaries, while county governments will be directly responsible for those benefiting the broader public/communities, such water weirs across rivers.

81 Extension & Value chain Development Manual | 2018

CHAPTER FIVE



5. STRENGTHENING CLIMATE-SMART AGRICULTURAL RESEARCH AND SEED SYSTEMS

5.1 Overview

162. This chapter covers Component 2 activities which will be financed under demand-driven and competitive collaborative CSA research and development (R&D); and, the development of sustainable seed systems. Using various methodologies and approaches, this component with the support of Component 1 will develop and disseminate suitable agricultural Technologies, Innovations and Management Practices (TIMPs) that target county beneficiaries. The research interventions will enable KCSAP attain its triple wins of increasing agricultural productivity, enhancing resilience to impacts of climate change and reducing GHG emissions (mitigation) as a co-benefit. Components 2 and 3 will jointly provide basic data necessary to support the establishment of big data and agro-weather systems that will constitute a key aspect of delivering integrated agro-weather and market advisories to beneficiaries.

163. Research on development of TIMPs will focus on six thematic areas; Climate-smart crops, Climate-smart livestock and aquaculture, socio-economic research on CSA, land, water and agroforestry, sustainable bio-energy, and managing risks and uncertainties in CSA. Identification and prioritization of TIMPs will be done jointly with component 1 through the PICD process. The prerequisites for adopting TIMPs include; (1) TIMPs that are relevant to the specific context of the individual farmers; (ii)TIMPs whose adoption far outweighs the cost involved; (iii) TIMPs and advisory services should be availed for 2-3 seasons; (iv) availability of investment for financing TIMPs; (v) favorable markets for commodities produced; and (vi) peer-to-peer learning.

164. This will be followed by development of technical training materials and modules on the CSA TIMPs and subsequent training of CTDs and SPs for effective delivery of the TIMPs. Besides the roll-out of prioritized TIMPs at the target counties, adaptive research will be conducted on CSA TIMPs requiring validation at community level. The details of the process of development and validation of the TIMPs are provided for in the Collaborative Research Grants Management Manual. Gaps that may emerge during identification and

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implementation of prioritized TIMPs and adaptive research will require development of new TIMPs. The adaptive research activities will commence in year one (2) and continue up to year five (4).

165. The project will adopt collaborative research as a basis for the development and delivery of CSA TIMPs. This approach emphasizes multi-stakeholder, multi-institutional and inter-disciplinary and holistic research teams. Further, it will embrace the Agricultural Product Value Chains (APVCs) approach and Public-Private-Partnerships (PPP) as key ingredients for successful development of the TIMPs. In adopting APVCs which underpins a major paradigm shift in agricultural research and development, the focus will shift from commodities to differentiated agricultural products. The approach will forge market-oriented collaborative research alliances for synergies and efficiency in research.

166. The major challenge limiting technology adoption is availability of seed. Under this Component, competitive and sustainable seed systems shall be strengthened. The process will involve research on production and maintenance of early generation seed and promotion of newly developed seed varieties. This collaborative research spearheaded by KALRO, KEPHIS and the NARIs will be done during the first three years. Similarly, seed and input retail networks will be strengthened through the identified networks between year two and five. Development and advocacy for a conducive legal, regulatory and institutionary framework for the seeds will be done in the first year followed by an annual survey on seed quality in the target counties up to the fifth year. To ensure dialogue amongst stakeholders, the project will initiate and support national Public Private Dialogues (PPD) platforms on seeds during the second and third year.

167. In order to strengthen technical and institutional capacity for the participating key implementing institutions, training needs for CSA shall be identified during year one. Similarly, relevant CSA curriculum will be developed, including the short term technical trainings and re-tooling by KALRO and other National Agricultural Research Institutes (NARIs) during year one to year four. For the specialized areas, interns will be hired on demand to support the scientific staff between year one and four. Refurbishment and/or upgrading of research facilities and infrastructure for CSA shall be identified and implemented between year two and four.


5.2 Sub component 2.1: Supporting Climate-Smart Agricultural Research and Innovations

168. This subcomponent will finance activities aimed at strengthening the capacity of the NARS to develop, test, and disseminate context-specific TIMPs that deliver CSA triple-wins. Specifically, the subcomponent will finance R&D activities related to five thematic areas: (i) climate-smart crops; (ii) climate-smart livestock and aquaculture; (iii) socio-economic research on CSA; (iv) land, water, and agroforestry; and (v) sustainable bio-energy. The R&D will be informed largely by priorities set under Components 1 and 3. Existing TIMPs and those to be developed and validated under this subcomponent will be disseminated and scaled up under Components 1 and 3. The R&D activities will be sequenced as follows: (i) identifying and prioritizing TIMPs at the county level; (ii) developing technical training materials and modules on CSA TIMPs; (iii) delivering technical training on CSA TIMPs to CTDs and SPs; (iv) conducting adaptive research to validate CSA TIMPs at the county and community level; and (v) developing new CSA TIMPs based on identified gaps.

Developing, Validating and Supporting Adoption of Climate-Smart TIMPS

169. Identification and Prioritization of TIMPs, and Training of Trainers for Up-scaling: The TIMPs that are appropriate to the objectives of CSA which will be up scaled by Component 1 will require inventorization, identification and prioritization. This exercise shall be given priority under Component 2 sub-component 2.1, and undertaken during the first year of the project implementation, and will involve KALRO as the lead organization and other NARS institutions. Activities to be undertaken include: i) Desk study on secondary data of available technologies covering national, regional and international research institutes and private sector, ii) Development of the tool for inventorization, iii) Capacity-build supervisors and enumerators, iv) Pre-testing and refinement of the data collection tool, v) data collection and analysis, and vi) Documentation. Once TIMPs are inventoried, the prioritization shall involve conducting locale-specific mapping of the TIMPs, which will be achieved through; holding stakeholder fora in target counties, selecting and assigning TIMPs to appropriate AEZ and production systems and developing suitability maps for the prioritized TIMPs. These activities will be undertaken during the first year.


170. Technical training materials and modules will be required to facilitate dissemination and adoption of context-specific CSA TIMPs at the community level. The materials and modules developed shall generally cover different aspects along the value chain, including production, post-harvesting, value addition and marketing. The KALRO will lead other NARS institutions in providing expertise to develop the training materials and modules, and (ToTs). The process of developing the training materials will involve; i) identifying subject-matter specialists, ii) assembling available information on the CSA TIMPs, and iii) holding write-shops in collaboration with stakeholders. This process shall be continuous as new TIMPs are generated. TOTs for participating CTDs and external SPs will be carried out in organized workshops at identified central locations. This will involve; identifying trainees, conducting the trainings, and evaluating the impact of trainings. While the ToTs shall be done in the first 2 years, the impact evaluation shall be during the 3rd and 4th year.

171. Adaptive Research: Adaptive research is conducted to validate, modify or calibrate a new technology on specific soil, climate, and social economic or environmental characteristics of a given area. The implementation of adaptive research will embrace collaboration of relevant scientists within the NARs and the private sector. This may involve setting up on-farm trials at the target agro-ecological zones in the counties where data will be collected, analyzed and information packaged for dissemination. The adaptive research will be conducted to validate the identified TIMPs for the identified value chains at the County level. The adaptive research to be undertaken will be based on i) locally developed and prioritized TIMPs and, ii) regionally and internationally available and relevant TIMPs on CSA, for local validation

172. Under the first process, the Research Grants committee will identify scientific teams, prepare research concept notes and subsequently, full proposals. The second process will require call for concept notes in the electronic/print media followed by reviewed and ranking for selection. The scientists responsible for development of the successful proposals will spearhead the research as detailed in Collaborative Research Grant Manual.

173. Capacity building initiative may be undertaken to enable farmers’ set-up, manage and collect data where applicable. Development and implementation of the adoptive research will be done within the first two years of the project. The collaborative adaptive research will be conducted by scientists drawn from KALRO and NARS.



174. Applied Research: Applied research is search for new knowledge, technologies and innovations within the limits of existing scientific knowledge set by basic research. This type of research is geared towards resolving specific problems. The processes of identification and prioritization of research constraints/gaps in selected value chains at county level, and formulation of project proposals for development of new TIMPs will be participatory. There will be three approaches to identification of constraints for research. The first approach will be by County value chains identification missions consisting of the NARS research teams jointly with members of KCSAP Component 1, beneficiary communities and other stakeholders in the first and second quarters of Project Year (PY) one. The second approach will be identification of constraints during implementation of the adaptive research in the counties between PY 1 and PY 3 of implementation. The third approach will be surveillance for constrains/gaps emerging in response to climate change.

175. Prioritized research constraints/gaps in each of the selected value chains will constitute the main themes/areas for research agenda setting. The research agenda setting will be based on criteria developed in accordance with guidelines provided for by the Collaborative Research Grants Manual (CRGM). The proposals development process will commence with publicizing calls for research concepts notes in local popular media. The proposals will be screened by a panel of experts and those selected will be funded for a period not exceeding four years.

176. Establishment of research consortia will be done in accordance with the provisions of the CRGM. The consortia will comprise of inter-disciplinary and inter-institutional teams. These will include at least two or more members of the NARIS i.e. KALRO, KMFRI, KIRDI, agricultural universities, NGOs, CBOs, agriculture based industries and/or individuals capable jointly of developing viable research proposals that will promptly deliver appropriate CSA TIMPs. Approval and commissioning of successful project proposals will be overseen by the NTAC/RGMC and KALRO as the main implementing agency in line with the grant contractual agreements and provisions/guidelines of the CRGM.

Coordinating Component Activities and Strengthening Linkages:

177. Inadequate support in the co-ordination and collaboration within the NARS has contributed significantly to sub-optimal research outputs. Thus, this sub-component will

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support: research reviews and priority setting; development of collaborative research proposals; preparation of annual work plans and budgets; and initiation of research platforms for inter- and intra-institutional information, communication and technology exchange/transfer. In addition, this sub-component will develop the NARS coordination framework as stipulated under the NARS policy of 2012 and the Kenya Agricultural and Livestock Research Act No 17 of 2013 for effective synchrony of research needs and dissemination of innovations in Kenya. It will also establish innovation platforms at the Counties/Regions which will bring together all stakeholders for purposes of identifying available resources, challenges and opportunities. The coordination component will be undertaken during the five (5) years.

5.3 Sub Component 2.2: Building a Competitive and Sustainable Seed Systems

178. The project will finance the development of breeding programs for crops, livestock, and aquaculture; and the involvement of private sector and communities in the production and distribution of commercial seed. Specifically, this subcomponent will finance interventions across five thematic areas: (i) producing and maintaining early generation seed and promoting improved seed, especially of high-value traditional crops; (ii) strengthening seed, breed, and fingerling production systems; (iii) developing and strengthening alternative delivery systems for high-value traditional seed and OPVs; (iv) catalyzing growth of competitive seed retail networks; (v) developing and advocating a conducive legal, regulatory, and institutional framework for seeds/breeds/fingerlings; and (vi) supporting national PPD platforms on seeds/breeds/fingerlings.

Production and maintenance of early generation seed (EGS) and promotion of newly developed seed varieties:

179. Limited availability of seed, especially those of underutilized high value crops, has hindered their adoption and production; and, resource allocated to breeders for maintaining breeder seed and bulking to pre-basic, basic and foundation seed and up-scaling are inadequate. Further, inadequate institutional, policy and legal provisions for handling seed issues has resulted in limited access to early generation seed by seed producers. Documentation of multiple pathways for promoting commercial and sustainable production and delivery of sufficient high value early generation quality seed will be addressed through the development of guidelines for fund allocation, re-


organization of seed access protocols and supporting intellectual property and royalties. During the first year of this project, KALRO and KEPHIS shall collaborate in:

i) developing mechanisms for institutionalizing licensing and germplasm transfer agreements by identifying institutions/stakeholders engaged in development of varieties, livestock breeding stock and fish fingerlings; jointly establishing a policy on licensing; and development of contract documents to be used for transfer of germplasm for further multiplication and up-scaling;

ii) Germplasm maintenance models shall be developed for sustainability of high quality early generation seed through identification of germplasm requiring maintenance, conducting a desk study on germplasm maintenance and developing maintenance models;

iii) Developing a grant system to support early generation seeds, fingerlings and livestock breeding stock through establishing and maintaining a list of all seed producers benefiting from improved varieties; creating policies on IP and royalties; establishing fingerprinting mechanisms; establishing effective system of royalty collection, and granting for EGS. The development and operationalization of grant system shall be throughout the project period and beyond for sustainability.

iv) Promote improved seed in particular high value traditional crops through instituting a strong advocacy mechanism led by KALRO in collaboration with CTDs and SPs during the first year, establishing distribution network within the target 24 Counties, and linking the distribution outlets to seed sources (including KALRO Seed Unit). This activity will be undertaken during the first 2 years.

Strengthening of seed/breed/fingerlings production system:

180. High cost of inputs has resulted in inadequate breeding stock, limited access to credit and market facilities of crop, livestock and aquaculture production systems. Activities under this subcomponent shall focus on key weaknesses in the production system with the purposes of strengthening. The output from these activities will be increased availability of improved certified seeds, livestock breeds and fingerlings from new crop varieties and improved breeds/fingerlings in the target 24 counties.


181. Specifically the activities to be undertaken are as follows; i) market studies on improved seeds and livestock and fish breeds through market surveys and sharing the information with stakeholders, which will be done by KALRO and Kenya Marine and Fisheries Research Institute (KMFRI/KeFS), and shall be continuous to promote new products and capture emerging markets; ii) identifying and strengthening community-based seed and livestock germplasm production units by inventorying community-based seed and livestock germplasm production units in target counties; advocating for policy change for recognition of the community seed production units; mobilizing and facilitating registration by KEPHIS, and building capacity of seed, livestock germplasm and fingerlings producers by KALRO and KMFRI/KeFS. This activities shall be undertaken during years two to five of the project; iii) establish a fellowship program to support training of seed producers and livestock/fingerlings breeders by identifying training needs; setting-up guidelines for managing the fellowship fund; developing a selection criteria; identifying potential training institutions on crop seed/livestock breeds/fish seed; and evaluating existing curricula and recommend review to respond to the training needs; iv) provide trainingProvide training in business development skills to owners of fingerling, seed and livestock germplasm production units by conducting training needs assessment; identifying trainers; developing training manuals and modules; identifying potential trainees in target counties; conducting training; and monitoring progress. These activities will be spearheaded by KALRO and KMFRI/KeFS and shall also be undertaken during year 2-5 of the project; v) provide grants to fingerling and seed production units for developing business plans by identifying needy fingerling/seed production units in target counties; identifying trainers in Business Development Services (BDS); conducting ToTs & facilitating BDS training; and assessing impact. KALRO and KMFRI/KeFS will lead the process and shall be undertaken during year 2 and 3.

Develop and strengthen alternative delivery systems for high value traditional seeds of OPVs:

182. The informal seed sector constitutes about 60-80% of the sources of most planted crop seed. These include farm saved seed, farmer to farmer exchanges, roadside tree/fruit nurseries and other local seed market sources. Despite this, there are no policy guidelines to support the seed production and distribution. Over time, the formal seed sector has shifted its focus to high value commercial crop varieties, especially the hybrid varieties, with established market outlets and assured economic returns. Thus, most of the Open Pollinated Varieties



(OPVs); for example, of maize and sorghum, and of most vegetatively propagated plant materials including cassava and potatoes, have been neglected. This category of seed has not so far attracted much private sector investments because of the high costs of seed production inputs and royalties and lack of market and economic returns assurance.

183. In order to address the concerns and eliminate bottlenecks in the informal seed sub-sector, the project CPCUs jointly with CTDs, KALRO/other NARS team members and SPs will i) establish CIGs/Co-operatives for seed production of prioritized value chains by communities in the target counties and ii) train the CIGs/Co-operative members on seed production practices and quality assurance. These two activities will be conducted in the second year of the project period. Further, during the initial stages of the seed production preferably before the end of the second year, the research team/CPCUs in collaboration with KEPHIS, iii) will support the establishment of a seed certification mechanism and guidelines for the seed production. In the course of operations, the project implementation team will also support iv) the establishment of community-based storage, cleaning, packaging and selling/distribution system. In that regard, the CPCUs jointly with KALRO and other NARS members will facilitate a needs assessment exercise for the required infrastructure, support acquisition of consultant and contractor for establishment of the infrastructure. The team will also assist the CIGs/ Cooperatives to establish their respective seed selling and distribution networks. All these works will be completed by the third year of project implementation.

Catalyze Growth of Competitive Seed Retail Networks:

184. The project will finance the establishment/strengthening of retail networks to market seed, breeds, and fingerlings needed for climate-smart, best-fit, and location-specific TIMPs by: (i) assessing needs of input dealers; (ii) training, certifying, and geo-referencing input dealers; (iii) strengthening linkages between input dealers and crop/livestock input wholesalers; (iv) establishing a revolving fund to support input dealers; (v) Providing institutional support to Seed Traders Association of Kenya (STAK), Plant Breeders Association of Kenya (PBAK), Aqua cultural Association of Kenya (AAK) and the Kenya Livestock Breeders Organization (KLBO). (vi) Providing support to the development of a fisheries mobile information network platform (M-samaki, AMIP) to enhance fingerling production, markets and other inputs retail networking in participating counties, this will be spearheaded by the National Aquaculture Research, Development and Training Centre

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(NARDTC) - Sagana (vii) Undertaking market studies on improved seeds and livestock and fish breeds by KALRO &NARIs (viii) Identifying and strengthening of community-based seed and livestock germplasm production units (ix) Establishing a fellowship program to support training of seed producers, livestock breeders and fish seed by KALRO &NARIs (x) Providing training in business development skills to owners of fingerling, seed and livestock germplasm production units KARLO & NARIs. The training needs assessment and training modules will be done jointly with Component 1 and retail networks. (xi) Providing grants to fingerling and seed production units for the development of business plans as detailed in the Grant Manual. Support to the process of certification and geo-referencing of input dealers for traceability purposes and establishment of platforms to develop credit guarantee scheme and quality control will be done. The activities will be done in year two and three.

Develop and Advocate for Conducive Legal, Regulatory and Institutional Framework for Seeds/Breeds/Fingerlings:

185. Kenya laws and regulations on seeds and breeds need to be reviewed to allow for wider participation of private sector and enhance accessibility of the seed by the farmers. Since seeds are traded within the Eastern Africa region, there is need to harmonize the seeds laws and regulations within EAC to be consistent with EAC protocols. This would ensure the seeds meet international standards to promote regional and international trade. The project will; (i) through the National Project Steering Committee constitute a task force to audit existing legal frameworks on the seed sector in Kenya, (ii) review and advocate for relevant legal frameworks consistent with EAC harmonized protocols through stakeholder awareness workshops, (iii) carry out awareness workshops for stakeholders on seed legal frameworks in the EAC and their influence on CSA seed production in Kenya, (iv) conduct a survey to inventorize the quality status of cultivated crop seed varieties and domesticated livestock/aquaculture breeds in targeted counties by KALRO and other NARS and, (v) in conjunction with KEPHIS, KEBS and the Kenya Stud Book, constitute a task force to develop quality standards for CSA crop varieties and livestock/fish breeds. All the legal, regulatory and institutional framework activities shall be done in year one.

Support National-Public-Private Dialogues (PPD) Platforms on Seed/Breeds/Fingerlings:

186. Access to improved seed in Kenya is limited mainly due to the informal nature of the distribution system and an inadequate legal framework. In order to address this challenge,


RGMC will appoint a group of experts drawn from KALRO and NARIs to constitute a task force. The task force will be mandated to; i) identify relevant stakeholders in both public and private seed sectors in Kenya, ii) organize a forum for the stakeholders where the main output will be the formation of a Public-Private Dialogue platform (PPD), iii) Support PPD to address gaps in the seed systems and iv) Conduct workshops to advocate for necessary reforms in the seed sector. The task force will also facilitate regular meetings of PPD through both financial and logistic support

5.4. Sub Component 2.3: Strengthening Technical and Institutional Capacity

Financing Professional Development Training for PHD and MSc

187. Currently, there is trained manpower in KALRO, other NARS and universities in agriculture and related disciplines. However, there is lack of critical mass with adequate skills to support training, research and up scaling of CSA TIMPs. The aim of this subcomponent is therefore to finance long-term professional development and technical capacity building in deficient disciplines at Masters and PhD levels with deliberate efforts to mainstream CSA TIMPs in the training programmes. The key areas to be covered are animal and pasture breeding, bee science, animal science, aquaculture and aquatic sciences, agro forestry, socioeconomics analysis, policy research, seed science, agribusiness, and climate changes and adaptation. Gender equity will be taken into account during identification of the researcher to benefit from such trainings. This subcomponent will be facilitated through identification of training needs for CSA; developing training plans; formulating criteria for selection of staff; payment of tuition fees and research; and where necessary partial stipend. In addition, more students will be trained during implementation of project activities under collaborative research approach. The training activity will be initiated in the third quarter in first year of the project and will run up to the last quarter of the second year.

188. The project will finance the upgrading and refurbishing of infrastructure of selected institutes/centers that are strategically located in ASALs to facilitate the testing, adaptation, and delivery of context-specific CSA TIMPs; and the GRIFTU Pastoral Training Institute to deliver training to livestock extension staff (animal health and veterinary workers) and pastoral communities. This effort will include animal experimental structures, refurbishment of seed stores, procurement of small seed processing plants, fish fingerling


production structures, laboratory equipment, value addition equipment, vehicles, and farm machinery and implements.

Deliver CSA Curriculum, Development of Short Term Technical Training and Re-Tooling:

189. In the current agricultural and related disciplines, there is little or total lack of CSA TIMPs in the existing training programs in our institutions of higher learning. To ensure successful implementation of CSA TIMPs, there is need to review and revise curricula in agriculture and related disciplines in learning institutions so as to mainstream them in training programmes. This will enhance the capacity of research staff and graduates in acquiring appropriate knowledge and skills required for project implementation.

190. In response to the above, the RGMC shall constitute a task force drawn from local institutions of higher learning and other NARIs to undertake the following; i) review current curricula in agriculture and related programs in our learning institutions, conduct a desk study on current status of agriculture curriculum in tertiary institutions, ii) identify existing gaps with respect to CSA, and make appropriate recommendation for inclusion of CSA components. The members of the taskforce shall present the findings to the RGMC and upon acceptance of the report, the RGMC will facilitate the task force to support the process of curriculum revision to include CSA components in the learning institutions. The task force will be required to; (i) hold a consultative meeting with relevant ministries and institutions to present findings of the curriculum review and recommendations, (ii) recommend and advocate for mainstreaming of CSA components in the curricula, (iii) facilitate formation of a team of experts to develop and incorporate CSA concepts and strategies in the curricula, and (iv) pilot the new curriculum in selected learning institutions. Curriculum review will be undertaken during the first year followed by revision in the second year and piloting in third year.

191. Training and retooling of staff is an essential requirement for productivity of any organization. The KALRO and County agricultural extension staff will require training to enhance their responsiveness to CSA needs. In this regard, the RGC will constitute a team of experts drawn from KALRO and other NARIs to identify training needs for CSA and develop short-term technical training modules to address the needs. The constituted team shall; develop training materials and modules, identify and train trainers, and conduct training. This activity will be conducted during the first and second year of the project.



192. A team of facilitators and trainers will be selected to develop a training plan, formulate criteria for selection of staff and conduct short-term training course to re-tool research scientists and academia in the CSA TIMPs. The key areas to be covered under short-term skills enhancement include value addition and product development, seed technology, economic and statistical analysis, social and gender analysis, data analysis and management, Carbon sequestration and GHG measurement from aquaculture, crops and livestock production systems, and scientific writing. This subcomponent will be implemented from the first year up to the fourth year of the project.

Hiring Interns in Specialized Areas to Support Researchers

193. Due to the expected increase in the volume of work during the implementation of this project, there will be a need to hire interns in specialized areas to support the staff in KALRO and other NARs. The interns will compliment research efforts in data collection and management, ICT and workshops, logistics, and reporting. A hiring criteria and terms of engagement will be developed to guide the process of recruiting interns in identified areas as well as the required numbers. This subcomponent will be implemented from the first to fourth year of the project.

Refurbishment and/or Upgrading of Research Facilities and Infrastructure

194. Good quality research requires proper equipment and infrastructure at the local level for scientists to attain results. To achieve this the following activities will be undertaken; (i) A needs assessment of KALRO and other NARs institutions’ requirements for CSA research by a team constituted to document the needs, and (ii) Conduct inventory of research institutions within target counties that require refurbishment and equipping and prioritize needs in line with CSA objectives and support upgrading/refurbishing of the infrastructure and purchase of identified equipment. The equipment will include communications equipment, animal experimental structures, small seed processing plants, fish fingerling production structures, modern laboratory equipment, value addition equipment, and farm machinery. This refurbishment and upgrading of the research infrastructure will be done between year two and four. Detailed matrix for Component 2, i.e. strengthening climate-smart agricultural research and seed systems, its activities, methodology, time lines, responsible institutions and expected output, is shown in Annex 7A.

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CHAPTER SIX


6. SUPPORTING AGRO-WEATHER, MARKET, CLIMATE AND ADVISORY SERVICES

6.1 Overview

195. This chapter outlines the project activities of component 3. The activities support other project components and will be coordinated by key implementing partners namely: Kenya Meteorological Department (KMD), Kenya Agricultural & Livestock Research Organization (KALRO) and the State Departments in the Ministry of Agriculture, Livestock and Fisheries (MoALF).

196. The objective of the component is to improve access to timely and appropriate weather, climate, market and advisory information by smallholder farmers, agro-pastoralists, pastoralists and fish-farmers (all referred to as farmers) for increased agricultural productivity and building resilience to climate change risks. This will be achieved through improving farmers’ access to timely, cost effective and relevant information on CSA TIMPs generated by Component 2, market information and agro-weather advisories. In addition, use of big data analytics will inform and result in demand driven research on emerging researchable areas.

197. Under this component, integrated agro-weather and market information system; and their dissemination tools will be developed to help small-holder farmers, address the challenges of climate variability and change and enhance their resilience. During segmentation and registration of value chain stakeholders, farmers and their farming needs will be identified, and their knowledge gaps analysed to enable targeting of integrated agro-weather and market advisories. The data collected will feed into the projects big data component based on crop/livestock-weather analytics. The Common Interest Groups (CIGs), Vulnerable and Marginalized Groups (VMGs) and Producer Organizations (POs) formed under component 1 will benefit from big data analytics and reporting. Similarly, CIGs/VMGs/ POs will provide information such as farm-gate prices and productivity data which will be used in big data analytics.

198. This component has three subcomponents: (i) improving agro-meteorological forecasting and monitoring; (ii) developing climate-smart, integrated agro-weather and market


information system and advisories using ‘big data’; and (iii) building institutional and technical capacity for agro-meteorological observation and forecasting, agricultural statistics collection and analyses, and market advisory services. By translating climate information into actionable knowledge, agro-weather tools will improve producers’ long-term capacity for adopting CSA TIMPs, managing weather shocks and climate risks, and sustaining agricultural production under the changing climatic conditions.

6.2. Subcomponent 3.1: Improving Agro-meteorological Forecasting and Monitoring

199. The objective of this subcomponent is to improve agro-meteorological forecasting, dissemination and monitoring. This subcomponent will finance urgently needed investments to: (i) enhance agro-weather and climate information services; (ii) build core-capacity for agro-weather observation and forecasting; and (iii) develop the long-term ability to operate and maintain the agro-weather and climate information services. Specifically, this subcomponent will support four key interventions: (i) mapping of existing public and private operated agro-meteorological and hydrological AWS to assess their functionalities for improvement; (ii) establishing agro-meteorological and hydro-meteorological centers in participating counties to improve drought and flood forecasts; (iii) installing new automated agro-weather stations to complement existing infrastructure; and (iv) developing the Early Warning System (EWS) at the Kenya Meteorological Department (KMD), and upgrading the existing EWS at the National Drought Management Authority (NDMA).

200. These activities will be coordinated by KMD Deputy Director in Charge of County Meteorological Services (DDCMS) and County Directors of Meteorological Services (CDMS) in consultation with Component 3 Leader of NPCU. In addition technical assistance for KMD officers will be sought from expertise including UK-Met office through a collaborative approach to enhance their skills. The capacity of Technical officers at KMD and the agro- and hydro-met centers will be built on maintenance; modeling and GIS in meteorology; and forecasting. ToRs will be prepared by KMD in consultation with Component 3 Leader and procurement specialist to procure a service provider for maintenance of all service facilities; meteorological tools; equipment and instruments. For sustainability during and after the project a Memorandum of Agreement between KMD and the MoALF on maintenance of all service facilities; meteorological tools; equipment and instruments will be signed and effected.



Mapping of Existing Agro- Meteorological and Hydrological Stations:

201. The DDCMS in consultation with CDMS and Component 3 Leader of NPCU will identify stations to be upgraded and modernized in the project counties. Historical data from the different sets of weather stations will be analyzed and documented to complement meteorological forecasts to enable improvement of the agro-meteorological advisories. The results will inform designing and strengthening of weather observational network in the project counties.

Establish Agro- and Hydro- Meteorological Centers:

202. The DDCMS in consultation with, CDMS, Component 3 Leader of NPCU and procurement specialist will draft a call for Expression of Interest (EoI), to upgrade and modernize the seven (7) existing agro-meteorological centers under the KMD; and establish thirteen (13) others at KALRO centers located in the project counties. The project will also finance the installation of 17 new hydro-meteorological centers in the participating counties to expand the country’s hydro-met network to meet international standards. The expanded hydro-met network will be critical to improving flood forecasting and management, especially those located in the Tana River basin.

Install new Automated Agro-Weather Stations:

203. 207 The DDCMS in consultation with CDMS, Component 3 Leader of NPCU and procurement specialist will draft a call for Expression of Interest (EoI) in procuring and installation of Automated/ automatic Weather Stations, to expand the county’s meteorological network to meet the required World Meteorological Organization (WMO) standards.

Developing the Early Warning System:

204. The KMD Deputy Director Forecasting Services (DDFS) in consultation with Component 3 Leader of NPCU and procurement specialist will draft a call for Expression of Interest (EoI), to upgrade and modernize the existing EWS at Meteorological Headquarters based on Capacity Needs Assessment (CNA). This will help improve short, medium and long range forecasts/monitoring information for various uses, including flood and drought warnings, disaster reduction, and weather index insurance.

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205. The Director, Technical Services Department of National Disaster Management Authority (NDMA) in consultation with Component 3 Leader of NPCU and procurement specialist will draft a call for expression of interest to upgrade the existing EWS at NDMA. The Component 3 Leader of NPCU will work with other initiatives in MoALF and KALRO to strengthen their respective EWSs and create synergies amongst key stakeholders.

6.3. Subcomponent 3.2: Developing Integrated Weather and Market Information System

206. The objective of this subcomponent is to integrate agro-weather and market information systems. The subcomponent will finance activities related to: (i) developing “Big Data” for Climate-Smart Agriculture; (ii) strengthening the Market Information Systems; and (iii) delivering integrated weather and market advisory services. These activities will be coordinated by Component 3 leader; ICT Officer of NPCU; Head of Information and Communication Technology (ICT) Unit at KALRO; and Head of Agricultural Statistics Unit (ASU), and Market Research and Information Unit of the MoALF.

Developing Big Data for Climate-smart Agriculture:

207. The objective of this subcomponent is to develop big data for CSA. The project will finance big data systems that will help famers make informed decisions on what, when, where and how to produce. KALRO and the State Departments in MoALF in collaboration with Component 3 leader of NPCU will undertake a situation analysis to understand data availability and identify strategies for operationalizing big data for CSA. Support to Big Data for CSA will involve financing activities related to: (i) Setting-up infrastructure for “big data” analytics; (ii) Establishing homogenous production zones to support location-specific information system and advisories; (iii) Collecting agricultural statistics; (iv) Appointing the Normalized Difference Vegetation Index (NDVI) agent; and (v) Segmenting and registering value chain stakeholders.

Segmenting and registering value chain stakeholders:

208. Directors of Crops, Livestock and Fisheries in MoALF in consultation with Component 3 leader, ICT officer in NPCU, Head of ICT in KALRO, Head of ICT in MoALF, and the procurement specialist will procure ICT equipment for data collection within the first and second year of project implementation. The team (with the exception of procurement specialist ) in consultation with Human Resource and Administration officer; will hire


and train about 20 enumerators for each of the 24 counties on data collection using tablets within the first and second year of project implementation. The enumerators will undertake segmentation and registration of farmers; pastoralists; fisher-folk; agro-dealers, stockists, processors, commodity exchange operators, agri-preneurs, innovators, and technical services providers during the two years. The registration will include documenting information on farmers’ bio-data/profile (name, gender, date of birth, family size, national identification, mobile phone numbers), location/physical address, and TIMPs used e.g., farm size, types of crops/livestock, type of seeds, inputs/fertilizers used, and other agronomic practices.

209. The Director, State Department of Livestock (SDL) in consultation with Head of ICT MoALF and component 3 leader of NPCU will develop an automated pastoralist registration system and database for all agro-pastoralists/pastoralists in the participating ASAL counties during the first year of project implementation. This will be a continuous activity that will build on the existing registration system developed by the National Drought Management Authority (NDMA) for implementing the Hunger Safety Net Program (HSNP). The system will be developed in partnership with the Social Protection Secretariat and the NDMA and will be fully integrated into the Social Protection Single Registry (SPSR) and the Population Registration System (PRS). Component 3 leader of NPCU in collaboration with the Director, Livestock production, CDL and ICT-MoALF will organize and conduct training of livestock extension officers on how to use the electronic registration system during the second year of project implementation. The result of this activity will be an automated register of the value chain stakeholders in the project counties.

Establishing homogenous production zones:

210. The Crop Insurance Unit of SDCD in collaboration with KMD, KALRO, component 3 leader, County Project Coordination Unit (CPCU), and CDA will identify Unit Areas of Insurance (UAI) in the semi-arid participating counties that will be covered by the crop insurance during the project implementation period. SDCD has already developed and tested a methodology for identifying UAI. The latter are geographical areas of relatively homogenous soils and agro-climatic conditions; and with similar technology and production practices as well as crop yields per acre. The UAI will partition semi-arid counties on the basis of their agro-climatic conditions and exposure to production risks.


The crop insurance program will base its insurance payouts on the Area Average Yield Index (AAYI) measured across each UAI.

211. In partnership with ILRI, the SDL has developed a methodology for identifying homogenous agro-pastoralist and pastoralist production zones in the ASAL counties. The zones are identified using the following criteria: (i) they cover the target area within which resident pastoralists normally graze their herds; (ii) the herding households within the zone experience similar levels of stress to their herds for a given level of forage scarcity, and deploy similar herd management and migration rules; and (iii) they are of suitable size and administrative infrastructure. The project will finance the identification of homogeneous agro-pastoralists/pastoralists production zones in all participating ASAL counties that will be covered by the livestock insurance in the first and second year of project implementation. KLIP will base its insurance payout on the normalized difference vegetation index (NDVI) readings assessed across each production zone.

212. The identified UAI and production zones will help: (i) improve understanding of agro-climatic suitability of different crops and livestock to inform decisions on which crops or livestock should be promoted under different UAI and production zones, respectively; (ii) provide customized advisory and extension services to farmers, agro-pastoralists and pastoralists based on unique UAI and production zones, and develop UAI-and-production zone-specific protocols for CSA; (iii) screen the proposals received from different communities to ensure that the envisaged activities minimize weather shocks and climate change risks for the UAIs and production zones, respectively.

Collecting agricultural statistics:

213. The Head of ASU; heads of ICT at MOALF, KALRO and NPCU; component 3 leader will facilitate collating and digitization of the historical agricultural statistics (production area, farm sizes, crop yields, and livestock and fisheries productivity). This data is currently available in hard copies in the participating counties government departments and agencies. In addition, the project will finance the collection of location-specific (based on the UAI and production zones) agricultural statistics using the registration systems (farmer, and agro-pastoralist and pastoralists), whereby the crop and livestock/fisheries production data will be collected directly from producers and other stakeholders. During the project implementation the registered beneficiaries will record their progress in adopting CSA TIMPs using the ICT feedback mechanisms, which will be used to monitor changes in



agricultural productivity and resilience to climate change shocks.

214. The project will also finance the Crop Cutting Experiments (CCEs) to provide data for crop insurance program in the participating semi-arid counties at the end of every cropping season. Investing in rigorous time series data and automated methods of capturing and collecting agricultural statistics will have major benefits including: (i) improved commodity production forecasts; (ii) improved early warning system; (iii) better spatial planning and optimum land and crop use; (iv) improved targeting of weather advisory and extension services; and (v) providing information for agricultural insurance

Establishing the normalized difference vegetation index (NDVI) agent:

215. The Director Livestock Production and KMD in collaboration with component 3 Leader will guide the establishment of a single industry-wide agent for the NDVI at the beginning of project implementation. Normalized Difference Vegetation Index provides a good indicator of pasture growth and vigor on a near real-time basis. The NDVI agent will be responsible for carrying out the following tasks: (i) downloading and processing remote sensing data (e.g., masking, spatial aggregation, temporal aggregation, anomalies’ determination) with the specific processing chain designed for KLIP; (ii) determining seasonal insurance payouts according to KLIP contract features; (iii) providing monthly updates on the seasonal evolution of forage availability; (iv) providing official payout reports at the end of the livestock insurance cover periods; (v) guaranteeing data accessibility for stakeholders’ downloading; and (vi) maintaining back-up for NDVI data to guarantee data continuity in case of satellite data acquisition disruption. The data will be collected and archived on continuous basis. The Director Livestock will guide on the interpretation and correlation of collected data sets.

Setting up infrastructure for Big Data analytics:

216. Head ICT KALRO and MoALF in consultation with Procurement officers from the respective organizations, Component 3 Leader, ICT and procurement Officer of NPCU will procure and install the ICT equipment (hardware and software) at KALRO for performing advanced statistical and data mining/machine learning algorithms during the first and second year of project implementation. Agricultural time series data will be combined with weather observations and soil and water management factors to: (i) reveal climate and weather patterns; and (ii) detect the limiting factors for agricultural production. The

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data will be summarized into reduced, more useful pieces of information for presentation in reporting tool, for ease of use and availability.

Strengthening existing market information system:

217. The objective of this subcomponent is to strengthen the existing Market Information System at MoALF. Head Agricultural Market Research and Information Unit of MoALF and ICT MoALF in consultation with Component 3 Leader and ICT Officer of NPCU will develop a GIS map to locate the market centers covered in the existing Market Information System. The team will undertake a survey to determine the status of existing markets covered in the Market Information System; take stock of the type of data collected, availability of market enumerator and identify gaps in data collection. Head of ICT, Market Research and Information Unit and Procurement of MoALF in consultation with Component 3 Leader and ICT Officer and Procurement Officer of NPCU; will procure consultancy services within the first two years of project implementation to strengthen, expand and maintain the Market Information System. The system will involve data capture, analysis and dissemination on: (i) Output (agriculture, livestock and fisheries); (ii) Input; (iii) Storage; (iv) Transport; and (v) Match making between producers and buyers. This will involve the expansion of the existing Market Information System coverage to a total of 235 (at least 5 markets in each of the 47 counties) wholesale and retail markets to enable users to access real-time market information online. Eventually, the System will capture: (i) Output market data – quantities; and wholesale, retail and farm-gate prices for agricultural sector commodities (agriculture, livestock and fisheries); (ii) Input market data – quantities and prices of seed, fertilizers and chemicals; (iii) Storage data – capacity of each facility, quantities stored and unit costs; (iv) Transport cost and availability; and (v) Match making between producers and buyers.

218. Head Agricultural Market Research and Information and ICT of MoALF in consultation with Component 3 Leader and ICT Officer of NPCU will train market enumerators from all the 47 Counties. The training will be a continuous activity throughout the project period. These activities will be coordinated by MoALF and key stakeholders with guidance from the NPCU..

219. Data will be captured by the market enumerators using a primary input device (tablet) and uploaded onto a primary server set up at MoALF with a data recovery server (secondary) at KALRO. Data processing and dissemination will be automated and managed through


market information systems and other channels. The market time series data will be visualized as tables, graphs, charts and maps; and integrated into data management system already established at KALRO (agro-weather). Technologies currently in place at KALRO include web portal and Short Message Service (SMS). Investment will be made on Interactive Voice Responses (IVRs). The SMS system will push information to farmers, pastoralists, fisher-folk, extension officers and other stakeholders. It is envisaged that over 100,000 SMS messages will be sent on a monthly basis to all beneficiaries identified during community mobilization and planning. During the initial stages of implementation, the project will meet the cost of SMS to users. Over time, the SMS cost will be met from subscriptions. Similarly, users of the Market Information System will pay subscriptions for information received. Component 3 Leader of NPCU in collaboration with MoALF will facilitate a platform to enhance partnerships with other Market Information System providers; the system will therefore include a platform for information sharing with other Market Information System providers.

Delivering Integrated Weather and Market Advisory Services:

220. The objective of this subcomponent is to deliver integrated weather and market advisory services to farmers, pastoralists and fisher-folk. Head ICT KALRO in collaboration with Head of ICT and ASU of MoALF; Director KMD and in collaboration with Component 3 Leader and ICT Officer of NPCU will deliver an integrated weather and market advisory services through the following interventions; (i) extending the current agro-weather platform and tool at KALRO to include livestock, additional crops value chains. This is a continuous activity commencing from the first year of the project period; (ii) improving existing ICT infrastructure and systems at KALRO to deliver effective data and information management within the first to second year of the project period; (iii) Establishing knowledge and content processing, management systems that will ensure availability and access of quality data and information for sharing and dissemination. This will commence in the second year and will be continuous.

Extending the Current Agro-Weather Platform and Tool at KALRO to include Livestock and Additional Crop Value Chains:

221. The ICT Manager KALRO and Director KMD in consultation with Component 3 leader and ICT Officer of NPCU will undertake agro-weather system specifications to establish key functionality and improvement needed for an effective system scale-up by the first


year of the project period. The current system is limited in scope and covers only two counties namely Embu and Machakos; it will be upgraded to include all project counties and additional crops, livestock and fisheries value chains.

Improving ICT Infrastructure and Systems Existing at KALRO to Deliver Effective Data and Information Management:

222. The ICT Manager KALRO in consultation with Component 3 leader, the Director KMD, ICT Officer, procurement specialist of NPCU and procurement MoALF will procure additional support equipment including hardware, software and storage to ensure effective service delivery within the first and second year of the project period.

Establishing Knowledge and Content Processing, Management Systems that will Ensure Availability and Access of Quality Data and Information for Sharing and Dissemination:

223. The ICT Manager KALRO, in collaboration with the Component 3 leader, and ICT Officers of NPCU and KMD will establish a dedicated knowledge management and content processing system. The data and information from the agro-meteorological systems will be processed and downscaled with corresponding actionable advisories, step-by-step production, agronomic guides, decision tools and training to farmers and other users. This will lead to improved access to weather and market advisory services that will empower farmers to make informed decisions on what, when, where and how to produce; to reduce losses related to climate change risks; and enable farmers to achieve the triple-wins. This will be a continuous activity

6.4 Subcomponent 3.3 Building Technical and Institutional Capacity for agro-meteorology, agricultural statistics, and market advisory services.

224. The objective of this subcomponent is to build the Technical and Institutional Capacity of the participating institutions to enable them deliver on their component 3 mandate. Long-term training will be financed for about 6 PhD and 30 Masters Degrees in the areas of climate change science and modeling, disaster risk management, agro-meteorology, computer science, information systems, agricultural statistics, and business information system. In addition, international TA will be financed for various agencies in areas of agro-weather, climate, market and advisory services operations as required. The main areas for capacity building will include sensitization of stakeholders on CSA concepts and climate change risks; capacity needs assessment; short-term and long-term training;



and provision of IT equipment and operations and maintenance. Component 3 Leader, procurement specialist of NPCU will procure a consultant to carry out Capacity Needs Assessment for MoALF, KMD, KALRO and NPCU within the first two years. The needs assessment will guide the selection of specialized training courses to be offered to staff to improve their technical capacity in critical areas to bridge the knowledge gap. Thus this subcomponent will finance short-term (Certificate level) and long-term local and international training courses. Short-term training courses (including workshops, classroom trainings, demonstrations and backstopping sessions) will be provided on CSA concepts, climate change risks, agro-weather forecast and dissemination, big data analytics, ICT and tools and methodologies for agricultural production and market data collection, analysis and reporting, among others. Competitive long-term training will be supported in the areas of climate change science, CSA concepts, agro-weather, information systems, business, crop and pasture modeling, livestock and aquaculture.

225. This subcomponent will also finance institutional capacity building for key government autonomous agencies and departments such as: (i) the Kenya Meteorological Department (KMD) and KALRO to adjust to the new demands that climate change may be placing on their services, including strengthening the legal and regulatory frameworks, and establishing institutional capacity for business development and Climate Information Services (CIS); (ii) the Agricultural Market and Information Unit and, Agricultural Statistics Unit (ASU) within the KALRO and MOALF, including putting in place systems for agricultural data collection, strengthening technical capacity of core staff, and providing appropriate ICT infrastructure for timely agricultural statistics analyses and reporting; and (iii) Agriculture Insurance Unit (AIU) within KALRO and MOALF, including building its institutional capacity to continue coordinating implementation of crop and livestock insurance beyond the project period. The overall implementation of this sub component will be guided by the NPCU in collaboration with component implementing government ministries and agencies namely; MoALF, KMD and KALRO.

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CHAPTER SEVEN


7. CONTINGENCY EMERGENCY RESPONSE

226. The objective of this component is to finance an eligible expenditure under the Immediate Response Mechanism (IRM) emergency in case of natural or man-made disasters, severe economic shocks, or other crises and emergencies affecting the agricultural sector. The facility will be triggered through formal declaration of a national emergency by the president. Subject to adequate technical evaluation to ascertain emergency declaration thresh-hold, the Ministry of Agriculture, Livestock and Fisheries (MoALF) in collaboration with the Office of the President will submit a request to the World Bank through the National Treasury (NT) for support. In such cases, funds from an unallocated category or other project components will be reallocated to finance emergency response expenditures to meet agricultural crises and emergency needs. The emergency response would include mitigation, recovery, and reconstruction following natural disasters, such as severe droughts, floods, disease outbreaks, and landslides, among others. Regular forecasts by KMD will contribute towards prediction of such disaster occurrences.

227. Implementation of this subcomponent will follow the provisions of the Disaster Risk Management (DRM) Manual to be prepared by the NPCU in collaboration with the relevant authorities within six months of project effectiveness. An emergency recovery action plan will be prepared upon declaration of an emergency by the government to trigger response under the contingency fund.


CHAPTER EIGHT



8. PROJECT MONITORING AND EVALUATION

228. 232. This chapter covers the project monitoring and evaluation as well as impact assessment activities. It details the mechanisms put in place to monitor and evaluate the performance of the project towards the achievement of key performance indictors based on the following tools:

i. KCSAP results framework;

ii. Annual work plan and budget;

iii. Monitoring and Evaluation plan;

iv. Financial and procurement plan;

v. Data collection tools;

vi. Reporting tools (status, surveys, case study, aide memoir, reports)

vii. Web based MIS

viii. Project technical implementation guidelines

8.1 Assessment of Progress in Project Implementation

229. M&E will involve assessing the performance of KCSAP through analysis of indicators at the various implementation levels as indicated below:

Level Indicators

Outcome level

PDO

i. No. of farmers and pastoralists by gender who benefit from grants and services provided

ii. Increase in productivity of selected agricultural commodities

iii. No. of beneficiaries by gender who have adopted at least one TIMP promoted by the project

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Level Indicators

Intermediate level (outputs)

Component 1

i. Client-days of training provided on TIMPs (number), share of which female (percentage)

ii. Beneficiaries satisfied with relevance, timeliness and effectiveness of TIMP advisory services received (percentage, disaggregated by gender)

iii. Grants approved for CIGs, VMGs, PPPs, and counties (number), of which successfully completed (percentage), CIGs, VMGs, Counties, PPPs

iv. Productive assets brought under TIMPs as a result of the project: Total land area (ha)

v. Head of livestock (number)

vi. Reduced net GHG emissions per unit of product produced for selected agricultural commodities


Level Indicators

Component 2

i. TIMPs tested through on-farm trials, share of which validated (number) ii. Farmers participating in on-farm TIMP trials (number), share of which

female (percentage)

iii. Number of seed production units receiving credit-guarantee scheme

iv. Number of seed retailers and community-based organizations receiving technical assistance ( describe the nature of the assistance)

v. Number of seed production units receiving revolving funds (indicate the amount of funds received)

vi. Increased production of climate-smart agricultural inputs by seed and breed stock producers supported by the project:

vii. Volumes of early generation seed (tons) produced by the seed production units supported by the project

viii. Volumes of certified seed (tons) produced by the seed production units supported by the project

ix. Number and types of livestock breed (heads) produced by the breeds production units supported by the project

x. Number of post-graduate degree and short-term technical trainings completed by individuals, share of who are women (percentage): PhD, MSc and Short-term training

Component 3

i. Number of new and refurbished agro-, automatic weather stations and hydro-meteorological facilities

ii. Number of users receiving integrated agro-weather information services and market information services, share of which female.

Component 4

i. Percent of satisfactory quarterly project interim financial and monitoring reports submitted within 45 days of end of the previous period.

ii. Proportion of complaints actually addressed (Percentage) out of the total number of complaints received in regard to delivery of project benefits.

230. Data will be collected to measure achievement of the project objectives and components alongside the above stated indicators by the M&E staff/personnel and other stakeholders.


231. Monitoring entails a continuous assessment of the Project to establish if it has been implemented according to the plan and whether the desired results are being realized based on the results framework. The project monitoring will be carried throughout implementation at inputs, processes, outputs, outcomes and impacts levels. Implementation monitoring involves tracking inputs, activities and outputs whereas results monitoring involves tracking outcomes and impacts as specified by the intermediate and impact indicators respectively in the results framework. The results framework is given in the M&E Manual.

232. Evaluation on the other hand entails periodic, systematic and objective analytical process of assessing the relevance, efficiency, effectiveness and sustainability of the project. It will be done through a participatory process in order to draw synergies and build consensus among all stakeholders hence facilitating ownership and sustainability. Evaluations take into account; design processes from start (baseline), mid-point and end of project.

233. Monitoring and evaluation will assess the overall project performance based on the result framework. The M&E approaches will be harmonized with continental and global efforts (e.g., Global Alliance for CSA and the Alliance for CSA in Africa) to build robust and harmonized evidence of the impacts of CSA TIMPs supported by the project. The Mechanisms to be put in place for M&E shall include a web-based Management and Information system (MIS), for data collection, analysis and reporting, monitoring and evaluation plan, annual targets, and data collection methods. It shall entail a dynamic feedback mechanisms and information flow through meetings, workshops and other communication channels. The project M&E staff will be charged with the responsibility of carrying out M&E functions at the two key project implementation levels; National and County levels.

Evaluation will comprise the following elements:

8.2 Baseline Survey

234. The baseline survey will be carried out as part of the project start up activities as indicated in chapter 2. Gender and social inclusion perspectives will be integrated into the survey design in order to capture data on the different social grouping in the targeted communities. This will provide a basis to track the participation, achievements and impacts on men, women,



youth and VMGs. The baseline will also identify the existing socio-economic inequalities within the targeted communities and inform the design of appropriate strategies towards equitable distribution of resources and benefits. It is recommended that over and above the baseline measurement of the various indicator targets communities should identify control farms that should consist of project non-participating persons whose indicator changes would be important for comparative analysis.

8.3 Internal Review and Backstopping

235. The CPCU and the NPCU in collaboration with the executing agencies will undertake both scheduled and impromptu visits to the project sites in order to ensure smooth implementation of the project activities. The CTAC will undertake quarterly visits to their beneficiary communities and submit reports to the CPCU for onward submission to the NPCU. The NPCU and NTAC will undertake bi-annual M&E visits as well as impromptu visits where found necessary to backstop and supervise the CPCU and SPs.

8.4 Review Missions

236. Regular support missions will be organized on biannual basis to enhance effective implementation and achievement of project outputs and outcomes. The mission reports (aide memoires) shall advice the stakeholders (implementers and beneficiaries) on strengths and weaknesses in project implementation.

237. Review missions will assess progress against the results framework from an independent point of view. They will provide information on the relevance, effectiveness, efficiency and sustainability of the project approaches, strategies and organizational set-up and institutional arrangements. They will also assess the effective complementarity of different project components in contributing to the outcomes. The review missions are expected to make recommendations and adjustments for the remaining project period.

8.5 Mid-Term Review

238. Mid-Term Review (MTR) will be carried out to evaluate the progress of project towards delivery of its PDO within the half term project lifetime left. It will cover both technical aspects and fiduciary aspects. It will provide stakeholders with an opportunity to give valuable feedback for practical refinement of the project and therefore improve project

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performance to achieve its target objectives (the PDO). The MTR will be carried out as a joint venture between the Bank and GoK whose output will inform on project implementation corrective measures and project restructuring where deemed necessary.

8.6 Case Studies

239. The project will undertake in-depth analysis of selected project activities to document observed trends, patterns, policy and institutional implications as well as impacts. These will explain underlying factors to the observed results as well as operational challenges as they unfold in the course of project implementation. The types of case studies will be identified by the respective specialist teams at national level in collaboration with counties. The studies will be undertaken based on demand to enhance the implementation process and realization of results.

8.7 End of Project Impact Evaluation

240. A final impact evaluation will be conducted to determine the project’s relevance and fulfillment of objectives, development efficiency, effectiveness, impact, sustainability and lessons. Impacts at the close of the project will be accounted in the Implementation and Results Report (ICR). The project M&E systems will provide valuable material to enable the ICR of the project to be carried out.

8.8 Project Management and Information System (MIS)

241. An integrated Project Management and Information System (MIS) will be developed with a capacity to monitor project activities based on the annual work plans and budgets, financial, procurement, and M&E reporting against the results framework. The MIS will be linked to an ICT Agricultural Information Platform that will collect data on the project activities to generate reports that: (i) compare implementation performance at the national, county and community level (ii) link physical implementation to financial reporting; and (iii) give stakeholders relevant information that enable them make informed business and analytical decisions. The System will enforce a culture of results-based project M&E and provide the basis for an evidence-based decision-making process as well as provide concurrent feedback to key stakeholders on the progress towards the project’s key results.

242. The system will be developed by a consultant during the first three months after the project


becomes effective. The consultant will also give technical backstopping on the system as the need arises. Data collection, compilation, analysis, and reporting will be carried out by the M&E officer and M&E assistants at the national and county levels respectively in collaboration with other project staff. Data and information at the community level will be collected by the beneficiaries, aggregated at the CIG/VMG/POs/SACCOs level and submitted to the CPCU office by the CDDC. Verification of such data will be done on quarterly basis from a representative sample of the beneficiaries.

8.9 Development of ICT Platform

243. An ICT platform will be developed to support project implementation. The system will enhance participatory communication and active sharing of knowledge. Through such processes project beneficiaries will become true agents of change. The project will build on best practices of existing ICT platforms in other programs, and those of past projects such as KALRO, WKCDD & FMP, KAPAP and others, with a focus on strengthening capacity and empowering CIGs and VMGs. Existing ICT platforms will be leveraged and by incorporating the best practices enhance: (a) participatory processes; (b) interpersonal and interactive communication; (c) execution of transactions; (d) project Management, and effectiveness of project implementation. The ICT will provide a platform against which the M& E systems as well as the MIS will be anchored to support project implementation.

244. A U-Report type Short Message Services (SMS) or Interactive Voice Response (IVR) – based on ICT application will be used to receive direct feedback from farmers on services provided. U-Report is a social messaging tool allowing anyone from any community to respond to polls, report issues, and work as positive agents of change on behalf of people in their community. This platform will also be used as a complaints and grievance handling mechanism. Development of the described ICT system will be done by a consultant who will also be expected to build the capacity of the two levels of project coordination units on its use and maintenance.

8.10 M&E Plan

245. The M&E plan is a document consisting of a schedule of activities to achieve the pre-established M&E agenda for the project implementation, monitoring and evaluation. The plan will also serve as a reference point against which a measure of the effectiveness and


functionality of the M&E system is pegged. NPCU and CPCU in consultation with the relevant stakeholders will develop a detailed M&E plan within the first three months of project implementation. The plan will provide information on performance monitoring and evaluation, data collection, reporting, documentation and dissemination methods. It will provide details on how the M&E manual will be operationalized.

8.11 M&E Manual

246. The M&E Manual is aimed at explaining the procedure for monitoring implementation activities of the four components of the project to enhance achievement of the targets. It will focus on the following:

i) Stakeholders involvement in addressing their concerns and dissemination of relevant information that they need

ii) Flexibility in measuring the indicators to ensure that unforeseen circumstances and project risks are mitigated against to enhance project implementation progress and impact as per the needs of the different stakeholders

iii) Data for different indicators is collected, analysed and reporting done on timely basis, it will also be stored, managed and turned into learning products

iv) Provision of guidelines on how to carry out the various M&E activities

8.12 Capacity Development for M&E

247. This will be undertaken during the early stages of project implementation. Support will be provided for capacity building at the two main levels; national and County level to assess training needs and impart skills to project staff. The latter will be trained on the skills for data collection, handling and analysis as well as disaggregating data by gender and other socio-economic categories of beneficiaries. The beneficiaries will also be capacity built on their role in data collection, the use of data collection tools and reporting on all matters related to the project. Other M&E capacity building activities will include annual planning for M&E activities, M&E review workshops for internal checks and assessment of the various M&E processes. Additionally, capacity building will be done to stakeholders on the use of the MIS and the ICT platform (which will be used in handling



both the M&E and MIS products). The linkage between the three systems (M&E, MIS, and ICT platform) will be made easily understood by the users (M&E officers, NPCU and CPCU), clients of the system and the other project stakeholders (both government and non-government project implementing agencies).

8.13 Reporting

248. Reports will provide critical feedbacks and updates on project implementation and public relations on quarterly, bi-annually and annually. The reports will be tailored for consumption by internal project staff or external stakeholders and will be particularly useful in communicating challenges and lessons learnt during implementation, value chain development progress, funds utilization, and social/gender expectations. Some of the issues that the reports will cover are key achievements, and environmental issues and complaints’ handling. A social inclusive perspective shall be used in the reports in order to bring out issues of gender and VMGs. The table below indicates the project reporting timelines;

Table 10: Reporting and Feedback Timelines

Type of report By who Time of reporting Feedback

Monthly reports CPCU 10th of the succeeding month

15th of the succeeding month

Quarterly reports (Counties) CPCU 20th of the succeeding

month After 10 days from the date of submission

Biannual report/annual report (Counties) CPCU 30th July and January 15th of August and

February

Quarterly reports (National) NPCU 30th of the succeeding

month

Biannual report/annual report (National) NPCU 15th August and February

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8.14 Flow of Information

249. The flow of information from the national level to grassroots will involve diverse channels ranging from workshops, seminars, letters, internal memos and appraisals. Communication from grass root implementers to the national level will mainly be done through reports and letters depending on the subject being communicated. The community level reports that will be generated and submitted to the CPCU on a monthly basis will include: (i) Financial reports, (ii) Procurement reports and (iii) Project implementation/technical reports

250. Details and formats of these and other reports to be submitted to the CPCU by the community are outlined in Matching Grant Manual (MGM). The manual specifies the records to be maintained and also provides guidance on documentation of the relevant social accountability mechanisms necessary for proper community engagement. The reporting formats are be annexed in the CGM.

251. At the county level the County Project Coordinator will generate the following reports and submit them to the NPCU at the frequencies indicated.

i) Quarterly SOE review report

ii) Annual SOE review report

iii) Quarterly Monitoring and Evaluation reports

iv) Monthly and Annual M&E report

v) Quarterly Audit review report

vi) Quarterly Progress Reports

vii) Monthly Procurement Reports

viii) Activity based reports

256. At the national level, the NPCU under the leadership of the National Project Coordinator shall generate and file the following reports for accountability purposes and tracking of project implementation:

i) Quarterly M&E Reports


ii) Quarterly SOE

iii) Annual SOE

iv) Quarterly Progress Reports

v) Annual Progress Reports

vi) The reports generated by the NPCU will be submitted to the PS MoALF and copied to the World Bank simultaneously.


ANNEXES



ANNEX 1A: COMPOSITION AND TERMS OF REFERENCE FOR NATIONAL PROJECT STEERING COMMITTEE

National Project Steering Committee: The NPSC will be constituted by the Cabinet Secretary, MoALF, through formal invitation of members to participate within 3 months after approval of Project. The process of constituting this committee will be initiated by the National Project Coordinator and will involve preparation of a briefing note to the CS, MoALF through the PS, SDCD covering proposed membership of the committee, its functions and proposed dates for inaugural meeting. Members of the PSC will be provided with necessary documents of the project including (but not limited to) the Project Appraisal Document (PAD) and the Financing Agreement.

The NPSC will include two Governors representing the participating Counties. They will be nominated by the CoG on a two-year rotational basis in a manner that ensures that there is representation of NEDI, ASAL and Non-ASAL counties. The governors will be nominated through the Chair of the CoG Agriculture Committee

Composition of the committee

i) Cabinet Secretary, Ministry of Agriculture, Livestock Fisheries& Irrigation - Chair;

ii) Chairperson, Agriculture Committee, Council of Governors - co-Chair;iii) Principal Secretary, the National Treasury;iv) Principal Secretary, State Department for Agriculture;v) Principal Secretary, State Department for Livestock;vi) Principal Secretary, State Department for Fisheries and the Blue Economy;vii) Principal Secretary, State Department of Environment, MoENR;viii) Principal Secretary, State Department for Irrigation,ix) Principal Secretary, State Department for Cooperatives; MoITC;x) Governor, representing NEDI counties;xi) Governor, representing other (non-NEDI) counties; xii) Coordinator, Intergovernmental Secretariat for Agricultural Sector;xiii) Chief Executive Officer, Kenya National Farmers Federation (KENAFF);xiv) Chief Executive Officer, Kenya Private Sector Alliance (KEPSA).

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Terms of Reference

The NPSC is the supreme body of KCSAP and is responsible for the overall oversight and policy guidance of the project to ensure that it operates within the principles and framework of Vision 2030, the Agricultural Sector development Strategy (ASDS) and the Financing Agreement for the project signed between the Government of Kenya and the World Bank. The committee will take overall responsibility for ensuring that the project remains within the project development objective and that project resources are utilized efficiently and effectively to achieve agreed targets.

Specific Terms of Reference for the Committee

(i) Review and approval of membership and terms of reference for the NTAC and any other sub-committees of the NPSC;

(ii) Review and approval of the project annual work plans and budgets based on recommendations of the NTAC;

(iii) Review and approval of project semi-annual and annual progress and financial reports;

(iv) Consideration and approval of recommendations for replacement of participating counties in the event this need arises;

(v) Co-ordination between all institutions and stakeholder groups involved in implementation of the project;

(vi) Review and approval of any changes in project policies and procedures governing implementation of the project based on recommendations of the NTAC; and;

(vii) Consideration and guidance on any other matters related to the project that may be brought to the Committee by the NPCU or any member for deliberations.

Policies and Procedures: The NPSC will operate in accordance with policies and procedures laid out in this Project Implementation Manual. These include the following:

(i) Committee constitution: The NPSC will be constituted by the Cabinet Secretary, MoALF&I through formal written invitations to members. The Committee will stand constituted once at least, half of members of the Committee formally write back accepting membership (and an inaugural meeting is held to brief the Committee on its mandate).


(ii) Chairing of the committee: The NPSC will be co-chaired on a rotational basis by the CS, MoALF and the Chairperson of the Agriculture Committee of the Council of Governors;

(iii) Quorum for meetings: The quorum for NPCU meetings shall be at least half (7) of members.

(iv) Frequency of meetings: The NPSC shall meet 2 times per financial year (1st July – 30th June). Special purpose meetings of the full Committee (or sub-committees thereof) may however be called from time to time to deliberate on matters that may require urgent attention.

(v) Representation of members in committee meetings: To maintain institutional memory and continuity, members of the committee will, to the extent possible, personally participate in committee meetings or have only one alternate member from their respective institutions. Nominated alternate members shall be senior officers of at least Director-level.

(vi) Convening of meetings: Committee meetings shall be convened by the CS, MoALF&I, giving members an advance notice of at least 10 calendar days to the day of the meeting.

(vii) Documents to be considered by the Committee: All documents to be considered by the Committee, including Minutes of the previous committee meeting, shall be circulated to members at least 5 calendar days before the day of the meeting.


ANNEX 1B: COMPOSITION AND TERMS OF REFERENCE FOR NATIONAL TECHNICAL ADVISORY COMMITTEE

National Technical Advisory Committee: NTAC will be responsible for providing technical support to overall project implementation; and approving the national and county level investment and CSA research proposals. The number of members of NTAC attending each meeting will depend on the agenda or technical advice sought by the National Project Coordination Unit (NPCU).

Composition of the Committee

i) Agriculture Secretary, State Department of Agriculture, MoALF&I - Chair;

ii) Chairperson, Counties’ Agriculture Caucus (formed by CECs of Agriculture – co-Chair

iii) Secretary, Counties’ Agriculture Caucus (formed by CECs of Agriculture);

iv) Chairperson, Intergovernmental Technical Working Group (ITWG) for Projects

v) Director of Livestock, SDL/MoALF&I;

vi) Director of Fisheries, SDFBE/MoALF&I;

vii) Director of Environment, State Department for Environment/MoENR;

viii) Director of Irrigation, State Department for Irrigation MoALF&I;

ix) Commissioner for Cooperatives;

x) Director General, KALRO;

xi) Director, KMD;

xii) Director, KEMFRI

xiii) Director General, NEMA

xiv) Chief Executive, Kenya Association of Manufacturers (KAM);

xv) Chief Executive, Seed Traders Association of Kenya (STAK);

Specific Terms of Referencea) Carry out detailed review of project annual work plans and budgets, and make

recommendations to the NPSC for approval;

b) Monitoring of the implementation progress through review and approval of quarterly



progress and financial reports, and participation of periodic project implementation support missions

c) Reviewing and approve proposals from counties for county level CSA sub projects proposals

d) Review and approve National levels CSA research proposals

e) Review and approve county request for recruitment of CPCU staff for position which counties are an able to fill through deployment as described in the project implementation manual

f) Review and make recommendation to the NPSC on any proposed policy changes on the project

g) Consider and provide technical guidance on technical matters which may be referred to the committee by the NPCU or NPSC for advice

Committee Policies and Procedures

The NTAC will operate in accordance with policies and procedures laid out for the Committee in this Project Implementation Manual. These include the following:

(i) Committee constitution: The NTAC will be constituted by the Permanent Secretary, MoALF&I through formal written invitations to members. The Committee will stand constituted once, at least, half of invited members formally write back accepting membership (and an inaugural meeting held to brief the Committee on its mandate?).

(ii) Chairing of the committee: The NTAC will be co-chaired on a rotational basis by the Agriculture Secretary, State Department of Agriculture, MoALF&I and the Chairperson of the Counties’ Agriculture Caucus formed by County Executive Committee members in charge of Agriculture;

(iii) Quorum for meetings: The number of members of NTAC attending each meeting will depend on the agenda or technical advice sought by the NPCU. The quorum for Committee meetings shall however always be at least 6 of members.

(iv) Frequency of meetings: The NTAC shall meet on a quarterly basis in accordance to a calendar to be established by the Committee during its inaugural meeting. Special

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purpose meetings of the full Committee or sub-committees may however be called from time to time to deliberate on matters that may require urgent attention.

(v) Representation of members in committee meetings: To maintain institutional memory, members of the committee will, to the extent possible, personally participate in committee meetings or have only one alternate member from their respective institutions.

(vi) Convening of meetings: Committee meetings shall be convened by the PS, SDCD/MoALF&I, giving members an advance notice of at least 10 calendar days before the day of the meeting.

(vii) Documents to be considered by Committee during meetings: All documents to be considered by the Committee, including Minutes of the previous committee meeting, shall be circulated to members at least 5 calendar days before the day of the meeting.

The day-to-day coordination and management of the project will be carried out by a National Project Coordination Unit (NPCU) at national level and County Project Coordination Units (CPCUs) at county level for each of the 24 eligible counties. At national level, the NPCU will be established within the SDCD, MoALF&I and will comprise the following full-time staff: (i) National Project Coordinator – 1; (ii) Component Coordinators – 3; (iii) Project Accountant – 1; (iv) Assistant Accountants – 2; (v) Planning, Monitoring and Evaluation Coordinator – 1; (vi) Assistant M&E officers – 2; (vii) Procurement Officer – 1; (vii) Procurement Assistant - 1 (ix) Internal Auditor - 1; (x) Human Resource and Administration Officer - 1; (xi) Education and Communications Officer – 1; (xii) ICT Officer – 1; (xii) Environmental and Social Safeguards Compliance Officer – 1; ( (xiii) Inter-Governmental Relations Officer (xiv) Meteorological Officer -1 (xv) Agricultural Insurance Officer -1 (xvi) Gender & Social Development Officer – 1 (xvii) Inter-Governmental Relations Officer (xviii) – 1 (xiv) Drivers - 9.

At county level, the CPCU will be established within the MoALF&I and will comprise the following full-time staff : (i) County Project Coordinator – 1 (ii) County Accountant -1 (iii) Agricultural Statistics Officer -1 (iv) County M&E Assistant -1 (v) County Procurement Assistant -1 (vi) County Internal Auditor – 1 (vii) Research Extension Liaison Officer -1 (viii) Drivers .


Staff of the NPCU and CPCU will be deployed to the project from various government line ministries, departments and agencies or competitively recruited from the market in accordance with World Bank’s Guidelines for Selection and Employment of Consultants by World Bank Borrowers (dated January 2011).

The project will be implemented in 24 selected counties as indicated in the Project Appraisal Document.


ANNEX 1C. COMPOSITION AND TERMS OF REFERENCE FOR NATIONAL PROJECT COORDINATION UNIT

1. National Project Coordinator

Reporting to the Principal Secretary (PS), State Department for Crop Development (SDCD), or a senior official designated by the PS on his/her behalf, the NPC will be the head of the NPCU and shall be responsible for the overall coordination and management of KCSAP activities, including provision of strategic guidance on the day-to-day implementation of activities in accordance with the stipulated World Bank’s guidelines stipulated in the Financing Agreement (FA) and GoK’s fiduciary requirements. He/she will be the Secretary to the National Project Steering Committee (NPSC) chaired by the Cabinet Secretary, MoALF&I as well as the National Technical Advisory Committee (NTAC) chaired by the PS, SDCD.

Responsibilities:

a) Provide effective leadership to the NPCU;

b) Coordinate and facilitate the signing of Participation Agreements (PAs) between the MoALF&I and Governors of the 24 participating counties and subsequent implementation of KCSAP in the respective County Governments in line with the PAs;

c) Oversee and facilitate the capacity building program for participating County Governments by the national implementing agencies;

d) Act as a liaison between the MoALF&I and the World Bank task team leader and facilitate communication with the National Treasury (NT), Council of Governors (CoG), participating County Governments; and other project executing agencies;

e) Lead the preparation of project Annual Work Plan and Budgets (AWPBs) and associated Procurement Plans for the project;

f) Ensure effective utilization of the project funds and other resources in accordance to the AWPB and Procurement Plan through supervision and regular monitoring of project activities. This will include supervision of staff of the NPCU (including conducting annual performance reviews) and in collaboration with the County Project Steering Committee (CPSC) oversee the activities of the County Project Coordination Units (CPCUs) staff;



g) Ensure that progress, audit and other reports are produced and submitted to the appropriate parties on a timely basis;

h) Ensure compliance of the project to all laid down World Bank/GoK guidelines including fiduciary (procurement and financial management), environmental and social safeguards (environmental assessment, natural habitat, pest management, resettlement policy, and indigenous peoples);

i) Ensure the timely dissemination of project experience and results to relevant stakeholders within the learning community;

j) Ensure adequate liaison, synergies and networking with other agencies either working in the project area or potentially concerned with project activities. This will include synergy with the relevant ministries (MoALF&I, MoENR, MoIED, MoW,) national and international agricultural research institutes (KALRO, CGIAR Centers), STAK, NGOs, donors, and other relevant stakeholders as well as other World Bank-funded projects, including the National Capacity Building Framework (NCBF), Program-for-Result Project, the National Agricultural and Rural Inclusive Growth Project (NARIGP), the Kenya Rural Roads Project (KRRP), the Kenya Youth Employment Project (KYEP), and the Regional Pastoral Livelihood Resilience Project (RPLRP).

k) Ensure that an effective communication channel with all 24 participating counties, stakeholders and other donors is established;

l) Represent the project at relevant functions and meetings;

m) Implement the decisions of the NPSC and NTAC;

n) Undertake project completion and financing closing activities when due; and

o) Promote teamwork between the various development actors associated with the KCSA Project and help to resolve issues that cannot be resolved at the county level;

p) Monitor Project impacts and lessons learned as well as budgetary trends;

q) Perform any other duties relevant to the project as may be assigned by the PS or his designated representative.

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Qualification and Experience:

This is a senior management position requiring a results-oriented professional committed to bottom-up, community-driven approaches for empowering communities to realize their development goals, and strong collaboration with research institutions. The right candidate will be a good team player with the following qualifications:

a) Master’s Degree or higher in Agricultural sciences, Agro-meteorology, Environmental studies or any other related field;

b) 5 years hand on experience in managing donor funded, multi-sectoral and community development of Agriculture and rural development projects in Kenya or other similar countries. He/she should have experience of dealing with different stakeholders including different levels of governments, national and international research institutions, development partners, civil society and communities. Solid knowledge of Participatory Integrated Community Development (PICD) process will be an added advantage;

c) Good understanding of national agricultural policies, strategies and regulatory framework for the various inputs and commodities in Kenya;

d) Clear understanding of World Bank and GoK finance and procurement procedures, activity based work and budget planning. Knowledge and experience in social accountability is also key;

e) Proven capacity for relevant intellectual and operational leadership in development work, particularly for community-based development;

f) Ready for flexible working hours and extensive work load as well as frequent domestic travel to support the CPCUs embedded in the county governments;

g) Strong computer and communications skills (oral, written, presentation) with proficient working knowledge of MS Office, MS Project and other relevant software for technical analysis and reporting;

h) Strong interpersonal skills with evidence of ability to productively interact with a wide range and levels of organizations (Government, private sector, NGOs, and research institutions);

i) Fluency in written and oral English and Kiswahili.


2. Finance Officer/ Project Accountant

Reporting to the National Project Coordinator, the Financer Officer/ Project Accountant will be responsible for managing project finances in accordance with the requirements of the Financing Agreement and related documents (Project Appraisal Document and Project Implementation Manual) including verifying the availability of funds against the approved plans and budgets and all expenditure requests before payments are made. S/he provides leadership to the Project Finance Team and is a member of the management team of the NPCU, providing support to the NPC in overall coordination and management of the project.

Responsibilities

The roles and responsibilities of the Finance Officer/ Project Accountant include but are not limited to:-

1) Develop and put into operation the project financial and procurement system;

2) Process accurately and promptly all accounting transactions including project payments for planned activities, operating expenses, travel, consultant /vendor payments and other office running expenses;

3) Prepare timely periodic statement of expenditure (SOE) reports and fund replenishment (Withdrawal Application) requests, carefully checking and inspecting all supporting documents;

4) Prepare, implement and review the funding of budgeted and actual annual cash flows and ensure adequate follow up on matters needing clarification;

5) In collaboration with the counties project accountants and implementing project teams, prepare quarterly and annual financial reports in agreed formats agreed in line with the Financial Management Manual;

6) Maintain accounts reconciled at any given point in the Project and avail them including supporting documentation for auditing;

7) Support the NPCU and CPCUs in the facilitation of external financial audits e.g. KENAO, IAD or the World Bank;

8) In consultation with the Head of the Accounting unit at the Ministry and the NPC, oversee


the proper maintenance of the project finance and accounts system in accordance with the PFM and financial regulations and procedures of the National Treasury and World Bank;

9) Contribute in the planning and preparation of annual budget and work plans as well as monitoring of the budgeted expenses;

10) Ensure that project annual work plans are budgeted and included in MoALF overall budget before submission to the National Treasury;

11) Ensure government internal control procedures are adhered to;

12) Support county project accountants in all the 24 participating counties; and

13) Perform other duties as may be assigned by the NPC.

Qualifications and Experience

This is a senior management position requiring a strong financial management professional of unquestionable integrity. The right candidate will be a team player with the following qualifications:

a) Bachelor’s degree in Accounting, Finance, Business Administration or Economics or related field from a recognized university plus professional accounting qualification (CPA-K);

b) 5 years working experience in Accounting and Finance, 3 of which in senior management position;

c) Familiarity with financial management/accounting in a government ministry/department and donor-funded projects. Familiarity with the World Bank Accounting Guidelines will be an added advantage;

d) Knowledge of computerized accounting systems;

e) Good working knowledge of accounting, financial control, banking, procurement and personnel policies and procedures;

f) Strong computer and communications skills (oral, written, presentation) with proficient working knowledge of MS Office, MS Project, Accounting and other relevant software



for technical analysis and reporting;

g) High level of personal and professional integrity with strong analytical skills and ability to function well in a multi-cultural and inter-disciplinary environment;

h) Strong interpersonal skills with evidence of ability to productively interact with a wide range and levels of organizations (Government, private sector, NGOs, and community organizations);

i) Ready for flexible working hours and extensive work load as well as frequent domestic travel to support the CPCUs embedded in the county governments; and

j) Fluency in written and oral English and Kiswahili.

3. Procurement Officer

Reporting to the National Project Coordinator, the Procurement Officer will be a member of the NPCU finance team responsible for overseeing the preparation and execution of the project procurement plans to effectively support project operations, ensuring strict adherence to World Bank and GoK procurement guidelines.

Responsibilities

(a) Finalization of the project Procurement Manual and subsequent training of other procurement staff and technical officers at national and county levels on the application of M&E guidelines of the project;

(b) Guidance and capacity building of participating counties, partner institutions and communities authorized procurement policies and procedures;

(c) Coordination of procurement of project works, goods and services at national level and guidance to decentralised procurement at county and partner instructions level as appropriate;

(d) Ensuring proper use and conservation of project assets;

(e) Preparation of annual project procurement plans in collaboration with other members of the NPCU, participating counties and implementing partners, and submitting same for approval by the NPSC and World Bank along with the AWPB;

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(f) Ensuring the preparation and advertisement of TORs, tender and contract documents for specific procurements according to GOK and World Bank guidelines;

(g) Participation in relevant tender committee meetings at the Lead Agency and assisting with the preparation of committee reports;

(h) Review and advise on tender evaluation reports prepared by the Counties and other implementing agencies and making necessary follow-up;

(i) Maintaining high quality procurement files and contract registers for review by supervision missions and auditors;

(j) Preparation of regular financial and procurement progress reports;

(k) Undertake any other duty assigned by the NPC.

Qualification and Experience

(a) Bachelor’s degree in Commerce, Economics, Supply Chain Management, Purchasing and Supplies Management, Accounting or any other related field from a recognized university plus professional qualification in Procurement/Supplies Management. A post graduate qualification will be an added advantage;

(b) 5 years’ experience with procurement of civil works, goods and services for GOK/donor funded projects;

(c) Experience in preparing tender and contract documents for national and international competitive bidding will be an added advantage;

(d) Comprehensive knowledge of Public Procurement Regulations, as well as procurement guidelines the World Bank or other donors;

(e) Strong computer and communications skills (oral, written, presentational);

(f) Fluency in English and Kiswahili.

4. Assistant Procurement Officer

Reporting to the NPC, the Assistant Procurement Officer will assist the NPRO in executing procurement in performing the following functions:


Responsibilities

a) Assist in ensuring proper use and conservation of project assets;

b) Assists in ensuring the preparation and advertisement of TORs, tender and contract documents for specific procurements according to GOK and World Bank guidelines;

c) Assist in preparing for relevant tender committee meetings at the Lead Agency;

d) Assist in reviewing and advising on tender evaluation reports prepared by the Counties and other implementing agencies and making necessary follow-up;

e) Assist in maintaining high quality procurement files and contract registers for review by supervision missions and auditors;

f) Assist in preparation of regular financial and procurement progress reports;

g) Undertake any other duty assigned by the NPC.


a) Bachelor’s degree or equivalent in Commerce, Economics, Supply Chain Management, Purchasing and Supplies Management, Public Administration, Law, Accounting or any other related field from a recognized university plus professional qualification in Procurement/Supplies Management. A post graduate qualification will be an added advantage;

b) 3 years’ experience with procurement of civil works, goods and services for GOK/donor funded projects;

c) Experience in preparing tender and contract documents for national and international competitive bidding will be an added advantage;

d) Comprehensive knowledge of Public Procurement Regulations, as well as procurement guidelines of the World Bank or other donors;

e) Strong computer and communications skills (oral, written, presentational); Fluency in English and Kiswahili


5. Monitoring and Evaluation Officer

Reporting to the NPC and working very closely with the three Component Coordinators, the M&E Officer will coordinate the establishment and operation of an integrated project learning system for KCSAP. The system will link five functions: learning and adaptation for continuous improvement of performance; learning-oriented M&E; internal (NPCU/CPCU) and external (stakeholders) communication; innovation and experimentation; and information management. He/she will provide feedback and advice to the NPC on the effectiveness of project implementation and steps needed to achieve anticipated project outputs and outcomes. He/she will be a member of the NPCU management team, supporting the NPC in overall management and coordination of the project.

Responsibilities

a) Oversee the development and implementation of the KCSAP planning, monitoring and evaluation system. This will include taking a lead in the preparation of the Project M&E Manual and subsequent training of NPCU and CPCU staff and other key stakeholders on its implementation;

b) Develop and implement processes and guidelines for systematic capture of knowledge, good practices and innovation, and the sharing and use of same to improve project implementation;

c) Take a lead in the planning and preparation of the Annual Work Plan and Budget for the project, ensuring bottom-up planning by participating communities, counties, and partner executing agencies before consolidation into an overall AWP&B for the project;

d) Coordinate inclusion of KCSAP AWPB into SDCD/MoALF&I annual budget at the national level and work with participating counties to ensure project activities are appropriately captured in respective CIDPs and annual county development plans;

e) Monitor the status and progress of project implementation at national and county level and take a lead in the timely preparation of quarterly and annual progress reports, appropriately consolidated from individual reports prepared by participating counties and executing partner agencies;

f) Support advocacy efforts through providing evidence of project impact gathered through the M&E system;



g) Coordinate the development and implementation of capacity building programmes for NPCU staff, the counties and implementing partners, including coaching and mentoring in areas of planning, monitoring and evaluation;

h) Coordinate surveys and case studies to establish baseline and assess achievements and outcomes of KCSAP activities, including Baseline, Mid-Term and Completion surveys;

i) Foster partnerships for broader knowledge-sharing and learning;

j) Organize and facilitate supervision missions; and

k) Undertake any other duties as may be assigned by the NPC from time to time.


This is a senior management position requiring a person with strong analytical stills and commitment to results-based planning and management of projects. The right candidate will be a team player with the following qualifications:

a) A Master’s degree in Agricultural Economics, Agriculture, Environmental studies, Rural Development, Statistics, or other relevant field and with a basic degree in Agricultural or environmental studies from a recognized university. Specialized training in M&E of development projects will be an added advantage;

b) 5 years hands-on experience in planning, monitoring and evaluation of development programmes, 3 of which should be in senior management facilitating learning processes. Experience working with World Bank funded projects will be an added advantage;

c) Proficiency in the use of databases, modern information and communication technology (ICT) in development, and other computer applications;

d) Demonstrated skills in quantitative and qualitative analysis and data management;

e) Demonstrated experience in designing and implementing successful communication and knowledge management strategies for sustainable development, or in planning and implementing strategies at management level;

f) Ability to write reports depicting project interventions and results;

g) Strong computer and communications skills (oral, written, presentation);

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h) Ready for flexible working hours and extensive work load as well as frequent domestic travel to support the CPCUs embedded in the county governments; and


6. Information and Communications Officer

Reporting to the NPC, the Information and Communications Officer will be a member of the knowledge management team and will work closely with the M&E Officer. He/She will be responsible for planning and execution of the project communications strategy for maintaining effective internal and external communications on the project for healthy internal relations among project staff and partners, and external relations key stakeholders (CoG, GoK, World Bank), beneficiaries, and other stakeholders.

Responsibilities

a) Take a lead in preparation of project communications strategy and subsequent awareness creation among project staff, counties, communities and other partner institutions for adherence;

b) Take a lead in preparation of Information, Education and Communication (IEC) materials, including branding, and awareness/sensitization materials;

c) Support and maintain internal and external communications with project collaborators, implementing agencies, service providers;

d) Provide quality control and assurance of project reports and other materials communicating project operations, guidelines and progress;

e) Assist in coordinating communication activities and events of the project and partners;

f) Assist in conducting awareness raising campaigns, events, information dissemination workshops for target groups;

g) Participate in donor visits for showcasing project progress and achievements;

h) Oversee the design and editorial content of project website and intranet, ensuring that content are regularly updated and promoted and that the websites remain relevant in consultation with the M&E and ICT Officers;


i) Provide support and training in communication for KCSAP staff at national and county levels;

j) Draft press releases, statements, news summaries and ensure print and electronic media coverage for Project events and regular or ad- hoc briefings, public information events and press conferences;

k) Monitor international and regional media, and regularly update NPC of any media coverage relevant to KCSAP work; and

l) Perform any other duties as may be assigned from time to time by the NPC.


a) Master’s degree in Public Relations, Communication, extension education, Media, Journalism and/ or equivalent and should have a basic degree in Agricultural studies. Possession of tertiary professional qualification in journalism will be an added advantage;

b) At least five (3) years of professional experience in public service;

c) Experience in copywriting and proofreading within a Public Relations, Journalism or Communications role;

d) Demonstrate work experience in media relations and a track record in securing media coverage;

e) Good mastery of English and Swahili (both verbal and written).

7. Internal Auditor

Reporting directly to the NPC, the Internal Auditor will work closely with the project finance team at national and county levels to ensure effective procurement and financial management of the project.

Responsibilities

a) Monitor the project financial management, disbursement and procurement policies and procedures and advise accordingly;


b) Determine internal audit scope and develop internal audit annual plans;

c) Coordinate the work of internal audit staff in participating counties and other executing agencies;

d) Obtain, analyze and evaluate accounting documentation, previous reports, data, flowcharts etc.;

e) Prepare and present reports that reflect audit results and document process;

f) Act as an objective source of independent advice to ensure validity, legality and goal achievement;

g) Identify loopholes and recommend risk aversion measures and cost savings;

h) Maintain open communication with management and audit committee;

i) Document process and prepare audit findings memorandum;

j) Conduct follow up audits to monitor management’s interventions;

k) Engage to continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards;


a) Bachelor’s degree in Accounting or Finance, Business Administration or related field from a recognized university;

b) Professional qualification in Accountancy (CPA II);

c) At least 5 years of auditing experience. Auditing work in public accounts or donor funded projects will be an added advantage;

d) Demonstrated computer skills with good knowledge of Accounting software applications;

e) Knowledge of auditing standards and procedures, laws, rules and regulations;

f) Excellent communication and report writing skills;

g) Excellent interpersonal skills and ability to relate well with a multiplicity of stakeholder; and



h) Fluency in English and Kiswahili.

8. Environmental and Social Safeguards Compliance Officer

Reporting to the NPC, the Environmental and Social Safeguards Compliance Officer will be responsible for ensuring that all KCSAP activities are implemented in accordance to the Environmental and Social Safeguard Frameworks laid out for the project.

Responsibilities

a) Provide technical advice to project staff, participating counties and other implementing partners on issues of environmental and social safeguards, natural resources management and environmental sustainability;

b) Develop public education and awareness materials on environmental and social safeguards;

c) Coordinate capacity building activities on environmental and social safeguards at county level;

d) Review and update screening checklists, proposal formats and reporting systems in relation to safeguards, natural resources and environment management where necessary to improve the project implementation process in consultation with the relevant stakeholders;

e) Ensure compliance of project interventions with the requirements set out in the safeguard documents (ESMF, VMG, RPF) specific to KCSAP;

f) Prepare and submit quarterly and annual reports on environmental and social safeguards to the NPC in consultation with the implementing partners;

g) Undertake any other duties assigned by the NPC.


a) At least a master’s degree in Agricultural, Environmental Studies or any other related course from a recognized;

b) Accredited EIA expert;

c) 5 years’ experience working in a world bank or UN organization funded project;

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d) Must have served as environmental and social safeguards compliance officer at national level;

e) Knowledge in multi-sectoral community or agricultural development projects or related field;

f) Have excellent analytical and administrative skills as well as solid writing and communication abilities;

g) Demonstrated interpersonal skills and ability to work in a team environment;

h) Experience in managing world bank projects will be an added advantage; and

i) Fluency in English and Kiswahili.

9. Coordinator - Component 1: Up-scaling Climate Smart Agricultural Practices

The Component Coordinator will report to the National Project Coordinator and will be a member of the management team of the NPCU.

Responsibilities

a) Provide technical advice to the NPCU and CPCU on Up-scaling Climate Smart Agricultural Practices;

b) Play an oversight role in the implementation of the Up scaling Climate Smart Agricultural Practices and all extension policy related issues in the 24 project counties;

c) Collaborate with KALRO and other NARIs on the preparation and publication of prioritized CSA TIMPs as extension materials for the 24 counties;

d) Give guidance to the County advisory service providers on the implementation of prioritized TIMPs;

e) Assist in developing tools for monitoring extension activities and oversee monitoring and evaluation activities for CDD;

f) Take lead in planning and preparation of AWPBs for CDD activities at both national and county levels;


g) Take a lead in the roll out of the Project Community Grants Manual and its subsequent implementation among participating counties and communities;

h) Ensure adequate synergies and coordination of Component 1 activities with those in Components 2 and 3 of the project, in collaboration with the NPSC/NTAC and CPSC/CTAC;

i) Advise in the formation, training and operation of Service Providers (SPs) in the CDD activities;

j) Support the NPC in overall management and coordination of the project; and

k) Advise CPCUs on the development of contracts and MoUs for Project CDD activities;

l) Develop TORs for short term consultancies within CDD in consultation with relevant stakeholders;

m) Advise the NPCU and CPCUs in the identification, development and implementation of community micro projects;

n) Ensure timely prepare technical and any other relevant reports;

o) Support the NPC in overall management and coordination of the project; and

p) Perform any other duties assigned by the National Project Coordinator.


This is a senior management position requiring a results-oriented professional committed to bottom-up, community-driven approaches for empowering communities to realize their development goals. The right candidate will be a good team player with the following qualifications:

a) At least a master’s degree in Agricultural, climate change, environmental sciences or any other related field;

b) Al least 5 years hands-on experience in community-driven development (CDD) of Agriculture and rural development projects in Kenya or other similar countries. Solid knowledge of Participatory Integrated Community Development (PICD) process will be an added advantage;


c) Good understanding of national agricultural policies, strategies and regulatory framework for the various inputs and commodities in Kenya;

d) Proven capacity for relevant intellectual and operational leadership in development work, particularly for community-based development;

e) Ready for flexible working hours and extensive work load as well as frequent domestic travel to support the CPCUs embedded in the county governments;

f) Strong computer and communications skills (oral, written, presentation) with proficient working knowledge of MS Office, MS Project and other relevant software for technical analysis and reporting;

g) Strong interpersonal skills with evidence of ability to productively interact with a wide range and levels of organizations (Government, private sector, NGOs, and research institutions);

h) Fluency in written and oral English and Kiswahili.

10. Coordinator Component 2: Agricultural Research and Seed Systems

The Research Component Coordinator will report to the National Project Coordinator and will be a member of the management team of the NPCU.

Responsibilities

a) Coordinate the prioritization and formulation of research agenda; and subsequently; the development of collaborative research project proposals for support;

b) Coordinate the preparations of research work plans and budgets;

c) Assist NPCU the interpretation and application of the Project Implementation Manual (PIM) and the Research Grant Manual (RGM);

d) Coordinate the technical implementation of the project’s research activities;

e) Assist in coordination and undertaking of the monitoring and evaluation of the implementation status of the research activities;

f) Provide technical guidance to the research teams and collaborative research advisory



body on developing of CSA TIMPs;

g) Provide technical guidance to the seed sub-sector on building competitive and sustainable seed systems;

h) Work closely with STAK and CBOs on enhancing private commercial seed sub-sector and developing community based seed production system;

i) Ensure the establishment of agricultural research databases incorporating lessons learnt from the baseline studies and inventory of the CSA TIMPs with the NARS;

j) Facilitate the preparation of research materials on CSA TIMPs for publication;

k) Provide technical backstopping in the implementation of the research activities

l) Coordinate review of the research policy;

m) Ensure timely prepare technical and any other relevant reports;

n) Undertake any other duties assigned by the Coordinator.

Required Qualifications

a) At least a doctoral degree in agricultural/environmental sciences or related field;

b) At least 10 years’ experience and expertise in research administration and management of research projects/programmes;

c) Self-motivated and have good interpersonal skills;

d) A good communicator and presenter both orally and in writing;

e) Considerable knowledge in the use of computers (PCs).

11. Coordinator – Component 3: Agro-weather, Markets and Climate Advisory Services

The Agro-weather, Market, Climate and Advisory Services Coordinator will report to the National Project Coordinator and will perform the following duties:

Responsibilities

a) Technical coordination of Agro-weather, Market, Climate and Advisory Services

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activities and evaluation of implementation status;

b) Provide management oversight and technical direction to the Agro-weather, Market;

c) Climate and Advisory Services activities of the project including development of an integrated agro-weather and market information system;

d) Take lead in planning and preparation of AWPBs for CDD activities at both national and county levels;

e) Provides leadership in developing and maintaining a programme for monitoring and feedback system to track Agro-weather, Market, Climate and Advisory Services activities implementation;

f) Serves as the Agro-weather, Market, Climate and Advisory Services liaison to the concerned ministries, implementing agencies, and the private sector and maintain effective working relationships at the policy and operational level;

g) Prepare reports for meetings, quarterly progress reports, and other documentation;

h) Maintain funding control and records of obligations and disbursements and help ensure that Agro-weather, Market, Climate and Advisory Services activities of the project and activities are adequately funded according to agreed work plans and budgets;

i) Coordinate technical and Institutional capacity building related to climate change for the national and county governments;

j) Design, negotiate, formulate, implement, monitor, and evaluate Agro-weather, Market, Climate and Advisory Services activities implemented under the project;

k) In collaboration with other project team members, provide leadership to develop and maintain a program monitoring and feedback system to track Agro-weather, Market, Climate and Advisory Services activities implementation;

l) Serve as the Agro-weather, Market, Climate and Advisory Services liaison to the concerned ministries, implementing agencies, and the private sector and maintain effective working relationships at the policy and operational level;

m) Develop MOU and other partnership tools with identified institutions and service providers;


n) Undertake any other duties as assigned by the National Project Coordinator.


a) At least a Master’s Degree in Agricultural Economics, Agricultural sciences, Agribusiness, Agro climatologist or a related field;

b) A minimum of 5 experience in a responsible position in areas of agricultural and agribusiness policy, economics, or project management;

c) Strong analytical skills including experience in data analysis and interpretation, presentation of findings in written and oral form;

d) Considerable knowledge in the use of computers (PCs) and the use of software programs;

e) Comprehensive knowledge of meteorological and agricultural trade policies;

f) Skills in project management, including ability: to render advice with detachment and objectivity; to give and receive feedback in a constructive, positive manner; and work with teams;

g) Strong computer and communications skills (oral, written, presentation) with proficient working knowledge of MS Office, MS Project and other relevant software for technical analysis and reporting;

h) Strong interpersonal skills with evidence of ability to productively interact with a wide range and levels of organizations (Government, private sector, NGOs, and research institutions);


12. Human Resources and Administration Officer

Reporting to the NPC, the Human Resources and Administration Officer will be responsible for supporting the NPC in effective human resource management and administration of project offices at national and county levels.

Responsibilities

a) Take a lead in preparation of project personnel and administration manual and subsequent


awareness creation among project staff to ensure adherence;

b) Coordinate and advise on the function of Human Resources and Administration in the Project;

c) Develop and implement Human Resource Management and Development strategies;

d) Develop, disseminate and periodically update HR and administrative policies and procedures in line with the Human Resource Management and Development policies and guidelines;

e) Ensure compliance with the Statutory Requirements in Payroll Administration and Legal Notices issued;

f) Maintain accurate and up-to-date staff records;

g) Formulate and implement capacity development plans and programmes for the Project;

h) Coordinate and manage all administrative duties as well as providing logistical support to all staff in collaboration with other members of the Project Coordination Unit;

i) Supervise support staff of the NPCU;

j) Ensure that the Project has an adequate and well equipped human resource base and conducive working environment at NPCU;

k) Coordinating staff contracts;

l) Deal with disciplinary cases concerning NPCU staff in consultation with the National Project Coordinator;

m) Carry out any other tasks assigned by the NPC.


(a) Bachelor’s degree in Business Administration, Public Administration, or other social sciences plus professional qualification in human resource management;

(b) A minimum of 8 years working experience in Administration and Human Resource Management;

(c) Knowledge of GOK personnel procedures and policies;



(d) Possess good interpersonal skills and ability to foster teamwork;

(e) Fluency in English and Kiswahili.

13. Gender Specialist

The Gender Specialist will report to the National Project Coordinator.

Responsibilities

a) Analyze project documents and existing data and information on project components and activities;

b) Attend project meetings and/or activities with farmers and other stakeholders;

c) Construct case studies, as required, of interactions between farming and other activities within households;

d) Hold discussions with men and women farmers on their farms and in household compounds, women’s groups, community leaders, and selected adults;

e) Conduct interviews with men and women Service Providers, agricultural and social researchers at research institutes and universities at all levels;

f) Build networks with NGOs and other community development institutions and agencies working in rural areas and providing different rural services such as credit, inputs, and marketing;

g) Identify major farming systems in the project area and design strategies and potential interventions to enhance the role played by men and women;

h) Assess the ability of agricultural support services to meet the needs of men and women farmers;

i) Identify innovative approaches being used in organizing delivery systems, the relevance of messages, staff training, and input supply;

j) Identify and document the major agricultural activities of men and women, with reference to field crops, livestock, farm forestry, processing, marketing, storage, and income-generating activities;

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k) Identify constraints and barriers faced by men and women in carrying out their activities

l) Ascertain the extent to which available technology and agricultural research responds to the needs of men and women farmers;

m) Design tools and mechanisms to ensure that agricultural services meet the needs of men and women farmers, including the focus of extension for women as farm managers or partners;

n) Develop mechanisms to tackle technical, logistical, and attitudinal constraints facing the service providers in supporting men and women farmers;

o) Identify the nature and extent of training needed by men and women agricultural researchers, extension agents (or other rural agents) to improve their support for farmers, especially women farmers;

p) Identify training needs for men and women farmers, Common interest Groups, Farmer for a;

q) Develop the relevant training materials for farmers, Common interest Groups, Farmer fora, producer Organizations, researchers, extension agents and other relevant service providers;

r) Prepare reports and work-plans for project activities;

s) Undertake any other duties as may be assigned by the National Project Coordinator.


a) Master level degree in a relevant field and expertise in women’s rights and gender;

b) Possess analytical skills in gender inequalities in access to resources and benefits;

c) Clear understanding of gender issues;

d) 5 years’ working experience in managing gender related matters in agricultural sector

e) Substantial understanding of, and commitment to, gender equity;

f) Knowledge of legislation and experience of human rights and gender awareness raising training;


g) Working experience in project planning, monitoring, evaluation and reporting;

h) Skilled computer literacy in Microsoft office programs, including data processing skills;

i) Understanding of gender/youth/VMG dynamics and complexities in Kenya;

j) Understanding of Programme challenges and opportunities;

k) Strong presentation and communication skills (both written and oral).

14. Information Communication Technology (ICT) Officer

The ICT Officer will report to the National Project Coordinator

Responsibilities:

a) Provide support services related to office applications, computer operations,

Email/Internet/Intranet/social media, VoIP System, special software set up, training and troubleshooting for all the computer users within the Project Coordination Unit and the County offices;

b) Provide technical support for all offices and users within the Network of the project, troubleshooting problems as they arise and designing long term solutions;

c) Provide support to the implementation of the Integrated Market Information System for the sector, including servers’ configuration, deployment, administration and training of staff at the Project Coordination Unit and county level;

d) Report to the Project Coordinator any client needs including hardware, software, backup, anti-virus, cabling, switches, UPS, IP Phones, servers, desktops, scanners, laptops, routers, firewall, modems, printers and spare parts;

e) Provide mentoring and technical assistance for the county IT staff on systems, equipment, administration, installation, maintenance and upgrading;

f) Responsible for maintenance and administration of the LAN hardware, software and peripherals; including IT infrastructure, website operations, email, etc.;

g) Enhance the existing support procedures, providing manuals, documentation of best


practices, configurations, support and troubleshooting of network, software and hardware used by the project;

h) Produce documentations and diagrams of new network and systems installations.

i) Manage the asset inventory with documentation and updates for new acquisitions, and discarded equipment;

j) Provide training and transfer knowledge of support, systems and network administration to county offices IT staff in: Software installation, maintenance and upgrading (servers and workstations), including the compilation of IT Standards & Procedures Guideline for all sites within the Project;

k) Hardware installation, maintenance and upgrading (servers and workstations), including physical installation of equipment, configuration and testing;

l) Recommend suitable IT solutions for system expansion, specifying equipment and software and defining administration procedures;

m) Routine network and servers’ administration, maintenance and troubleshooting, systems documentation, database supervision, server backup, maintenance and updating of anti-virus protection software;

n) Offer advice on IT related issues as required.

Required Qualifications:

(a) Master Degree in Computer Science, Information Technology, or any IT related field and at least 2 years of relevant work experience in a busy environment or a bachelor degree in computer Science or Information technology with at least 5 years of relevant work experience in a busy environment;

(b) Professional Certification (e.g. MCITP, MCP, MCSA, CCNA, CISA etc.);

(c) Working knowledge of routers, switches hubs, structured network cabling, good understanding of Transmission Control Protocol /Internet Protocol (TCP/IP) and stack of protocols;

(d) In depth knowledge of DNS, DHCP, WINS configuration;



(e) Good working knowledge in Microsoft Windows environment, installation and management of MDaemon and Internet Security;

(f) Good knowledge of servers’ hardware, workstations, printers and other Peripherals;

(g) Ability to meet deadlines, cope with constant work pressure and adapt to changes in technology.

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ANNEX 1D. COMPOSITION AND TERMS OF REFERENCE FOR COUNTY PROJECT STEERING COMMITTEE

The project implementation and oversight structures at county level will include County Project Steering Committee (CPSC), County Project Coordination Unit (CPCU), and County Technical Committee (CTC).

1. County Project Steering Committee (CPSC)

The CPSC will comprise of chief officers from relevant county ministries, KMD; and representatives from the relevant public body organizations. The CPSC will provide project implementation oversight in the respective counties and will be responsible for approving the project’s AWP&BS at county level, as well as ward and community project proposals. They will also ensure that project activities are incorporated in the County Annual Plans (CAPs) and County Integrated Development Plans (CIDP).

Composition of the committee

The CPSC will comprise of the following:

a) Chief Executive Committee member for the Agricultural Sector– Chair;

b) Chief officers of the relevant county ministries;

c) County Director of Agriculture

d) County Director of Livestock

e) NEMA Officer;

f) Representatives from the private sector, and civil society;

g) County Project Coordinator – Secretary.

Specific Terms of Reference:

a) Provide project implementation oversight in the respective county;

b) Steer the Up-scaling of Climate Smart Agriculture Practices Component in the respective county;


c) Approve annual work plans and budgets at the county level as well as ward and community micro-project proposals;

d) Ensure that project activities are incorporated in the respective County Integrated Development Plans (CIDPs);

e) Approve component 1 specific assignment TORs as necessary;

f) Monitoring progress and provide guidance in the implementation of component 1;

g) Ensure close integration of research, extension, agro-weather tools and market information;

h) Identify linkages and recommend interfacing with other on-going projects/programmes;

i) Undertake quality assurance of service delivery;

j) Review and synthesize Component 1 specific progress reports;

k) Ensure effective and efficient use of the project resources.


ANNEX 1E: COMPOSITION AND TERMS OF REFERENCE FOR COUNTY TECHNICAL ADVISORY COMMITTEE

The County Technical Advisory Committee (CTAC) will be responsible for providing technical support to overall project implementation, approval of county level investments; coordination and selection of implementation wards. The chair for this committee will be appointed by the CEC/CEO and it will be responsible for constituting the sub-county technical teams (SCTT). The number of members of CTAC attending each meeting will depend on the agenda or technical advice sought by the County Project Coordination Unit (CPCU).

Composition

(i) Director Agricultural Sector Department - Chair

(ii) Director of Agriculture,

(iii) Director Livestock,

(iv) Director of Fisheries,

(v) NEMA officer,

(vi) Director of Water/Irrigation,

(vii) Commissioner of Co-operatives,

(viii) Social Services representative

(ix) Centre Director of KALRO

(x) Director Kenya Forest Service

(xi) Director Kenya Wild Life Service

(xii) Chair of Chamber of Commerce

(xiii) KENAFF representative

(xiv) Director of Meteorology KMD

(xv) Representatives of other Agricultural Sector projects in the County

(xvi) CPCU Coordinator – Secretary



Specific Terms of Reference

l) Spearhead the CSA planning and prioritization at the county and ward level

m) Carry out detailed review of project annual work plans and budgets, and make recommendations to the CPSC for approval;

n) Monitoring of the implementation progress through review and approval of quarterly progress and financial reports, and participation of periodic project implementation support missions

o) Reviewing and approve CSA sub projects proposals

p) Consider and provide technical guidance on technical matters which may be referred to the committee by the CPCU or NPSC for advice

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ANNEX 1F. COMPOSITION AND TERMS OF REFERENCE FOR COUNTY PROJECT COORDINATION UNIT

The County Project Coordinating Unit (CPCU) staff include the following officers; County project Coordinator, Statistics officer, M&E officer, Project Accountant, Procurement officer, Internal Auditor and Research-Extension liaison officer The CPCU Coordinator will report to the KCSAP National Coordinator. He/she will be in charge of coordinating all project activities in the county. Specifically he/she will have the following responsibilities;

a) Coordination of all project activities in the county including annual work-planning and budgeting;

b) Management of project staff in the CPCU;

c) All procurements, accounting and financial activities in the county in accordance with the financial and procurement regulations;

d) Liaison and collaboration with all actors involved in the implementation of the project activities (including relevant ministries’ staff and farmers/clients organizations);

e) Reviewing proposals from farmer groups (micro-projects) and sub-projects and submit them to the CPSC for approval and funding;

f) Monitoring and evaluation project activities throughout the project period;

g) Preparation of progress reports on project activities particularly on farmer groups and sub-projects and submit to relevant coordinating institutions;

h) Preparation of financial and procurement reports and submit them to the relevant coordinating institutions;

i) Facilitation of internal and external audit activities;

j) Facilitation of internal and external monitoring and evaluation activities;

k) Facilitation of capacity building and training activities including planning with stakeholders, curriculum development and implementation;

l) Public relations for the project activities in the county.



a) Bachelors degree, from an accredited university, in agricultural sciences or agricultural extension, environmental studies or agricultural economics;

b) 5 years’ experience in a participatory approaches to community development projects involving agricultural research and extension;

c) Proven experience and expertise in project management and coordination;

d) A clear understanding of GOK operations;

e) Ability to meet deadlines, cope with constant work pressure and adapt to changes in technology;

m) Strong computer and communications skills (oral, written, presentation) with proficient working knowledge of MS Office, MS Project and other relevant software for technical analysis and reporting.

n) Fluency in English and Kiswahili.

1. Agricultural Statistics Officer

The Agricultural Statistics officer will report to the County Project Coordinator and will provide support in the implementation of the project in the county.

Responsibilities:

a) Provide technical support to the project on crop and livestock production statistics and market price statistic by designing, implementing and analyzing of survey data;

b) Design and implement training and other capacity building activities in agricultural data collection;

c) Coordinate all agricultural statistics data collection, analysis and related activities with the relevant government departments and other agencies dealing with agricultural statistics analysis issues including rainfall data; Review, update or/and design data collection tools in the area of Agriculture statistics in accordance with the international standards;

d) Produce training materials and user’s manual including training of farmer groups in the


use of the data collection tools designed;

e) Work closely with the Ministry of Agriculture staff in charge of agricultural statistics;

f) Provide regular updates to the CPCU and SP consortiums on progress, priorities and constraints, verbally and in writing on an agreed frequency and assure the preparation of required report;

g) Undertake any other duties as may be assigned by the CPC.

Required qualification

a) A Bachelor’s degree in Statistics, Agricultural Statistics, Agricultural Economics or in a related technical discipline;

b) 3 years of relevant experience in crop and livestock production estimation and analysis, crop forecasting, price statistics;

c) Extensive experience with statistical software such as SPSS, EViews, CSPro, SAS, Strata.

3. County M&E Officer

The County M&E Officer will report to the County Project Coordinator and will be responsible for monitoring and evaluation of project activities at the county level.

Responsibilities

a) Develop and help establish a system of routine records and periodic monitoring reports at County, ward and community level;

b) Support the CPCU in applying M& E guidelines, tools and in preparing monthly activity reports, quarterly and annual reports;

c) Ensure that the results address project performance indicators;

d) Assist County Project Coordinator in analysing monthly, quarterly and annual reports;

e) Undertake regular field visits and prepare feedback reports with conclusion and recommendations;

f) Maintain a digital archiving system of all data and information related to M&E;



g) Any other duties as may be assigned by the County Project Coordinator.


Be in possession of a Bachelor’s Degree in an agricultural related field or equivalent training. A minimum of 5 years hands–on experience in monitoring and evaluation as well as field experience in agriculture. Proven abilities in documentation and demonstrated capacity to develop and oversee implementation, monitoring and evaluation of plans. Sound IT knowledge: word processing and excel.

4. County Finance Assistant/Project Accountant

Reporting to the County Project Coordinator and will be responsible for managing project finances including verifying the availability of funds against the approved plans and budgets and all expenditure requests before payments are made.

Responsibilities

a) In consultation with the Head of the Accounting unit at the relevant Ministry and the CPCU, oversee the proper maintenance of the project finance and accounts system in accordance with the PFM and financial regulations and procedures of the National Treasury

b) Contribute in the planning and preparation of annual budget and work plans as well as monitoring of the budgeted expenses at the County level;

c) Ensure that project annual work plans are budgeted and included in the County Ministry of Agriculture budget before submission to the Ministry of Agriculture Livestock and Fisheries ;

d) Preparation of programme accounts;

e) Preparation and submission of periodic financial reports;

f) Verification of supplier’s invoices for payment, including service providers’ requests for funds, and timely implementation of payment procedures;

g) Timely posting of all project accounting vouchers on the accounting software;

h) Exercise proper custody of all posted vouchers and other accounting documents;

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i) Preparation of withdrawal applications;

j) Replenishment of operational account with project bank account.

k) Facilitate financial audits and implementation support missions;

l) Advice to management on accounting and administration matters;

m) Any other duty assigned by the CPC.


The right candidate will be a team player and will have the following qualifications:

k) Bachelor’s degree in Accounting, Finance, Business Administration or Economics or related field from a recognized university plus professional accounting qualification (CPA-II);

l) 5 years working experience Accounting and Finance

m) Familiarity with financial management/accounting in a government ministry/department

n) Knowledge of computerized accounting systems

o) Good working knowledge of accounting, financial control, banking, procurement and personnel policies and procedures;

p) Strong computer and communications skills (oral, written, presentation) with proficient working knowledge of MS Office, MS Project, Accounting and other relevant software for technical analysis and reporting;

q) Fluency in written and oral English and Kiswahili.

5. County Procurement Assistant

The County Procurement Assistant will report to the County Project Coordinator.

Responsibilities

a) Give guidance to procurement of project works, goods and services at county level

b) Ensuring proper use and conservation of project assets;

c) Preparation of annual county project procurement plans in collaboration with other


members of the CPCU, participating wards and submitting same to NPCU for incorporation in the national project procurement plan

d) Guide the CPCU in the preparation and advertisement of EOI for contracted extension service delivery, TORs, tender and contract documents for specific procurements according to GOK and World Bank guidelines;

e) Capacity build Farmer Leader structures on procurement according to GOK guidelines and work closely with them on procurement matters

f) Participate in relevant tender committee meetings at the County level and assist with the preparation of committee reports;

g) Maintain high quality procurement files and contract registers for review by supervision missions and auditors;

h) Prepare regular financial and procurement progress reports;

i) Undertake any other duty assigned by the coordinator


a) Diploma in Supply Chain Management, Purchasing and Supplies Management, Public Administration, Law, Accounting or any other related field from a recognized university plus professional qualification in Procurement/Supplies Management;

b) 3 years’ experience with procurement of civil works, goods and services for GOK/donor funded projects;

c) Comprehensive knowledge of Public Procurement Regulations;

d) Strong computer and communications skills (oral, written, presentational);

e) Fluency in English and Kiswahili.

6. County Internal Auditor

The County Internal Auditor will report directly to the County Project Coordinator and work closely with the project finance team at the county level to ensure effective procurement and financial management of the project.


Responsibilities:

a) Monitor the project financial management, disbursement and procurement policies and procedures and advise accordingly;

b) Determine internal audit scope and develop internal audit annual plans;

c) Obtain, analyze and evaluate accounting documentation, previous reports, data, flowcharts etc.;

d) Prepare and present reports that reflect audit results and document process;

e) Act as an objective source of independent advice to ensure validity, legality and goal achievement;

f) Identify loopholes and recommend risk aversion measures and cost savings;

g) Maintain open communication with management and audit committee;

h) Document process and prepare audit findings memorandum;

i) Conduct follow up audits to monitor management’s interventions;

j) Engage to continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards;


a) Bachelor’s degree in Accounting or Finance, Business Administration or related field from a recognized university;

b) Professional qualification in Accountancy (CPA II);

c) At least 3 years of auditing experience. Auditing work in public accounts or donor funded projects will be an added advantage;

d) Demonstrated computer skills with good knowledge of Accounting software applications;

e) Knowledge of auditing standards and procedures, laws, rules and regulations;

f) Excellent communication and report writing skills;

g) Excellent interpersonal skills and ability to relate well with a multiplicity of stakeholder; and

h) Fluency in English and Kiswahili.



7. Research-Extension Liaison Officer

The Research-Extension Liaison Officer will report to the County Project Coordinator and will be the liaison between KALRO and other NARIs and project extension services including private extension service providers.

Responsibilities

a) Act as a link between KALRO ,CPCU, advisory service provider consortiums, farmer groups and other stakeholders

b) Prepare annual work plan and budget for linkages

c) Work closely with advisory service provider consortiums, farmer groups to identify research gaps for transmission to KALRO for further research

d) In collaboration with KALRO/other NARRIs and prepare a data base of county specific validated TIMPs on climate smart agriculture technologies for use by advisory service provider consortiums and target beneficiary communities

e) Work closely with KALRO / other NARIs to create awareness among service provider consortiums and target beneficiaries on new TIMPs

f) Work closely with KALRO, CPCU and advisory service provider consortiums to disseminate relevant TIMPs to target beneficiaries

g) Suggest policy measures required for effective linkages between research extension services delivery.


a) A Master’s degree from an accredited university, in agriculture, agricultural extension or livestock production

b) At least 5 years in agricultural research and extension

h) Strong computer and communications skills (oral, written, presentational) and ability to relate well with a multiplicity of stakeholder; and

i) Fluency in English and Kiswahili.

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ANNEX 1G: COMPOSITION AND TERMS OF REFERENCE FOR COMMUNITY IMPLEMENTATION STRUCTURES

1. Community Driven Development Committee (CDDC)

The Community Driven Development Committee (CDDC) will be one of the outputs of the PICD process. Three community leaders from each zone will be nominated by sub-CTDs to spearhead and constitute an interim CDDC. Eventually the interim CDDC together with the CIG, VMG and POs will democratically elect 13 members drawn from the CIG/VMG and PO leadership out of which at least 4 will be women to form the substantive CDDC. The CDDC will be managed by a democratically elected Executive Committee of five people comprised of a Chairperson, Secretary, Treasurer and 2 committee members. The CDDC will be duly registered with a relevant GoK authority e.g. Social Services Department and will operate a functional Bank Account. It will work through the following sub-committee; micro-project management, procurement, finance and Social Audit and Integrity (SAIC) sub-committees. The sub-committee members will be elected by the beneficiary communities and will each be comprised of five members except for the finance sub-committee which will have three members. Sub-County Officers, all GoK frontline Staff, Chiefs and MCAs will only serve as ex-officio members, and will not be elected as office bearers of the CDDC.

Responsibilities of the CDDC will be as follows:

(i) Coordination of planning and design of community micro-projects;

(ii) Screening/prioritization of micro-project proposals;

(iii) Oversee implementation of micro-projects;

(iv) Liaison between the community and the CPCU and CTAC;

(v) Procurement and financial management;

(vi) Oversight of operations and maintenance;

(vii) Participatory monitoring, evaluation and reporting to stakeholders at the community level as well as the CPCU;

(viii) Continuous mobilization of community members into CIGs, VMGs and POs;

(ix) Conflict resolution and management at CIG, VMG and PO levels;

(x) Spearheading development of their respective VCs and micro-projects;


(xi) Works closely with the CPCU

(xii) Ensure that names of the members of its sub-committee are posted publicly in the community, submitted to the CPCU, and posted on the project website.

Election Criteria for the CDDC members:

The following attributes will be considered by CIGs/VMGs/POs when electing CDDC members:

(i) Must have participated in the entire PICD process and understands the CIAP for his/her community;

(ii) Must be someone trusted and respected in the community ;

(iii) Be someone identified with successful activities, projects or campaigns in their community in past;

(iv) In a position of “positive” influence within the community;

(v) Be able to mobilize resources from their communities for their intervention;

(vi) Be willing to volunteer and commit their time to the project without expecting to be paid any money/allowances;

(vii) Willing to be trained at any time to build his/her capacity to implement CDD activities;

(viii) Able to communicate in the vernacular and one other language – Kiswahili or English;

(ix) Have community mobilization skills.

Community members will avoid electing the following people into the CDDC:

(i) Former elected politicians, especially MCAs who have been found to be biased during the implementation of CDD activities.

(ii) Active volunteers in other programmes/projects by other development partners as they will have little time for CDDC activities

(iii) Those in formal/active employment

(iv) People involved in past fraud in any community project or venture

Immediately after formation, the CDDC will:

(i) Formulate a constitution in line with the value chain /micro-project and register with


the department of social services;

(ii) Open a ward community micro-project Bank Account with a reputable commercial bank;

(iv) Transfer grant funds from the CPCU to the CDDC Account. This transfer will be done once the set compliance requirements are met.

The CDDC will meet at least four times per year.

CDDC Sub-Committees:

The beneficiary communities will constitute the following sub-committees of the CDDC which will be in- charge of specific tasks. The sub-committees will be answerable to the CDDC through their chairs.

(i) Micro-project Management Committee;

(ii) Procurement sub-committee;

(iii) Finance sub-committee,

(iv) Social Audit and Integrity Committee (SAIC),

Each and every sub-committee will be comprised of 5 members of which at least one should be a member of the CDDC, except for the Social Audit and Integrity sub-Committee. The process of electing the sub-committee members will be gender sensitive and will give equal opportunity to both men and women irrespective of their socio-cultural background or ethnicity. Sub-committee members will be well-respected members of the community, honest and willing to undertake their responsibility and will not be related to the chairperson, secretary or treasurer of the CDDC. In communities where these sub-committees are existing, they will simply be taken up by the CDDCs as the micro-project implementers instead of creating new ones. The sub-committees will be facilitated in their roles by the CDDC.

(a) Micro-Project Management Committee (mPMC)

The mPMC will be responsible for the daily management of the micro-projects and liaise with the CDDC.

Responsibilities for the mPMC will be as follows:

(i) Carry out micro-project implementation



(ii) Raise requisitions for the supplies needed in carrying out micro-project implementation;

(iii) Receipt and control of procured goods/services from the procurement sub-committee

(iv) Micro-project supervision and management of supplies

(b) Procurement Sub-Committee (PSC)

The Procurement sub-Committee will consist of 5 members. The Chair of the sub-committee will be a member of the CDDC. At least one third of the members shall be women. Two thirds of the total membership will constitute a forum for business to be conducted. A representative of the mPMC for which the procurement is to be done will be present for business to be conducted.

Responsibility for the Procurement sub-Committee (PSC) will be as follows:

(i) Assist the CDDC in the procurement of materials, goods and services for micro-projects as per their procurement plan;

(ii) Prepare plans so as to guide procurement activities within the context of the work-plan;

(iii) Carry out procurement in line with the principles of value for money, efficiency, equal opportunity, and transparency;

(iv) Ensure that all the procured goods, supplies and works will be handed over to the micro-project Management Committee (mPMC) for micro-project implementation;

(v) Keep all the procurement related records;

(vi) Follow up on the guarantees or complaints etc. on the procured items;

(vii) Report the details of procurement to CDDC;

(viii) Enter all the items procured in the stock register;

Specifications for goods and services to be procured will be provided by the CTD in collaboration with service providers and approved by the CTAC

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(c) Finance Sub-Committee

The executive committee of the CDDC (Chair, Secretary and Treasurer) will perform the role of finance sub-committee. Responsibilities for Finance sub-Committee will be as follows:

i. Prepare all books of accounts including the cash book, community contribution book and budget control summaries;

ii. Keep all financial records including payment vouchers, bank statement and reports, receipt books;

iii. Make payments with CDDC approval;

iv. Report all financial transactions to the CDDC;

v. Prepare financial progress reports;

vi. Display all financial information on the display board;

vii. Provide all accounts and records to the Social Audit and Integrity sub-committee for auditing;

The Finance sub-Committee members will be trained on financial management

(d) Social Accountability and Integrity Sub-Committee (SAIC)

The Social Audit and Integrity sub-Committee will be responsible for social audit of activities in the community. Members of the committee will be persons known for their integrity, honesty and commitment to community development; not members of any other committee in the community, not close relatives of CDDC or other community sub-committee members.

Responsibilities for the SAIC will be as follows:

(i) Ensure that the CDDC and community sub-committees constantly follow the agreed upon guidelines, rules and procedures in all their operations;

(ii) Verify the quality and quantity of the items procured by procurement sub-committee;

(iii) Verify CDDC books of account and procurement records;

(iv) Report any financial and procurement irregularities with suggestions for corrections to the CDDC;

(v) Recommend applications for each tranche of micro-project grants after verifying the status of completed project activities;


(vi) Collect more information about complaints, conflicts and other issues when called upon by the CDDC or the KCSAP project;

(vii) Present their reports on the operations of the CDDC and community sub-committees to the entire community;

(viii) Suggest ways of correcting the errors and deviations in the functioning of the community committees;

(ix) Participate in monitoring the progress of project interventions.

2. Community Driven Development Organizations (CDDOs)

The CDDO will be comprised of elected officials (Chairpersons) from the ward CDDCs and representatives drawn from community development structures such as CBOs, WRUAs, SACCOs, SAICs and other key community organizations.

Roles and responsibilities for the CDDO will be as follows;

(i) Represent beneficiaries interests at sub-county and county levels;

(ii) Signing MoUs with the county government on behalf of the community

(iii) Participatory monitoring, evaluation and reporting to stakeholders at the community level as well as the CPCU;

Participatory monitoring, evaluation and reporting to stakeholders at the community level as well as the CPCU;

The CDDO will meet at least four times per year.


ANNEX 2: PARTICIPATION AGREEMENT BETWEEN NATIONAL AND COUNTY GOVERNMENT

REPUBLIC OF KENYA

INTERGOVERNMENTAL PARTICIPATION AGREEMENT

BETWEEN

THE NATIONAL GOVERNMENT OF THE REPUBLIC OF KENYA

AND

THE COUNTY GOVERNMENT OF ………………..…………………..

ON IMPLEMENTATION OF

KENYA CLIMATE SMART AGRICULTURE PROJECT (KCSAP)

DATED

___________ Day of ___________ 2017

[Insert logo of County Government]



This Agreement is made between the National Government of the Republic of Kenya acting through the Ministry of Agriculture, Livestock and Fisheries (MoALF), (hereinafter called “the National Government”) on the one part, and the County Government of____________ (hereinafter called “the County Government”), (the National Government and the County Government are hereinafter collectively referred to as “the Parties”).

WHEREAS

A. The Republic of Kenya (Recipient) has negotiated and signed a Financing Agreement with the International Development Association (IDA) (hereinafter called the World Bank) for the Kenya Climate Smart Agriculture Project (hereinafter called KCSAP or simply, the Project);

B. The Recipient has agreed with the World Bank that the Ministry of Agriculture, Livestock and Fisheries (MoALF), will be the lead implementing agency for KCSAP; and,

C. Participating county governments will be the executing agencies of KCSAP at county level;

NOW THEREFORE

In consideration of the commitments and agreements contained herein, the Parties agree as follows:

1. OBLIGATIONS OF THE NATIONAL GOVERNMENT

1.1 The National Government shall make available to the County Government, resources earmarked for implementation of KCSAP activities in ________________ County for the period covering fiscal year 2017-18 to 2021-22 to carry out eligible activities as per this Agreement, including all annexures thereto which form an integral part of this Agreement. The annexures are: -

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(a) The signed Financing Agreement between the National Treasury (NT) and the World Bank, marked as Annex 1 to this Agreement;

(b) The Project Implementation Manual (PIM), marked as Annex 2 to this Agreement; and

(c) The Project Appraisal Document (PAD) marked as Annex 3 to this Agreement.

1.2 The National Government shall provide to the County Government, the World Bank list of debarred firms and individuals, which the County Government will not engage with. The list may be found on the World Bank external website: http://www.worldbank.org/debarr.

1.3 The Accounting Officer, Principal Secretary, State Department of Agriculture, in consultation with the National Project Steering Committee (NPSC) and the World Bank may suspend or terminate the right of the County Government to use or benefit from the use of the proceeds of the Project resources upon failure by the County Government to perform its obligations under this Agreement and to comply with the minimum access conditions and minimum performance conditions or disbursement triggers specified in the PAD, and the PIM (including its Annexures such as the Procurement and Financial Management manuals).

1.4 The National Government shall make available to the County Government resources for project implementation in the county in accordance with agreed eligibility criteria and procedures as detailed in the PIM.

2. OBLIGATIONS OF THE COUNTY GOVERNMENT

2.1 In the first fiscal year of implementation, the County Government will become eligible for allocation of KCSAP resources upon compliance with the following minimum conditions: —

(a) Signing of Intergovernmental Participation Agreement;


(b) Opening a county Special Purpose Account with the Central Bank of Kenya, with Chief Officers Finance, and Agriculture being primary signatories;

(c) Establishing a County Project Steering Committee (CPSC) comprising members described in the PIM;

(d) Establishing a County Project Coordination Unit (CPCU) with the following minimum composition: County Project Coordinator, County Project Accountant, County Internal Auditor, and County Procurement Assistant; and

(e) Submitting an approved Annual Work Plan and Budget (AWP&B) for 18 months for activities to be supported under KCSAP in the county.

2.2 From the second fiscal year, in order to be eligible to participate, the County Government will be required to meet the following minimum set of conditions: —

(a) Fully staffing of the CPCU in accordance with staff composition outlined in the PIM;

(b) Establishing Community-Driven Development Committees (CDDCs) in all participating communities in accordance with the PIM;

(c) Including KCSAP activities in the county planning framework – the County Integrated Development Plans (CIDP) and the shorter term annual/bi-annual development plans; and

(d) Timely submitting the Project annual technical and financial reports for the previous year in accordance to procedures laid out in the PIM.

2.3 The County Government shall make arrangements to avail to Beneficiaries funds for sub-projects in accordance with eligibility criteria and procedures acceptable to the World Bank, and as detailed in the PIM. For this purpose, the County Government shall enter into Memorandum of Understanding (MoU) with eligible beneficiary communities (represented by duly constituted CDDCs) specifying the terms and conditions for community participation in the Project as laid out in the Financing Agreement and the PIM.

2.4 The County Government is expected to:

(a) Appraise, carry out, and verify its activities under the Project with due diligence and


efficiency and in accordance with the PIM, the Environmental and Social Management Framework (ESMF), the Resettlement Policy Framework (RPF), the Vulnerable and Marginalized Groups Framework (VMGF), and the “Guidelines on Preventing and Combatting Fraud and Corruption in Projects Financed by IBRD Loans and IDA Credits and Grants”, dated October 15, 2006 and revised in January 2011;

(b) Maintain policies and procedures adequate to enable the National Government and the World Bank to monitor the progress of its activities under the Project and the achievement of Project development objectives;

(c) Enable the National Government and the World Bank to inspect activities within the County Government’s jurisdiction, its operation and any relevant records and documents;

(d) Prepare and furnish to the National Government and the World Bank all such information as reasonably requested relating to the performance of the Project; and

(e) Exercise its rights and perform its obligations in implementation of the Project in such manner as to protect the interests of the National Government and the World Bank, and to accomplish the purposes of the Project.

2.5 The County Government shall ensure that expenditures under the Project shall not include salaries of civil servants (other than incentives or salaries for contracted Project staff).

2.6 The County Government shall use the Integrated Financial Management Information System (IFMIS) for all financial transactions.

2.7 The County Government shall carry out activities in accordance with this Agreement and the Financing Agreement, and use the funds within eligible expenditure areas and adhere to the Environmental and Social Safeguards as set out in the Financing Agreement, with due diligence and efficiency and in accordance with sound technical, economic, financial, and managerial practices.

2.8 The County Government shall maintain adequate records in accordance with sound accounting practices and proper coding of the revenues and expenditures of the operations, resources and expenditures in respect of the approved activities.

2.9 The goods, works and services to be financed from the proceeds of the Project shall be



procured in accordance with the World Bank and GoK’s procurement procedures. The County Government shall retain all documentation with respect to each contract executed for up to two years after the closing date of the Project.

2.10 The National Project Coordination Unit (NPCU) shall have the right to obtain all information as it or the World Bank shall reasonably request regarding the administration, operation, and financial management of resources provided to, and that the County Government shall report on the utilization of such resources.

2.11 The County Government shall ensure that all reporting, including financial and technical reports are compiled and submitted as per the guidelines in the PIM and ensure a proper compilation of complaints on issues of environmental and social safeguards, procurement, fraud and corruption.

2.12 The County Government shall provide the relevant information and documentation to the Office of Auditor General (OAG) and the Independent Integrated Fiduciary Review Agency (IIFRA) during audit or any other review of financial statements.

3. VALIDITY

3.1 This Agreement shall be valid from the date of the last signature by the Parties below to the end of the Project period as stated in the Financing Agreement or such a later date as may be modified by the National Treasury and the World Bank.

3.2 This Agreement will become invalid in the event of cancellation of the Financing Agreement by the World Bank before the end of the Project period.

3.3 This Agreement may be terminated by either party through a three-month’s written notice.

4. DISPUTE RESOLUTION

4.1 Subject to the Intergovernmental Relations Act (Chapter 5G, Laws of Kenya), any dispute between the Parties shall be resolved in accordance with Part IV of the Intergovernmental Relations Act.

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4.2 This Agreement shall be governed and construed in accordance with the laws of the Republic of Kenya and the applicable Financing Agreement.

IN WITNESS WHEREOF

The Parties hereto, acting through their duly authorized representatives, have caused this Intergovernmental Participation Agreement to be signed in their respective names as of the day and year first below written.

FOR AND ON BEHALF OF THE COUNTY GOVERNMENT OF………………………

Governor: _____________________________________________________

Signature: _____________________________________________________

Date: _____________________________________________________

(County Government official seal)

FOR AND ON BEHALF OF THE NATIONAL GOVERNMENT

Cabinet Secretary: _______________________________________________

Signature: _____________________________________________________

Date: _____________________________________________________

(MoALF official seal)


ANNEX 3A: MOU BETWEEN MOALF AND KALRO

REPUBLIC OF KENYA

MEMORANDUM OF UNDERSTANDING

BETWEEN

MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES, STATE DEPARTMENT OF AGRICULTURE

AND

KENYA AGRICULTURAL AND LIVESTOCK RESEARCH ORGANISATION

ON

THE OPERATIONALIZATION OF THE WORLD BANK FUNDED KENYA CLIMATE SMART AGRICULTURE PROJECT (PROJECT I.D. P154784) ON STRENGTHENING OF CLIMATE SMART AGRICULTURAL RESEARCH AND SEED SYSTEMS; AND, ENSURING SUSTAINABILITY OF INTEGRATED WEATHER AND MARKET INFORMATION SERVICES IN THE 24 PROJECT COUNTIES IN KENYA

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This Memorandum of Understanding (hereinafter referred to as the “MOU”) is made this…………day of…………………..2017 between the Ministry of Agriculture, Livestock & Fisheries, State Department of Agriculture, having its principal place of business at Kilimo House, Cathedral Road, Box 30028 00100 Nairobi (hereinafter referred to as the “Ministry”, the expression of which shall where the context so admits include its assignees and successors) on the one hand, and Kenya Agricultural and Livestock Research Organization whose principal place of business is at KALRO Headquarters Complex on Kaptagat Road, Loresho, P.O Box 57811 00200, GPO Nairobi (hereinafter referred to as “KALRO”) on the other.

Individually referred to as “party” and collectively referred to as “parties.”

WHEREAS the Ministry’s mission is to improve the livelihood of Kenyans and ensure food security through creation of an enabling environment and ensuring sustainable natural resource management.

WHEREAS KALRO is an agricultural and livestock research institution established under the Kenya Agricultural and Livestock Research Act, No. 17 of 2013, with a principal mandate to; (a) promote, streamline, coordinate and regulate all aspects of research in agriculture, livestock, marine and fisheries, genetic resources and biotechnology in Kenya; (b) promote, streamline, co-ordinate and regulate research in crops and animal diseases; and, (c) expedite equitable access to research information, resources and technology and strategically promote the application of the research findings and technology in the field of agriculture in the country.

WHEREAS the Government of Kenya has received a credit facility from the World Bank to implement the Kenya Climate Smart Agriculture Project (Project I.D. P154784) (hereinafter referred to as “KCSAP”), with the particulars of the Financing Agreement signed on 7th April 2017 and the Project Appraisal Document 1998 (PAD), both documents of which are contained in Annex 1 and II of this MOU.

WHEREAS the Ministry is the implementing Agency of KCSAP, whose objective is “to increase agricultural productivity and build resilience to climate change risks in the targeted smallholder farming and pastoral communities in Kenya, and in the event of an Eligible Crisis or Emergency, to provide immediate and effective response.”

WHEREAS the Parties herein are committed to strengthening Climate-Smart Agriculture


(CSA) research and innovations; and, building competitive and sustainable seed systems for achievement of the triple wins, i.e. productivity, resilience and reduced GHG emissions (where possible) in the 24 KCSAP participating Counties; by, (a) strengthening the technical and institutional capacity of the Kenya Agricultural and Livestock Research Organization (KALRO) and other National Agricultural Research System (NARS) members to deliver their mandate under the Kenya Agricultural and Livestock Research Act No 17 of 2013; and, developing, validating, and promoting for adoption context specific CSA TIMPs in crops, livestock & aquaculture, socio-economics, sustainable land, water & agro forestry and bio-energy by target beneficiary counties under the Project’s components 1 and 3; (b) building competitive and sustainable seed systems through production and maintenance of early generation seed, strengthening seed/breed/fingerling production, development of alternative delivery system for high value traditional and open pollinated varieties (OPVs), catalyzing growth of competitive seed retail networks and developing conducive legal, regulatory & institutional framework on seed, breed and fingerling embracing public private dialogue (PPD) platforms; and, (c) strengthening capacity of the National Livestock Training Institute, Wajir (formerly GRIFTU Pastoral Training Institute) to deliver training of relevant CSA technical staff.

NOW THEREFORE the Parties do hereby agree and acknowledge as follows:

Article 1

Objectives

The object and purpose of this MOU is to establish a framework for the collaborative partnership between the Ministry and KALRO by:

i. Creating an enabling environment for collaboration, cooperation and partnership between the parties towards the realization of the KCSAP outputs;

ii. Defining areas of cooperation towards the fulfillment of the KCSAP.

Article 2

Scope and Areas of cooperation:

The Parties will cooperate in the following areas:

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i. Supporting climate-smart agricultural research and innovations through (a) financing and implementing activities on demand driven competitive and collaborative adaptive/applied research for development to generate CSA TIMPs for scaling up and dissemination in the Project counties under components 1 and 3, (b) developing technical training materials and modules on CSA TIMPs and (c) delivering technical training on CSA TIMPs to County Technical Departments (CTDs) and Service Providers (SPs).

ii. Building competitive and sustainable seed systems by (a) working with the Kenya Plant Health Inspectorate Services (KEPHIS), the Kenya Animal Genetic Resource Center, KALRO, CGIAR centers, universities, and others NARS members to develop and strengthen commercially driven seed multiplication and distribution systems, (b) promoting private sector and community involvement in producing and distributing commercial seed and (c) building capacity of target communities on agricultural productivity and sustainable seed systems, intermediaries and end-users in application of CSA goods and services for improved agricultural production and marketing.

iii. Strengthening technical and institutional capacities of (a) NARS members including selected KALRO Centres, other research institutions, universities and local CGIARs, to develop and deliver CSA R&D and (b) the National Livestock Training Institute (GRIFTU Pastoral Training Institute) for improved extension service delivery.

iv. Supporting agro-weather, market, climate, and advisory services by developing integrated weather and market information systems in collaboration with the Kenya Meteorological Department (KMD) through the development of the ‘Big data System’ in KALRO.

v. Appraisal, monitoring and evaluation of project activities and any other areas of cooperation as may be jointly agreed upon by the Parties.


Article 3

Roles and Responsibilities

In furtherance of the MOU objectives, Parties herein shall adopt and undertake the following roles and responsibilities:

a) The Ministry shall;

i. Coordinate implementation of KCSAP on behalf of the borrower as indicated in the PAD

ii. Undertake timely disbursement of finances to KALRO in accordance with the approved budgets

iii. Establish the NPCU whose mandate will be to manage the day by day project implementation

iv. Submit quarterly disbursement reports to the World Bank

v. Participate in appraisal and review missions, and monitoring and evaluation of project activities

vi. Advise Parties and appraise on terms that may have implications on project implementation.

vii. Enter into participation agreements with participating Counties as provided in the Financing Agreement

b) The KALRO shall;

i. Be the core/lead organization in the administration and management of the collaborative research funds on behalf of the NARS/CGIARs members.

ii. Enter into sub-contract agreements with all other NARS/CGIARs members who will participate in collaborative research activities.

iii. Open a project bank account through which all project funding will be channeled, and ,maintain accountable documentation of expenditures as prescribed in the PAD and World Bank accounting manuals


iv. Conduct, jointly with other NARS/CGIARs members, demand-driven competitive and collaborative CSA research as provided for by the CRGM guidelines.

v. Establish research-extension liaison offices within KALRO Centres in the project counties either for specific county linkages or for regional (group of counties) linkages as deemed appropriate and assign suitable liaison offers. Appropriate appointments will be made based on identified and prioritized value chains for the county (ies) and the officer(s) professional suitability.

vi. Consolidate and submit on behalf of all collaborating NARS & CGIAR members, i.e. research consortia; and the operational units for competitive and sustainable seed systems, technical and financial progress reports including quarterly, annual, midterm and end of project reports to the MoALF through the NPCU. The reports to detail expenditures and achievements against expected outputs/deliverables as provided for in approved project documents developed following guidelines provided in the implementation manuals including Collaborative Research Grants Manual (CRGM), Seed Systems Manual and WB/Project Accounting Manuals.

vii. Prepare on behalf of all collaborating NARS/CGIAR members quarterly budgets and Statements of Expenditure (SoE); and annual work plans and forward budgets required for reimbursement of funds.

viii. Translate and promoted information on CSA R&D into actionable knowledge by identifying, prioritizing and advising on appropriate CSA TIMPs at the county level.

ix. Participate in appraisal, monitoring and evaluation of project activities and provide appropriate backstopping where necessary.

x. Jointly with KMD provide scientific and technical/ ICT expertise for the management of the Agro weather tools and dissemination of advisories during project implementation period and beyond.

xi. Jointly with KMD provide specific crop data/ information for various crops/livestock of importance in each county to the end users including services providers for development or validation of Agro weather tools.

xii. Jointly with KMD calibrate and update the crop models in the agro weather tools to ensure that appropriate information is given to the end users.



xiii. Host the agro-weather tools by providing computing resources such as servers and ICT expertise for day to day running of the agro weather tool.

xiv. Partner with the MoALF and key stakeholders on dissemination of advisories to farmers, pastoralists and fisher folk

xv. Establish a framework and mechanisms to enhance research coordination, collaboration and linkages within the NARS and with other stakeholders (service providers, farmers and agro-based industry) jointly with other members of the NARS as provided for by the KALRO mandate in the Kenya Agricultural and Livestock Research Act No 17 of 2013 Part II on establishment of the organization and in particular Section 3 on objects and functions of the organization - (1) a & b and (2) a & b. Allocated project funds will be used for this.

Article 4

Implementation Mechanisms

The Ministry shall establish a Project Coordinating Unit (PCU) for purposes of appraising, monitoring and evaluating implementation of the MOU, amongst other duties.

Article 5

Financial Accountability

All procurement, accountability, audit and financial expenditure under this MOU shall be in accordance to laws and regulations operating in Kenya read together with the Financing Agreement; the Project Implementation, Procurement and Financial Management Manuals; and the Project Appraisal Document.

Article 6

Participation in Similar Activities

This memorandum of Understanding does not restrict the Parties from participating in similar activities with other public or private organizations, agencies and individuals.

187



Article 7

Entry into Force and Duration

1 This MOU will enter into force upon signature by the Parties.

2 This MOU shall remain valid for a period of five (5) years commencing from 16th May 2017 to 15th May 2022. It may be extended for an additional period as shall be agreed in writing between the parties unless either of the Parties gives to the other a written notice, six months in advance, of its intention to terminate the MOU.

Article 8

Legal implication

This Memorandum of Understanding merely constitutes a statement of the mutual intentions of the parties with respect to its contents and does not constitute any legal obligation binding on either side. Notwithstanding that the MOU does not constitute any binding legal obligation; the Parties shall perform their respective obligations for the achievement of the objectives.

Article 9

Confidentiality

No Party shall disclose any information to any third Party concerning the matters under this MOA. Any proprietary information properly identified as such by the disclosing Party and which is contained in a report or disclosed by one Party to the other Party, shall be kept strictly confidential by the receiving Party and shall not be disclosed to any third party without the prior written consent of the original disclosing Party. In the event of termination of this MoU, the Parties agree that the preservation of confidentiality shall continue to apply.

Article 10

Notices and Channels of communication

All notices, approvals, consents or other communications made pursuant to this MoU shall be in writing and shall be sent to the addresses stated herein or to any other address notified in writing by either party to the other as its new address for such purposes.


a. The Principal Secretary

State Department of Agriculture

P.O Box 30028-00100

Nairobi, Kenya

Email: [email protected]

b. Director General

Kenya Agricultural & Livestock Research Organization

Box Nairobi 57811 00200, Kenya


Article 11

Amendment

1 This Memorandum of Understanding may be amended as may be required from time to time by mutual written consent of both parties. Such amendments shall be signed and dated by Parties prior to any changes being made and shall come into force on such a date as shall be mutually agreed upon by the Parties and, shall form part of this Memorandum of Understanding.

2 Any amendment shall be done without prejudice to the rights and obligations arising from or based on this Memorandum of Understanding prior to the date of such amendments.

Article 12

Force Majeure

Each Party will notify the other party of any circumstances or unforeseen obstacles (force majeure) that may hinder the smooth implementation of the MOU and work to resolve them.


Article 13

Termination

1 Either Party may terminate this MOU at any time by giving the other party six (6) months written notice of its intention to do so through the addresses given above.

2 The termination of the MOU shall not prejudice the activities or programs already in progress under the MOU unless the parties jointly decide otherwise.

3 In the event of this MOU being terminated, each party shall be solely responsible for the payment of any expenses it has incurred pursuant to the termination.

Article 14

Applicable law

Implementation of this MOU shall be governed and construed in accordance with the laws of Kenya

Article 15

Dispute Settlement

Any dispute that may arise out of the implementation and interpretation of this MOU shall be settled amicably through mutual consultations and through the institutions established under the Financing Agreement.



IN WITNESS WHEREOF, the undersigned, being duly authorized representatives of the Parties have caused this MOU to be signed as of the date set forth below:

DATED at ………………this ……………day of………………………………………., 2017

FOR: MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES

STATE DEPARTMENT OF AGRICULTURE

……………………………………

Richard Lesiyampe PhD, CBS


Ministry of Agriculture, Livestock and Fisheries

Witnessed by:-

…………………………………...

Name:

KCSAP, Project Coordinator

FOR: KENYA AGRICULTURAL & LIVESTOCK RESEARCH ORGANISATION…………………………………...

Eliud K. Kireger, PhD

Kenya Agricultural & Livestock Research Organization

Witnessed by:-

Name:

Chairman, KALRO Board of Management

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X 3B: MOU BETWEEN MOALF AND MENR

REPUBLIC OF KENYA

MEMORANDUM OF UNDERSTANDING

BETWEEN

MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES, STATE DEPARTMENT OF AGRICULTURE

AND

MINISTRY OF ENVIRONMENT AND NATURAL RESOURCES, STATE DEPARTMENT OF ENVIRONMENT

ON

THE OPERATIONALIZATION OF THE WORLD BANK FUNDED KENYA CLIMATE SMART AGRICULTURE PROJECT (PROJECT I.D. P154784) AND ENSURING THE SUSTAINABILITY OF THE PROVISION OF INTEGRATED WEATHER AND MARKET INFORMATION IN 24 PROJECT COUNTIES IN KENYA


This Memorandum of Understanding (hereinafter referred to as the “MoU”) is made this…………day of…………………..2017 between the Ministry of Agriculture, Livestock & Fisheries, State Department of Agriculture having its principal place of business at Kilimo House, Cathedral Road, Box 30028 00100 Nairobi ((hereinafter referred to as “MoALF/SDA” which expression shall where the context so admits includes its assignees and successors) on the one hand and the Ministry of Environment and Natural Resources, State Department of Environment – Kenya Meteorological Department with principal place of business at NHIF Building, 12th Floor, Box 30126 00100 Nairobi (hereinafter referred to as MENR/SDE/KMD) which expression shall where the context so admits include its assignees and successors) on the second part.

Individually referred to as “party” and collectively referred to as “parties.”

WHEREAS the MoALF/SDA’s mandate includes among other functions collecting, maintaining and managing information on agricultural sector; analyzing agricultural information to inform policy and disseminating information to end users including farmers, agro-pastoralists and pastoralists.

WHEREAS the MENR/SDE’s mandate includes among other functions monitoring, forecasting and observing climate and weather, exchange of weather information and provision of weather related information for protection of human life and property by the Kenya Meteorological Department (KMD)

WHEREAS the Government of Kenya, hereinafter referred to as the borrower has received a credit facility from the World Bank to implement Kenya Climate Smart Agriculture Project (Project I.D. P154784) (hereinafter KCSAP) with the particulars of the Financing Agreement signed on 7th April 2017 and the Project Appraisal Document 1998 (PAD) contained in Annex 1 and II of this MoU.

WHEREAS the MoALF/SDA is the implementing Agency of KCSAP whose objective is “to increase agricultural productivity and build resilience to climate change risks in the targeted smallholder farming and pastoral communities in Kenya, and in the event of an Eligible Crisis or Emergency, to provide immediate and effective response.”


WHEREAS the Parties herein are committed to ensuring the sustainability of the provision of integrated weather and market information within 24 Counties participating in the KCSAP namely; Marsabit, Isiolo, Tana River, Garissa, Wajir, Mandera, West Pokot, Baringo, Laikipia, Machakos, Nyeri, Tharaka Nithi, Lamu, Taita Taveta, Kajiado, Busia, Siaya, Nyandarua, Bomet, Kericho, Kakamega, Uasin Gishu, Elgeyo Marakwet and Kisumu.

NOW THEREFORE the Parties do hereby agree and acknowledge as follows:-

Article 1

Objectives

The object and purpose of this MoU is to establish a framework for the collaborative partnership between the MoALF/SDA and MENR/SDE by: -

i. Creating an enabling environment for collaboration, cooperation and partnership between the parties towards the realization of the KCSAP outputs

ii. Defining areas of cooperation towards the fulfilment of the KCSAP.

Article 2

Scope and areas of cooperation

The Parties will cooperate in the following areas: -

i. Improving agro-meteorological forecasting and monitoring through financing (a) mapping existing publicly and privately operated automated weather stations (AWSs)- including agro-meteorological, hydrological and rain gauge stations; (b) establishing agro-meteorological and hydro-meteorological centers, (c) installing new automated agro-weather stations; and (d) developing and upgrading the Early Warning System (EWS)

ii. Developing big data for climate-smart agriculture through financing big data systems that will help farmers, agro-pastoralists and pastoralists make informed decisions on what, when, where and how to produce. Support to big data for Climate Smart Agriculture (CSA) will finance the appointing the Normalized Difference Vegetation Index (NDVI) agent and setting up infrastructure for big data analytics. A big data



with open application programming interface (API) will be established to facilitate non-confidential data sharing and information dissemination.

iii. Building institutional and technical capacity of parties to enable them meet their respective responsibilities under this MoU.

Article 3

Roles and Responsibilities

In furtherance of the objectives of the MoU, Parties herein shall undertake the following roles and responsibilities:

a) The MoALF/SDA shall;

i. Coordinate implementation of KCSAP on behalf the borrower as indicated in the PAD

ii. undertake timely disbursement of finances to MENR/SDE in accordance to approved budgets

iii. Establish NPCU whose mandate is to manage day to day project implementation

iv. Submit quarterly disbursement reports to the World Bank

v. Participate in appraisal and review missions, monitoring and evaluation.

vi. Advise Parties and appraise on terms that may have implication to implementation of the project.

vii. Facilitate coordination of partners with KALRO, relevant officers at national and county level, participating county governments and other stakeholders

viii. Provision of specific county disaggregated data/ information for various crops, livestock and fisheries enterprises

b) The MENR/SDE, Kenya Meteorological Department shall;

i. Map existing agro-meteorological and hydrological stations with the aim of assessing the distribution, quantity and quality of existing public and private agro-meteorological

195



and hydrological Automated Weather Stations (AWSs), in the 24 participating Counties

ii. Establish agro-meteorological and hydro-meteorological centers in the 24 participating counties. KCSAP will upgrade and modernize the seven functional centers under KMD and establish 13 others at KALRO centers located in the project counties. The project will also finance the installation of 17 new hydro-meteorological centers in the participating counties.

iii. Install new automated agro-weather stations. The project will finance the installation of equipment for scaling down climate models, numerical weather prediction modelling, processing and managing satellite weather data, visualization of the data and improving weather communication capacity

iv. Develop the Early Warning System (EWS). The project will finance development of the EWS at KMD to strengthen disaster preparedness and mitigation capabilities. The primary objective of developing the EWS is to improve short-, medium-, and long range forecasts/monitoring information for various users, including flood and drought warnings, disaster reduction and emergency response.

v. Provide requisite weather and climate information and support interpretation of weather related information during the project term and beyond

vi. Provide periodic weather updates to MoALF and Kenya Agricultural and Livestock Research Organization (KALRO) for developing advisory services and subsequent dissemination to farmers and other end users.

vii. Dedicate adequate staff members to support project implementation

viii. Collaborate with KALRO to ensure proper flow of climate advisories from KMD and delivery to stakeholders by KALRO

ix. Be responsible for the operations and maintenance of all meteorological infrastructure, instruments, networks and facilities to be installed by the project both during the duration of the project and beyond.

x. Provide operational, progress and maintenance reports of the infrastructure installation and development.


xi. Open a project bank account through which all project funding will be channeled

xii. Maintain accountable documentation of expenditures as prescribed in the PAD

xiii. Prepare quarterly budgets and Statements of Expenditure (SoE)

xiv. Participate in appraisal, monitoring and evaluation and review missions

Article 4

Implementation Mechanisms

The MoALF/SDA shall establish a National Project Coordinating Unit (NPCU) for purposes of appraising, monitoring and evaluating implementation of the project and subsequently this MoU. MoENR (KMD) will deploy an officer to support sub-component 3 on a full time basis and provide a contact for a technical officer at KMD to support project implementation.

Article 5

Financial Accountability

All procurement, accountability, audit and financial expenditure under this MoU shall be in accordance to laws and regulations operating in Kenya read together with the Financing Agreement; the Project Implementation, Procurement and Financial Management manuals; and the Project Appraisal Document.

Article 6

Participation in Similar Activities

This memorandum of Understanding does not restrict the Parties from participating in similar activities with other public or private organizations, agencies and individuals.

Article 7

Entry into Force and Duration

3 This MoU will enter into force upon signature by the Parties.


4 This MoU shall remain valid for the duration of the project effective period. In the event that the project is prematurely terminated or extended, this MoU will be terminated or extended respectively. This MoU can also be terminated when either of the Parties gives to the other a written notice, six months in advance, of its intention to terminate the MoU.

Article 8

Legal implication

This Memorandum of Understanding merely constitutes a statement of the mutual intentions of the parties with respect to its contents and does not constitute any legal obligation binding on either side. Notwithstanding that the MoU does not constitute any binding legal obligation; the Parties shall perform their respective obligations for the achievement of the objectives.

Article 9

Confidentiality

No Party shall disclose any information to any third Party concerning the matters under this MoU. Any proprietary information properly identified as such by the disclosing Party and which is contained in a report or disclosed by one Party to the other Party, shall be kept strictly confidential by the receiving Party and shall not be disclosed to any third party without the prior written consent of the original disclosing Party. In the event of termination of this MoU, the Parties agree that the preservation of confidentiality shall continue to apply.

Article 10

Notices and Channels of communication

All notices, approvals, consents or other communications made pursuant to this MoU shall be in writing and shall be sent to the addresses stated herein or to any other address notified in writing by either party to the other as its new address for such purposes.

c. The Principal Secretary





P.O Box 30028-00100

Nairobi, Kenya


d. The Principal Secretary

Ministry of Environment and Natural Resources

State Department of Environment

Box 30126 00100 Nairobi


Article 11

Amendment

3 This Memorandum of Understanding may be amended as may be required from time to time by mutual written consent of both parties. Such amendments shall be signed and dated by Parties prior to any changes being made and shall come into force on such a date as shall be mutually agreed upon by the Parties and, shall form part of this Memorandum of Understanding.

4 Any amendment shall be done without prejudice to the rights and obligations arising from or based on this Memorandum of Understanding prior to the date of such amendments.

199



Article 12

Force Majeure

Each Party will notify the other party of any circumstances or unforeseen obstacles (force majeure) that may hinder the smooth implementation of the MOU and work to resolve them

Article 13

Termination

4 Either Party may terminate this MoU at any time by giving the other party six (6) months written notice of its intention to do so through the addresses given above.

5 The termination of the MoU shall not prejudice the activities or programs already in progress under the MoU unless the parties jointly decide otherwise.

6 In the event of this MoU being terminated, each party shall be solely responsible for the payment of any expenses it has incurred pursuant to the termination.

Article 14

Applicable law

Implementation of this MoU shall be governed and construed in accordance with the laws of Kenya

Article 15

Dispute Settlement

Any dispute that may arise out of the implementation and interpretation of this MoU shall be settled amicably through mutual consultations and through the institutions established under the Financing Agreement.

IN WITNESS WHEREOF, the undersigned, being duly authorized representatives of the Parties has caused this MOU to be signed as of the date set forth below:

DATED at ………………this ……………day of ………………………………………., 2017


FOR: MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES

STATE DEPARTMENT OF AGRICULTURE

------------------------------------------------------------------------------

Dr. Richard Lesiyampe PhD, CBS



Witnessed by:-

--------------------------------------------------------------------------------

Name: Mr. Francis Muthami

KCSAP, Project Coordinator

FOR: MINISTRY OF ENVIRONMENT AND NATURAL RESOURCES

STATE DEPARTMENT OF ENVIRONMENT

--------------------------------------------------------------------------------

Mr. Charles Sunkuli, CBS

State Department of Environment

Ministry of Environment and Natural Resources

Witnessed by:

--------------------------------------------------------------------------------

Name: Mr. Peter Ambeje

Director, Kenya Meteorological Department

201



ANNEX 3C: MOU BETWEEN COUNTY GOVERNMENTS AND COMMUNITIES

COMMUNITY DEVELOPMENT AGREEMENT

REPUBLIC OF KENYA

[Insert KCSAP logo] [Insert logo of County Government]

COMMUNITY DEVELOPMENT AGREEMENT

BETWEEN

THE COUNTY GOVERNMENT OF ………………..……………….............................…..

AND

BENEFICIARYCOMMUNITY/ORGANIZATION…………………………………………

ON IMPLEMENTATION OF

KENYA CLIMATE-SMART AGRICULTURE PROJECT (KCSAP)

DATED

___________ Day of __________ 2017


This Agreement is made between the County Government of____________ (herein called “the County Government”) on the one part AND the Community herein referred to as “Party” and collectively referred to as “the Parties”).

WHEREAS

D. The County Government is an executing agencies of KCSAP;

E. The Community will implement KCSAP CSA Investments at Community Level

NOW THEREFORE

In consideration of the commitments and agreements contained herein, the Parties agree as follows:

5. OBLIGATIONS OF THE COUNTY GOVERNMENT

a) Supporting CSA planning and prioritization

b) Contract private advisory service providers

c) Facilitating community institutions to undertake CSA mandate

d) Support community, ward and county level investments

e) Support CIGs, VMGs, VCs, POs, Productive Alliances Model (PPPs)

f) Facilitate public extension agents to provide advisory services

g) Provide quality assurance of services

h) provide oversight in project implementation

i) Ensure gender mainstreaming and inclusion of youth, IPs and vulnerable groups

j) Ensure compliance to environmental and social safeguards

k) Adherence to disclosure requirements, conflict and complaint resolution mechanisms

6. OBLIGATIONS OF THE COMMUNITY

(a) Participate in CSA planning and prioritization

(b) Implement the prioritized CSA micro- and sub-projects

(c) Participate in PME

203



(d) Provide data as stipulated in the PME tools

(e) Ensure transparency and accountability in project implementation

(f) Ensure gender mainstreaming and inclusion of youth, IPs and vulnerable groups

(g) Ensure compliance to environmental and social safeguards

(h) Adherence to disclosure requirements, conflict and complaint resolution mechanisms

7. VALIDITY

This Agreement shall be valid from the date of the last signature by the Parties below and may be terminated by either party through a six-month’s written notice of its intention to terminate the Agreement.

IN WITNESS WHEREOF

The Parties hereto, acting through their duly authorized representatives, have caused this Community Agreement to be signed in their respective names as of the day and year first below written.

FOR AND ON BEHALF OF THE COUNTY GOVERNMENT OF………………………

Governor: _____________________________________________________

Signature: _____________________________________________________

Date: _____________________________________________________

(County Government official seal)

FOR AND ON BEHALF OF THE COMMUNITY

CDDC: _______________________________________________

Signature: _____________________________________________________

Date: _____________________________________________________

(CDDC official seal)


ANNEX 4: FINANCIAL REPORTS

ANNEX 4A: KCSAP FLOW OF FUNDS ARRANGEMENTS

24 Special Purpose Accounts (SPAs)

Project Account - MOALF Opened at CBK

World Bank

DA-2 opened at CBK (For National Level Activities - Component 2,

3 & part of Component 4)

DA- 1 opened at CBK (For county Level Activities -

Component 1 and part of Component 4)

24 Count Revenue Funds (CRFs) opened at CBK

24 KCSAP Accounts

Community Accounts opened at Commercial Bank

Payments for goods, services and other eligible expenditures

24 Special Purpose Accounts (SPAs)

World Bank

DA-2 opened at CBK (For National Level Activities - Component 2,

3 & part of Component 4)

DA- 1 opened at CBK (For county Level Activities -

Component 1 and part of Component 4)

24 Count Revenue Funds (CRFs) opened at CBK

24 KCSAP Accounts

205



ANNEX 4B: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT (IFR)

IMPLEMENTING ENTITY: MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES

PROJECT NAME: KENYA CLIMATE SMART AGRICULTURE PROJECT

IDA CREDIT NO.: xxx

PROJECT NUMBER: P154784

REPORT: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT (IFR)

PERIOD OF REPORT: xxx

REPORTING CURRENCY: UNITED STATES DOLLARS [USD]

This IFR is for the quarter ended xxx

The previous IFR was for the quarter ended xxx

USD Designated Account Deposit Bank xxx

USD Designated Account “A” Number xxx

USD Designated Account “B” Number xxx

Exchange rate at beginning of quarter (Kshs to US$) xxx (State the applicable exchange rate date)

Exchange rate at end of quarter (Kshs to US$) xxx (State the applicable exchange rate date)


ANNEX 4C: QUARTERLY INTERIM FINANCIAL REPORT (IFR)



IDA CREDIT NO.: xxx





TABLE OF CONTENTS

PAGE

P1- STATEMENT OF SOURCES AND USES OF FUNDS XX

P2- EXPENDITURE PER COMPONENT XX

P3- SUMMARY OF BANK ACCOUNT BALANCES XX

P4- DESIGNATED ACCOUNT “A” STATEMENT FROM CBK XX

P5- DESIGNATED ACCOUNT “B” STATEMENT FROM CBK XX

207



P6- KSHS PCU BANK ACCOUNT RECONCILIATION XX

P7- KSHS PCU BANK ACCOUNT STATEMENT XX

P8- SUMMARY OF IMPREST BALANCES XX

P9- DETAILED LIST OF IMPREST BALANCES XX

P10- LIST OF COUNTIES BANK BALANCES XX

P11- CONTRACTS SUBJECT TO WORLD BANK’S PRIOR REVIEW XX

P12-CONTRACTS NOT SUBJECT TO WORLD BANK’S PRIOR REVIEW XX

208



ANNEX 4D: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT (IFR) - P1- STATEMENT OF SOURCES AND USES OF FUNDS

PROJECT IMPLEMENTING ENTITY:

MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES


IDA CREDIT NO.: xxx


THIS SCHEDULE: P1- STATEMENT OF SOURCES AND USES OF FUNDS

PERIOD OF REPORT: FOR THE QUARTER ENDED XXX


Sources of Funds/ Receipts Ref

Cumulative Opening Balances Quarter ending 30 June ……(Year) Cumulative to date

DA-A DA-B GOK TOTAL DA-A DA-B GOK TOTAL DA-A DA-B GOK TOTAL

Opening Cash Balances

IDA USD Designated Accounts

Project Main Operations A/c “PCU” (Kshs)

209



COUNTIES’ Project Accounts (Kshs)

Cash in Hand

Others (e.g. Imprest, advances etc.)

Total Opening Cash Balances

Add: Receipts During the Quarter

IDA Replenishment to Designated Accounts

IDA Direct Payment

GOK Counterpart Contributions

Total Receipts During Quarter

Total Financing Available (Opening Balances + Receipts)

210



Less: Payments/ Expenditure by Category:

Cat. 1: Goods, works, non-consulting services, consultants’ services, and Training, and Incremental Operating Costs for the Project

Direct payments

Cat. 2: Sub-project Grants for:

(a) Agro-Pastoral Sub-projects

(b) Agro-Pastoral Micro-projects

(c) Public-Private partnerships

Cat. 3: Sub-project Grants for:

211



(a) Pastoral Micro-projects

(b) Pastoral Sub-projects

Cat. 4: Sub-project Grants for Emergency Expenditures under Part 5 of the Project

Cat. 5: Refund of Preparation Advance

Bank Charges -

Total Uses of Funds/ Payments by Category -

Expected Closing Cash Balances -

Actual Closing Cash Balances

IDA USD Designated Accounts -

212



Project Main Operations A/c “PCU” (Kshs) -

COUNTIES’ Project Accounts (Kshs) -

Cash in Hand -

Others (e.g. Imprest, advances etc.) -

Actual Total Closing Cash Balances -

Difference (should be NIL)

NB:

Start of quarter Exchange Rate: USD 1.00 = Ksh XXX

Prepared By: Project Accountant ……………………………

Signature ……………………

Date ………………………

Approved By Project Coordinator …………………………..

Signature ……………………

Date ………………………

213



ANNEX 4E: QUARTERLY UN-AUDITED INTERIM FINANCIAL REPORT (IFR) - EXPENDITURE PER COMPONENT

PROJECT IMPLEMENTING ENTITY:



IDA CREDIT NO.: xxx


THIS SCHEDULE: EXPENDITURE PER COMPONENT

PERIOD OF REPORT: FOR THE QUARTER ENDED XXX


Project Component Ref Cumulative Opening Balances Quarter ending 30 June

……. (Year) Cumulative to date

IDA GOK TOTAL DA-A GOK TOTAL DA-A GOK TOTAL

Component 1: Upscaling Climate-Smart Agricultural Practices

214



Sub-Component 1.1 Building Institutional Capacity and Strengthening Service Delivery

Sub-Component 1.2 Supporting Investments in Smallholder Agro-pastoral Production Systems

Sub-Component 1.3 Supporting Investments in Pastoral Production Systems

Sub-total

Component 2: Strengthening Climate-Smart Agricultural Research and Seed Systems

215



Sub-Component 2.1 Supporting Climate-Smart Agricultural Research and Innovations

Sub-Component 2.2 Building Competitive and Sustainable Seed Systems

Sub-Component 2.3 Strengthening Technical and Institutional Capacity

Sub-total


216



Sub-Component 3.1 Improving Agro-meteorological Forecasting and Monitoring

Sub-Component 3.2 Developing Integrated Weather and Market Information System

Sub-Component 3.3 Building Technical and Institutional and Capacity

Sub-total


217



Sub-Component 4.1 Project Coordination

Sub-Component 4.2 Monitoring & Evaluation and Impact Evaluation

Sub-total

Grand Total Uses of Funds by Component


ANNEX 4F: SUMMARY OF MOVEMENT OF BANK ACCOUNT BALANCES

PROJECT IMPLEMENTING ENTITY: MINISTRY OF AGRICULTURE, LIVESTOCK AND FISHERIES


IDA CREDIT NO. xxx

REPORT: P154784

THIS SCHEDULE: SUMMARY OF MOVEMENT OF BANK ACCOUNT BALANCES


REPORTING CURRENCY UNITED STATES DOLLARS [USD]

Project USD Designated A/C “A” CBK xxx USD

Opening balance at beginning of quarter

Add: Advances received during quarter

Add: Interest received

Sub-total Less: Transfers to the Kshs Project Main Account

Less: Direct payments

Less: Payments for bank charges

Sub-total

Closing balance at end of quarter

Project USD Designated A/C “B” CBK xxx USD

Opening balance at beginning of quarter XXX

Add: Advances received during quarter

Add: Interest received

Sub-total

219



Less: Transfers to the Kshs Project Main Account

Less: Payments for bank charges

Sub-total

Closing balance at end of quarter XXX

PCU Project Main Operations A/c “PCU” [Kshs] CBK xxx

Kshs Exch rate Equiv. US$

Opening balance at beginning of quarter XXX XXX XXX XXX Add: Transfers from Project DA “A” to Project A/c “A” XXX XXX XXX

Sub-total - - Less: Payments for eligible expenditure [Cat. 1] XXX XXX XXX Less: Payments for eligible expenditure [Cat. 2] XXX XXX XXX

Less: Advance to PCU XXX XXX XXX

Less: Advance to Counties XXX XXX XXX

Closing balance at end of quarter XXX XXX XXX XXX

Kshs Project Operating Account [COUNTIES]

Kshs Exch rate Equiv. US$ Total opening balances at beginning of quarter XXX XXX XXX XXX

Add: Transfers from Project Main A/c XXX XXX XXX

Sub-total XXX XXX XXX

Less: Payments for eligible expenditure XXX XXX XXX

Less: Payments for eligible expenditure XXX XXX XXX

Total closing balance at end of quarter XXX XXX XXX XXX


ANNEX 4G: IDA DESIGNATED ACCOUNT “A” AND “B” STATEMENT



IDA CREDIT NO.: xxx


THIS SCHEDULE IDA DESIGNATED ACCOUNT “A” STATEMENT





IDA CREDIT NO.: xxx


THIS SCHEDULE IDA DESIGNATED ACCOUNT “B” STATEMENT



221



ANNEX 4H: PCU MAIN OPERATIONS ACCOUNT “A” [KSHS] RECONCILIATION AND STATEMENT



IDA CREDIT NO.: xxx


THIS SCHEDULE PCU MAIN OPERATIONS ACCOUNT “A” [KSHS] RECONCILIATION


REPORTING CURRENCY: KENYA SHILLINGS [Kshs]



IDA CREDIT NO.: xxx


THIS SCHEDULE PCU MAIN OPERATIONS ACCOUNT “A” [KSHS] STATEMENT




ANNEX 4J: SUMMARY OF OUTSTANDING IMPRESTS

IMPLEMENTING ENTITY:



IDA CREDIT NO.: xxx


THIS SCHEDULE SUMMARY OF OUTSTANDING IMPRESTS



Implementing Unit Ref Kshs Balance Applicable Exchange Rate

Equivalent USD Balance

PCU/MoALF HQs - XXX XXX COUNTIES - XXX XXX

Etc.

223



ANNEX 4K: LIST OF OUTSTANDING IMPRESTSIMPLEMENTING ENTITY:


PROJECT NAME:

KENYA CLIMATE SMART AGRICULTURE PROJECT

IDA CREDIT NO.: xxx


THIS SCHEDULE: LIST OF OUTSTANDING IMPRESTS



OUSTANDING IMPRESTS - NPCU / MOALF

Date Imprest No. Cash Book Voucher No. Name. Personal

No. Amount Surrender date Remark

Total

Applicable Exchange Rate = XXX

Equivalent USD = XXX


ANNEX 4L: LIST OF COUNTIES BANK BALANCES



IDA CREDIT NO.: xxx


THIS SCHEDULE: LIST OF COUNTIES BANK BALANCES



County Name

Bank Account No.

Cumulative balance at beginning of quarter

Disbursement to County in the quarter

Expenditure accounted by County in the quarter

Cumulative balance at end of quarter

Remark

TOTAL

225



ANNEX 4M: KALRO KSHS OPERATIONS ACCOUNT RECONCILIATION STATEMENT



IDA CREDIT NO.: CR 5945


THIS SCHEDULE KALRO KSHS OPERATIONS ACCOUNT RECONCILIATION STATEMENT

PERIOD OF REPORT: FOR THE QUARTER ENDED



ANNEX 4N: KALRO KSHS OPERATIONS ACCOUNT BANK STATEMENT





THIS SCHEDULE KALRO KSHS OPERATIONS ACCOUNT BANK STATEMENT



227



ANNEX 4P: KMD KSHS OPERATIONS ACCOUNT RECONCILIATION STATEMENT





THIS SCHEDULE KMD KSHS OPERATIONS ACCOUNT RECONCILIATION STATEMENT




ANNEX 4Q: KMD KSHS OPERATIONS ACCOUNT BANK STATEMENT





THIS SCHEDULE KMD KSHS OPERATIONS ACCOUNT BANK STATEMENT



229



ANNEX 4R: EXPENDITURE FOR CONTRACTS SUBJECT TO WORLD BANK’S PRIOR REVIEW



IDA CREDIT NO.: xxx


THIS SCHEDULE:

EXPENDITURE FOR CONTRACTS SUBJECT TO WORLD BANK’S PRIOR REVIEW



Payments Made Since Project Inception Against Contracts Subject to World Bank’s Prior Review

Disbursement Cat./Sub-category

Source of Supply

Contract Date

Country of Foreign Supplier

Contract Amount KSHS

Date of WB’s “No Objection” to Contract

Amount Paid to Supplier during Period USD

WB’s Share of Amt Paid to Supplier during Period

Cat. 1: Goods, non-consulting services, consultants’ services, Training and Operating Costs under all Parts of the Project (excluding Part B.3)

Category 1 100%

Category 1 100%SUB-TOTAL (KSHS)


Cat. 2: Sub-Project Grants Under Part B.3 of the Project

Category 2100%

Category 2100%

SUB-TOTAL (KSHS) GRAND TOTAL (KSHS)

231



ANNEX 4S: EXPENDITURE FOR CONTRACTS NOT SUBJECT TO WORLD BANK’S PRIOR REVIEW



IDA CREDIT NO.: xxx

REPORT: QUARTERLY INTERIM FINANCIAL REPORT (IFR)

THIS SCHEDULE: EXPENDITURE FOR CONTRACTS NOT SUBJECT TO WORLD BANK’S PRIOR REVIEW



Payments Made during Reporting Period (Current Quarter) Against Contracts NOT Subject to World Bank’s Prior Review

Disbursement CategorySources of supply

Country of Foreign Supplier

Total Expenditure USD

% IDA Contribution

Eligible for Bank’s Financing

IDA Share Amt Paid from DA

TOTAL (USD)

ADD: DIRECT PAYMENTTOTAL EXPENDITURE PER STATEMENT OF SOURCES & USES OF FUNDS


IMPLEMENTING ENTITYPROJECT NAME:IDA CREDIT NO.:REPORT:THIS SCHEDULE:PERIOD OF REPORT:REPORTING CURRENC

FORM 1-C

Date:

SOE Sheet No.

Category no: Application No. _

Category description:

SOE threshold:

1 2 3 4 5 6 7 8 9 10 11

Item Name and Brief

Date of NOL from

World Bank Total Amount Eligible % Amount Exchange Currency &Date of

payment RemarksNo. Address of Description of Invoices as per Para 1 Eligible for Rate Amount Paid

Contractor of Services covered by f the Schedule Financing Application to the Letter (6 * 5) USD (net of retention Agreement (if applicable)

Totals 0.00 0.00

PROJECT ACCOUNTANT…………………………………….

TASK TEAM LEADER……………………………………exchange rate used is the one at the point of disbursement of funds from IDA

Supporting documents for this SOE retained at _____

(Authorised Signatory)

1.A separate SOE form should be used for each category.2. Column 3 should be filled in respect of ALL suppliers/contractors.

Signature:_________________


KENYA CLIMATE SMART AGRICULTURE PROJECT

CR 5945

QUARTERLY INTERIM FINANCIAL REPORT (IFR)SUMMARY OF EXPENDITURE (SOE)

FOR THE QUARTER ENDED

UNITED STATES DOLLARS [USD]

233



A. Application type and project reference1. Application type 2. Financier and loan number

a. Advance to Designated Account-B

___ Advance to designated account (fill Sections A, B, D) IBRD N/A ˅ Advance to and documentation of designated account (fill all sections) IDA 5945

____ Documentation of prior advance(s) to designated account (fill sections A, C, D)Trust fund Cofinancier N/A

b. ___ Reimbursement (fill all sections) 3. Subproject reference (if any)

c. ___ Direct payment N/A (f ill all sections) N/A

4. Country name KENYA

d. ___

5. Borrower reference2

B. Payment instructions6a. Application 6b. Application amount 6c. Equivalent payment currency (if differentcurrency from application currency)

USD6d. Application amount (in words)7. If the application covers more than one loan (as specif ied in item 2 above), please provide amounts allocated to each f inancier.Loan/Financing/Grant No.

8. Name and address of beneficiary 9. Amount to be paid in installments? Yes / No(if yes, complete the "Requested schedule for advance payments" form)

10a. Name and address of the beneficiary's bank 10b. Account no. (or IBAN for Euro 10c. SWIFT code of thepayments) of the beneficiary at beneficiary's bankthe beneficiary's bank

11a. Name and address of the intermediary bank 11b. Account no. (or IBAN for Euro 11c. SWIFT code of thepayments) of the beneficiary's intermediary bankbank at the intermediary bank

12. Special payment instructions (if any)

C. Documentation of expenditures13. Documentation type(s) 14. Category and contract reference - If expenditures relate to more _____√ Interim financial report (e.g., f inancial monitoring report) than one category or contract reference, leave 14a and 14b blank and _____ Statement of expenditure ensure this information is included in the supporting documentation._____ Copies of records (e.g., invoices, receipts) 14a. Category reference 14b. Contract reference

15a. Documentation 15b. Documented amount currency

USD15c. Documented amount (in words)

16. If the documentation applies to more than one loan (as specif ied in item 2 above), please provide amounts allocated to each f inancier.

D. Assertions and signature

17. By (name of borrower) 18. Date signed REPUBLIC OF KENYA

19b.

20. Contact details Name

APPLICATION FOR WITHDRAWAL

Loan/Financing/Grant No.(s)(Name or number of designated account)

(Beneficiary's payment/invoice reference)

Tranche release under a development policy loan/financing/grant(fill sections A, B, D)

19a.

Loan/Financing/Grant no.

Loan/Financing/Grant No.

Phone

Amount

Loan/Financing/Grant no.

Amount

Signature(s)

Email

Amount

Print name(s) and title(s) of authorized signatory(ies)

Amount

Facsimile

Instructions: >> You can use this form to request a payment and/or to document expenditures. Please complete and sign this form, and send it (w ith any required attachments) to the Loan Department, at the address found in the Disbursement Letter for your project. [See reverse side for detailed explanations and instructions.] For general inquiries, please send an e-mail to w [email protected].

The undersigned certifies, warrants and undertakes the following:A. If the undersigned is making a request f or an advance to be deposited in a Designated Account: (1) the amount requested is consistent with the planned project expenditures f urnished to the World Bank; and (2) the documentation f or this adv ance is/will be f urnished to the World Bank in accordance with the reporting period specif ied in the related legal agreement(s) or Disbursement Letter f or this project. If the undersigned is documenting expenditures paid f rom a Designated Account: (a) the expenditures cov ered by the application are eligible f or f inancing out of the proceeds of the loan/f inancing/grant in accordance with the terms of the related legal agreement(s); and (b) these expenditures hav e not been f inanced prev iously f rom sources other than the Borrower nor will the undersigned request f inancing f or the expenditures f rom any other source in the f uture.B. If the undersigned is making a request f or reimbursement or direct payment: (1) the expenditures cov ered by the application are eligible f or f inancing out of the proceeds of the loan/f inancing/grant in accordance with the terms of the related legal agreement(s); and (2) these expenditures hav e not been f inanced prev iously f rom sources other than the Borrower nor will the undersigned request f inancing f or the expenditures f rom any other source in the f uture.C. If the undersigned is making a request f or a tranche release under a Dev elopment Policy Loan/Financing/Grant: (1) an equiv alent amount of this deposit will be accounted f or in accordance with the terms of the related legal agreement(s); and (2) the proceeds of the loan/f inancing/grant will not be used to f inance excluded expenditures specif ied in the related legal agreement(s).D. The undersigned will make all records related to the expenditures cov ered by this Application f or Withdrawal av ailable f or rev iew by auditors and by World Bank staf f .


ANNEX 5: QUARTERY M&E REPORTING FORMAT

i) Quarterly M & E Report format

Background information

Summary comment on the purpose of the monitoring visit, the monitoring team composition, and the key outcome and output indicators agreed upon for purpose of this monitoring mission. (As per the project results framework)

Visit details

Date Area/location of visited Participants

CIG, VMG, micro- /subproject

key outputs Indicators Observations/

Remarks

General Observation Insert the general observations from the monitoring visit. This may be a few paragraphs up to a few pages. Include photos, to illustrate the points. This section discussion include: progress of project activities, is the project addressing priority needs? what is the level of involvement of the community in planning and implementation of project activities? etc.

Specific Issues and Actions

List the specific issues/ problems that were identified during the visit.

Identify the actions that need to be taken to solve the problem. This should include the specific individuals responsible for taking the action, and when it should be completed.

Issues Identified Actions to be Taken

Summary of conclusions and way forward

235



ANNEX 6: RESULT FRAMEWORK KENYA CLIMATE SMART AGRICULTURE PROJECT (P154784)

Results Indicators Unit of Measure Baseline

Cumulative Target Values (Year)

Frequency Data Source/Methodology

Responsi-bility for Data Col-lection

Description (indicator definition etc.)1 2 3 4

5Final year

Direct project beneficiaries,1 share of which female.Total:2

Number

0 9,075 88,450 278,900 487,500 521,500

AnnualSurvey, annual reports from CIGs submitted through MIS

CPCUs

The indicator captures direct project beneficiaries by investment window, who are: (i) organized in CIGs, (ii) VMGs; (iii) benefit from county level investment; (iv) are members of PPPs. Beneficiaries receive unique ID numbers to avoid double-counting.

(i) CIGs 0 8,168 49,005 98,010 163,350 163,350

(ii) VMGs 0 908 5,445 10,890 18,150 18,150(iii) County investment 0 0 24,000 120,000 216,000 240,000

(iv) PPP 0 0 10,000 50,000 90,000 100,000

share of which female Percentage 0 30% 30% 40% 45% 45% Annual

236








5Final year

Productivity: Increase in productivity of selected agricultural commodities supported by the project.

Percentage

0% 2% 5% 15% 20%

Annual

Survey, annual reports from CIGs submitted through MIS

CPCUs

Percent increase in crop or livestock yields for priority commodities in targeted counties. The indicator measures yield increase from target beneficiaries who are adopting TIMPs as promoted by the project, thus demonstrating progress towards achieving the PDO – increasing productivity. The baseline values indicate annual averages, unless otherwise indicated.

Sorghum 1,000 kg/ha

Millet 900 kg/haCassava 5,000 kg/

ha

Dairy1,500

liter milk/female/

lact. period

Aquaculture 1,200 tons/ha

237








5Final year

Resilience: Targeted beneficiaries (in CIGs/VMGs) who have adopted at least one TIMP promoted by the project, share of which female

Number 0 5,445 32,670 72,600 108,900 Annual

Survey, CIG annual reports submitted through MIS

NPCU/CPCUs

Beneficiaries in CIGs/VMGs receive training and advisory services on TIMPs. It is expected that by the end of the project 60 percent of beneficiaries who have received training will have adopted at least one improved technologies.

Percentage 0 30% 30% 40% 45% 45%

Component 1: Upscaling Climate-Smart Agricultural Practices

Subcomponent 1.1: Building Institutional Capacity and Strengthening Service Delivery

Client-days of training provided on TIMPs, share of which female

Number 0 45,375 272,250 544,500 907,500 907,500 Annual

Survey, Annual reports from CIGs submitted through MIS

CPCUs

Beneficiaries, percent of which female, in CIGs and VMGs receiving training and advisory services on TIMPs; each beneficiary receives five days of training.

Percentage 0 30% 30% 40% 45% 45% Annual

238








5Final year

Beneficiaries satisfied with relevance, timeliness and effectiveness of TIMP advisory services received (disaggregated by gender)

Percentage 30% - - 70% - 70%Baseline, mid-term, end of project

Survey CPCUs

Surveyed beneficiaries of CIGs and VMGs who have received trainings satisfied with CSA advisory services as a proportion of surveyed target beneficiaries.

Subcomponent 1.2: Supporting Investments in Smallholder Agro-pastoral production SystemsSubcomponent 1.3: Supporting Investments in Pastoral Production Systems

Grants approved for CIGs, VMGs, PPPs and counties, of which successfully completed

Number Annual

Annual reports from CIGs submitted through MIS; progress reports / MIS

CPCUs

The grants include matching grants to (i) CIGs; (ii) VMGs; (iii) counties; and (iv) PPP (sub-component 1.2) Projects graded ‘successful’ as a share of total approvals.

(i) CIGs 0 248 1,485 2,970 4,950 4,950

(ii) VMGs 0 55 330 660 1,100 1,100

(iii) Counties 0 0 9 43 78 87

(iv) PPPs 0 0 4 20 36 40

Of which successfully completed

Percentage 0 0% 0% 30% 70% 100%

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5Final year

Productive assets brought under TIMPs as a result of the project Hectare

Annual

Annual progress reports / MIS; annual reports from CIGs submitted through MIS

CPCUs

This indicator measures the productive assets of agricultural and pastoral households as well as assets which are targeted by county-level investments to which TIMPs are applied.

Total land area 0 0 0 180,000 420,000 600,000

Head of livestock Number 45,000,000 45,000,000 54,000,000 56,250,000 58,500,000

Reduced net GHG emissions per unit of product produced for selected agricultural commodities:

Percentage Baseline, mid-term, end of project

Survey of commodities, GHG intensity will be calculated using the cool farm tool and GLEAM-I (livestock)

NPCU/CPCUs

This indicator measures a reduction in emission intensity, i.e. net kgCO2e emission/kg of output for selected commodities; the indicator includes soil carbon.

Sorghum 0.89 kg CO2e/kg -10% -15%

Millet 0.99 kg CO2e/kg -10% -15%

Cassava 0.18 kg CO2e/kg -10% -15%

Dairy

176 kg CO2e/kg of milk protein in pastoral systems

-10% -15%

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5Final year

Component 2: Strengthening Climate-Smart Agricultural Research and Seed Systems

Subcomponent 2.1: Supporting Climate-Smart Agricultural Research and Innovations

TIMPs tested through on-farm trials, share of which validated.

Number 0 24 96 216 312 360

Annual Progress reports / MIS NPCU

The indicator measures the number of TIMPs which are tested through on-farm trials for validation and the share of which being validated

Percentage 0 0% 2% 10% 15% 25%

Farmers participating in on-farm TIMP trials, share of which female

Number 0 96 384 864 1,248 1,440


This indicator measures the extent of participatory research conducted.

Percentage 0 30% 30% 40% 45% 45%

Subcomponent 2.2: Building Competitive and Sustainable Seed Systems

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5Final year

Seed production units receiving technical Assistance/support via the project

Number Annual Progress reports / MIS NPCU

Number of seed production units which are supported through access to credit guarantee scheme, technical assistance and revolving funds.

(i) Credit-guarantee scheme 0 0 12 24 48 60

(ii) Technical assistance for seed retailers and CBOs 0 120 20 360 480 480

(iii) Revolving fund for community based seed production units

0 24 48 72 96 96

Increased production of climate-smart agriculture inputs by seed and breed stock producers supported by the project


Volume of seed and breeding stock produced through project support. (i) Early generation

seed Tons 0 15 20 26 35 45

(ii) Certified seed Tons 0 45 90 120 150 210(iii) Livestock parent stocks Heads 0 120 270 570 1,020 1,320

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5Final year

Subcomponent 2.3: Strengthening Technical and Institutional CapacitySubcomponent 3.3: Building Technical and Institutional and Capacity

Post-graduate degree and short-term technical training completed, share of which completed by women

Number; percentage female


Number of MSc and PhD degrees awarded to students supported by the project and number of short term courses completed by targeted staff.

PhD 0 0 0 0 8 130 0 0 40% 40%

MSc 0 0 0 28 42 420 0 50% 50% 50%

Short-term training 0145 295 440 575 580

30% 30% 30% 30% 30%


Subcomponent 3.1: Improving Agro-meteorological Forecasting and Monitoring

New and refurbished agro-, automatic weather stations and hydro-meteorological facilities

Number0 48 150 198 198 198


This indicator track progress of the implementation of installation plan

Subcomponent 3.2: Developing Integrated Weather and Market Information System

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5Final year

Users receiving integrated agro-weather information and market information services, share of which female

Number 0 720,000 1,200,000 2,400,000 3,600,000 4,800,000

Annual Integrated weather and market information system

NPCU

The indicator monitors the number of users reached with advisory services. The data stems from registration system to the integrated weather and market information system, it’s feedback mechanisms and is supplemented by farm surveys

Percentage 0 30% 35% 40% 50% 50%


Satisfactory quarterly project interim financial and monitoring reports submitted within 45 days of end of the previous period

Percentage 0 50% 60% 75% 100% 100% Quarterly Progress reports / MIS

NPCU/CPCU

Reports specified in the financing agreement.

Grievances registered related to delivery of project benefits that are actually addressed

Percentage 0 30% 50% 60% 80% 100% AnnualSupervisionmissions andAnnual report

NPCU/CPCU

Mechanism to ensure that complaints are being promptly reviewed and addressed



ANNEX 7: GENDER MAINSTREAMING, AND SOCIAL AND ECONOMIC INCLUSION OF YOUTH AND VULNERABLE AND MARGINALIZED GROUPS (VMGS)

Gender MainstreamingSocial and Economic Inclusion of Youth and Vulnerable and Marginalized Groups (VMGs)

Cross-cutting:

KCSAP gender mainstreaming efforts aim at contributing towards closing the gender gaps within the beneficiary’s communities and ensuring that both men and women will participate and benefit from the CSA interventions. The following approaches will be used;

1. Capacity building and gender awareness creation of all stakeholders to include; technical staff in the implementing and executing agents (NPCU, CPCUs, county governments, sub-county and ward administrators, SPs, extension workers,) as well as beneficiary groups and their leaders

2. Undertaking gender analysis (GA) at the onset of project implementation to develop an understanding of the site-specific gender, cultural and socio-economic context within the targeted communities. This analysis will explore differential vulnerability of men and women, youth and other VMGs to risk, opportunities and benefits, power relations within the household and the community, willingness to take on risk, and modes of access to sources of information. Findings of this analysis will inform the identification and application of CSA TIMPs.

Social inclusion aims at ensuring that youth and all other vulnerable and marginalized groups within the targeted communities participate and benefit from the CSA interventions. The following approaches will be used;

1. Capacity building, and social awareness actions of all a stakeholder to include; technical staff in the implementing and executing agents (NPCU, CPCUs, county governments, sub-county and ward administrators, SPs, extension workers,) as well as beneficiary groups and their leaders

2. Undertake a social and economic inclusion analysis as part of the PICD process to develop an understanding of the site-specific social exclusion concerns, cultural and socio-economic context, differential vulnerability and opportunities of all VMGs to include; unemployed youths, elderly men and women, windows and orphans, the differently-abled, substance/drug abusers, people living with or households affected by HIV/AIDS

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Component 1: Upscaling Climate-smart Agricultural PracticesSubcomponent 1.1: Building Institutional Capacity and Strengthening Service DeliveryCapacity Building at Community LevelGender mainstreaming efforts under this component will contribute towards closing the gender gap in productivity, increase women’s capacity and promote female entrepreneurship.

The following approaches will be used;1. Use a gender perspective during PICD process to identify the gender gaps and opportunities in regard to climate smart agriculture.

2. Include a gender perspective during analysis ofpriority value chains in order to identify gender specific challenges and opportunities that will enhance participation and benefits. to both women and men

3. Use of the 30% gender rule during establishment of community level leadership to enable both men and women beneficiaries will participate in the decision-making processes.

4. Include gender mainstreaming as part of the SPs’ ToR by;• Including targets for women and men in the set

payment benchmarks

• Ensure gender concerns are taken into account in the EDPs (appropriate venue and timing of key meetings and information sharing to ensure both men and women can participate and access information (e.g., avoiding market days and male-dominated gathering places when planning training sessions)

The efforts for social inclusion, like gender mainstreaming, also aim at ensuring that youth and the vulnerable and marginalized groups increase their productivity and capacity to promote their entrepreneurship skills.The following approaches will be used;1. Use of an all-inclusive PICD process to ensure that VMGs are identified and facilitated to form groups.

2. SPs in collaboration with the sub- county technical departments to assist the VMGs to identify their priority value chains and develop viable CSA micro-projects for funding under the window 1 VMG support

3. Including the VMGs needs in the planning of the EDPs in regard to appropriate venue and timing of key meetings and information sharing’ to ensure that the various categories of VMGs can participate and access information. This should include; i) use of different modes of capacity building and means of communication: -effective use of ICT, existing social media networks, and cultural events and performances could be ways to better reach and communicate with youth when planning training sessions)ii) Plan separate training programs for youth that are tailored to their needs and lifestyles.



• Tailor-making trainings to the specific gender roles/needs of men and women to ensure trainings can actually make changes on the ground

5. Facilitate opportunities for female representatives to share their opinions and to influence decisions to be made as a group, by:Periodically creating visible interfaces between female representatives and SPs as the project proceeds.6. Identifying a member of the each of the

community level structures ( CIG, CDDC, CDVCDC, CDDO) as a “gender and social inclusion champion,” who in collaborate with the relevant county-level officers will ensure gender and social concerns are taken care off throughout the project.

7. Facilitate women CIG members to form their own saving groups’ build their capacities (i.e., financial management skills) to enable such groups to federate into Community Savings and Loan Associations (CSLAs). The project will provide matching grants to boost the CSLAs’ capital. These would ultimately form SACCOs or be linked to micro-finance institutions

8. Undertake trainings to give “Soft skills” to women and girls to build their self-esteem and help improve the confidence of women and girls to make informed decisions.

.4. Include VMGs micro projects service provision needs among the SPs’ targets and payment benchmarks

5. Use of the 30% gender rule during establishment of community level leadership to enable youth and VMGs representation

6. Facilitate representation of youth in theCDDC to take up specific roles—for example, a role in communications and monitoring using mobile devices.

7. Raising awareness on social and health risks in regard to HIV/AIDS, drug abuse, malaria prevention and reproductive health.

8. Facilitate youth and VMG groups to form their own saving groups’ build their capacities (i.e., financial management skills) to enable such groups to federate intoCommunity Savings and Loan Associations (CSLAs). The project will provide matching grants to boost the CSLAs’ capital. These would ultimately form SACCOs or be linked to micro-finance institutions. .

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Subcomponent 1.2: Supporting Investments in Smallholder Agro-pastoral Production Systems(Window I and II)

The gender mainstreaming efforts will aim at empowering women to elevate their productive capacity and economic status to enable them fully participates in VCs, POs and SACCOS. An affirmative action has already been put in place that 10% of total grants under window 1, the efforts to achieve this will include;

1. Use a gender perspective during the identification of CIGs, and POs that have a potential to qualify for matching grants

2. .SPs in collaboration with the CPCU to ensure women’s participation during capacity building on proposal development. As well as during the proposal development forums

3. CTAC and CPSC to adopt affirmative action during the vetting of micro project propels to ensure that 70% of the CIGs’ grants are allocated to women dominated CIGs / Pos

4. Adopt the 30% gender rule during establishment of the sub project management committees (PMCs) to ensure representation of women beneficiaries.

5. Create income generation and employment opportunities for women during the implementation of CSA sub projects by ensuring that all the unskilled labour is sourced locally

The inclusion of unemployed youth and VMGs towards elevating their productive capacity and economic status to enable them fully participate in VCs, POs and SACCOS will focus on;

1. SPs to assist youths and VMGs (bothexisting and new groups to identify viable micro project opportunities and to develop proposals.

2. SPs in collaboration with CTDs to capacity build youth and VMGs groups onproposal development and group dynamics as well as other cross cutting issues in regard to their micro projects.

3. CTAC and CPSC to ensure fair and equitable distribution of the VMGs grants during the vetting of micro project proposals by allocating 50% of the grants to youth groups as an incentive to attract them to agriculture and the lest to other VMG groups.

4. CPSC to lobby the county government to boost the youth groups micro projects by enhancing their access to the startup inputs such as land by allocating to them public land on which to implement their micro project interventions


Gender MainstreamingSocial and Economic Inclusion of Youth and Vulnerable and Marginalized Groups (VMGs)5. Adopt the 30% gender rule during establishment of the sub project management committees (PMCs) to ensure representation of youth and other VMGs beneficiaries

6. Create income generation and employment opportunities for youth and VMGs during the implementation of CSA sub projects

Subcomponent 1.3: Supporting Investments in Pastoral Production Systems (Window II)

Task the CTDS to take into account gender concerns during the selection and development of NEDIpriority investments in order to identify opportunities for women’s participation. Such opportunities to include; supporting as well as linking them to other county-level support programs e.g., safety net programs like cash transfers for the poor. The approaches to be used include;1. Adopt the 30% gender rule during establishment of the sub project management committees (PMCs) to ensure representation of women beneficiaries.

2. Create income generation and employment opportunities for women during the implementation of CSA sub projects by ensuring that all the unskilled labour is sourced locally

Task the CTDS to take into account youth and VMGs concerns during the selection and development of NEDI priority investments in order to identify opportunities for such groups to participate and benefit. Such opportunities to include;Employment programs for VMGs, including youth, as well as linking them to other county-level support programs. The approaches to be used include;1. Adopt the 30% gender rule during establishment of the sub project management committees (PMCs) to ensure representation of youth and other VMGs beneficiaries2. Create income generation and employment opportunities for youth and VMGs during the implementation of CSA sub projects by ensuring that all the unskilled labour is sourced locally

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Component 2: Strengthening Climate-Smart Agricultural Research and Seed SystemSubcomponent 2.1: Supporting Climate-Smart Agricultural Research and InnovationsThe gender mainstreaming efforts are aimed at reducing the gender gap especially in women’s access to agricultural technologies, innovations, and management practices (TIMPs) through extension/advisory services that eventually will lead to reducing gender gap in productivity.

The initiatives will include;

1. Capacity building the researchers on integrating gender issues during the designing and implementation of their research programs in order to enable them take into account the gendered needs and priorities of farmers during the development, evaluation and dissemination of TIMPs that deliver CSA triple-wins.2. Undertaking socio-economic studies using a gender lens to improve understanding of the gendered opportunities and constraints related to adoption of climate-smart TIMPS.

3. Broaden the research activities to include those that pay special focus on CSA practices that go beyond agricultural productivity but also enhance food and nutrition security

4. Ensuring both men and women participate in on-farm TIMPS trials and validation exercises.

5. Develop TIMPs that are socially acceptable and include those that have potential to reduce the drudgery as well as energy and time saving TIMPs to enable women undertake other productive ventures

The inclusion of youth and VMGs efforts are aimed at enhancing youth and VMGs access to agricultural technologies, innovations, and management practices (TIMPs) through extension/advisory services that eventually will lead to increased productivity and resilience.

The initiatives will be similar to those under gender mainstreaming with TIMPS that focus on VC/activities appropriate to youth and VMGs. Examples; vegetables, fruits, for crops and small ruminants (rabbits, goats and sheep) and local poultry for livestock.

Other activities that may require research packages and mapping are:i) Tree nurseries as important source of income, particularly for youth and other VMGs

ii) Conservation agriculture on vegetables, fruits and Apiculture;

iii) Promotion of Flexi-biogas technology that provides cooking gas, lighting, and even electricity.



6.. Include gender perspectives during ex ante and post ante cost benefit analysis of the various TIMPS and sectoral policies to understand the binding social, cultural, economic and policy constraints faced by men and women farmers/agro-pastoralist/pastoralists in their efforts towards adoption of CSA TIMPS. Also include mapping gender roles and relations along the value chain; moving from gender inequalities to gender-based constraints; assessing the consequences of gender-based constraints; taking action to remove gender-based constraints; and measuring the success of action.

7. Hold the research teams accountable to gender through collection and reporting of sex and gender disaggregated data throughout the research process

Component 3: Supporting Agro-weather, Market, Climate and Advisory ServicesSubcomponent 3.1: Improving Agro-meteorological Forecasting and MonitoringSubcomponent 3.2: Developing Integrated Weather and Market Information SystemThe component 3 contributes to closing the gender gap in productivity by ensuring that the channels of distribution of agro-weather and market information are available for both women and men farmers. The intervention to achieve these include;

1. Integrating gender concerns during data collection as well as in the packaging and dissemination of agro-weather information. This include use of non-technical and local languages to enable better understanding of weather variability, and enhanced ability to predict shifting weather patterns as well as using pathways that are accessible by all..

2. Use a gender perspective in the development of “Big Data” for CSA; (b) strengthening the Market

The needs for youth and VMGs will be taken into account during data collection as well as in the packaging and dissemination agro-weather and market information to include; development of entertainment and educational shows (in local languages) that engage youth, VMGs, male and female farmers in the local media forms/types.

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Information Systems (MIS) and services; and (c) delivering integrated weather and market advisory services using ICT1 and existing agricultural extension networks as well as in the collection and digitization of time series agricultural data

.Subcomponent 3.3: Building Technical and Institutional and CapacityThis subcomponent will finance the institutional and technical capacity building of the national and county governments to enable them to deliver on their Component 3 mandates. The gender mainstreaming efforts will focus;

1.Use a gender perspective during capacity needs assessment to identify the capacity needs of both male and female staff2.Adopt the 30% gender rule during the selection process of beneficiaries of the various capacity building initiatives (sensitization; short-term and long-term training)

Include youth and other vulnerable staff during capacity needs assessment and the selection process of beneficiaries for the capacity building initiatives

Subcomponent 4.2: Monitoring & Evaluation and Impact EvaluationGender sensitivity has been taken into account in the projects’ results framework that includes targets for female farmers in most of the key performance indicators. As such the project M&E system is designed to ensure collection and reporting of data information that is disaggregated by gender.. Baseline information for M&E will be collected to measure project’s effectiveness. The gender mainstreaming efforts will include;

1. Use of a gender perspective during baseline data

Social inclusion has been emphasized in the project design and the expected number of VMG beneficiaries clearly indicated. As such the project M&E system is designed to ensure collection and reporting of data information in regard to the progress and outcomes of VMG s.. Baseline information for M&E will be collected to measure project’s effectiveness. The social inclusion efforts will include;

1 ILRI has just begun a project with USAID support to provide a comprehensive market information system that will include forage condition forecasts for pastoral systems.



collection and reporting.

2. Use of gender and social perspectives in the design of M&E data collection tools and reporting formats to hold the implementing teams accountable to gender mainstreaming and social inclusion

1 .Use of a social perspective during baseline data collection and reporting2. Use of a social perspective in the design

of M&E data collection tools and reporting formats to ensure the progress and outcomes of VMGs are documented.

Subcomponent 4.3: Contingency Emergency ResponseThis zero cost subcomponent is meant to finance eligible expenditures related to emergency response costs in case of natural disasters affecting the agricultural sector.

The gender mainstreaming efforts will focus on ensuring that the needs of women and men are taken into account during the identification emergencies and the responses are tailored towards meeting the needs of all gender groups.

The social inclusion efforts will focus on ensuring that the needs of youth and VMGs are taken into account during emergenciesand the responses are tailored towards meeting the needs of all VMGs.

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ANNEX 8: DETAILED PROJECT IMPLEMENTATION MATRIX

Implementation Matrix: Component 2: Strengthening Climate-Smart Agricultural Research and Seed Systems

No. Activities MethodologyPeriod

Responsibility

Expected Output(s)Y

1Y2

Y3

Y4

Y5

2.1 Supporting Climate-Smart Agricultural Research and Innovations

2.1.1 Support Identification and Prioritization of TIMPs within the NARS and at County leveli) Conduct inventory of

available TIMPs;a) Desk study on secondary data of

available technologiesb) Develop the tool for

inventorizationc) Capacity-build supervisors and

enumerators d) Pre-test and refine the data

collection toole) Data collection and analysisf) Document inventory

KALRO/NARs

Inventory of TIMPs conducted

ii) Conduct a locale-specific mapping of TIMPs

a) Conduct a stakeholder forum to prioritize TIMPs in target counties

KALRO & NARs

Locale specific mapping of TIMPs

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b) Select and assign TIMPs to appropriate AEZ and production systems

c) Develop suitability map for the priority TIMPs

conducted

2.1.2 Prepare technical training materials and module on relevant TIMPs

i) Technical training materials and modules

a) Identify the subject matter specialist(s)

b) Hold a write shop with the stakeholders

c) Review and produce the training materials and modules

KALRO & NARs

Technical training materials and modules produced

2.1.3 Deliver technical training on TIMPs to technical departments and external service providers

i) Capacity-build of technical staff on TIMPs a) Identify trainers and trainees

b) Conduct training of trainersc) Evaluate impact of training

KALRO & NARs

Training of technical staff on TIMPs conducted

2.1.4 Conduct adaptive research to validate TIMPs at County and Community levels/Develop new TIMPs based on Identified gapsi) Develop, validate, and

promote best-bet TIMPs at farmer level through participatory approaches and on farm trials

a) Identify best-bet TIMPs and select innovation sites at the counties/communities

b) Identify appropriate participatory approach and capacity-build

KALRO/NARs

Best-bet TIMPs at farmer level developed and promoted

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c) Set up on-farm trialsd) Collect and analyze datae) Make recommendations and

develop dissemination packages

A Crops

i) Conduct an inventory of available crop varieties

a) Desk study on secondary data of available technologies

b) Develop tool for inventory including a calendar of management practices

c) Capacity-build facilitators and enumerators

d) Conduct activities to include missing data

e) Conduct workshops to assemble information

f) Document inventory

KALRO & NARs

Inventory of available crop varieties conducted

ii) Conduct a locale-specific mapping of germplasm-related needs for improved targeting

a) Conduct a stakeholder forum to prioritize TIMPs in target counties

b) Select and assign TIMPs to appropriate AEZ

c) Develop suitability map for the priority TIMPs

KALRO & NARs

locale-specific mapping of germplasm-conducted

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iii) Develop, validate, and promote best-fit germplasm technologies at farmer level through participatory approaches and on farm trials

a) Identify best-bet TIMPs and select innovation sites at the counties/communities

b) Identify appropriate participatory approach and capacity-build

c) Set up on-farm trialsd) Collect and analyze data

Make recommendations and develop dissemination packages

KALRO & NARS

Best-fit germplasm technologies at farmer level through participatory approaches and on farm trials, developed, validated and promoted

iv) Strengthen surveillance of plant pest, weeds and diseases and promote crop health-related Climate-smart TIMPS;

a) Establish disease, weeds and insect pest occurrence and geo-reference their distribution

b) Determine potential losses associated with pest and diseases

c) Document priority pest and diseases and develop compendium

d) Develop simplified insect pest, weeds and disease management calendars

e) Develop appropriate CS management strategies

KALRO, NARs &KEPHIS

Surveillance of plant pest, weeds and diseases strengthened and crop health-related Climate-smart TIMPS promoted

v) Enhance acquisition, characterize, conserve and utilize germplasm to

a) Identify and characterize the landraces of existing crops and document phenology

KALRO & NARs

acquisition, characterization, conservation

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support Climate-smart agriculture

b) Enhance and sustain capacity for communities to conserve

c) Map the distribution of the varieties and landraces

d) Identify priority species with communities that are targeted

e) Identify appropriate in-situ conservation site (private/government land)

f) Produce seedlings to generate community/satellite garden(s)

g) Maintain the community/satellite gardens

h) Establish protected areas for conservation;Develop MoU with agents responsible (KFS, KWS or private individualsIdentify the degraded habitat within the conservancy and rehabilitateRestoration or enrichment planting

f) Identify farmer-preferred ecotypesg) Re-introduce preferred species

amongst communities

and utilization germplasm to support Climate-smart Agriculture, enhance and characterized

258



vi) Develop, validate and optimize post-harvest technologies to minimize losses and meet quality and food safety standards

a) Conduct an inventory of post-harvest losses on targeted crops

b) Conduct surveys to establish postharvest losses on crops

c) Determine level of awareness of post-harvest losses among farmers

d) Develop and validate technologies to minimize losses

e) Set-up innovation sites to demonstrate postharvest technologies

f) Capacity-build farmers on handling and management of the technologies

g) Determine distribution of mycotoxin contaminants across AEZs and crops-livestock systems

h) Capacity-build trader, millers and agro-processors on to improve food safety

KALRO & NARs

Post-harvest technologies to minimize losses and meet quality and food safety standards developed, validated and optimized

259



B Livestock and Aquaculture

i) Test and adapt forage varieties tolerant to both biotic and abiotic stresses resulting from climate change

a) Identify forage varieties in the target counties

b) Undertake screening trials under different agro ecological zones and production systems in the target counties

c) Develop management packagesd) Conduct workshops to package and

disseminate the forage TIMPs

KALRO & NARs

Forage varieties tolerant to both biotic and abiotic stresses resulting from climate change tested and adapted

260



ii) Conserving and upgrading local livestock, aquaculture genetic resources, matching different livestock/aquaculture germplasm to environment to enhance their productivity and adaptation to climatic variability

a) Identify the existing species/ breeds societies and possible constraints

b) Enhance registration of the different livestock breeds with Kenya Stud Book

c) Capacity building of the breeders/ hatchery managers

d) Establish new breeds societies where they don’t exist (such as societies for camels, goats, sheep)

e) Collection and inventory of potential aquaculture fish species for conservation in Kenya

f) Build capacity of riparian community groups to manage and conserve endangered fish species and habitats

g) Develop sustainable management practices for aquaculture fish species

h) Initiate cryo-preservation of animal tissues, embryos, semen spawn for concomitant records

e) Establish fish gene bank and quarantine facilities

Local livestock, aquaculture genetic resources, matching different livestock/aquaculture germplasm to environment to enhance their productivity and adaptation to climatic variability conserved and upgraded

261



iii) Formulate rations using Climate-smart fortified feeds, feeding strategies and feed safety

a) Document available feed ingredients and rations in target Counties

b) Conduct proximate analysis to determine feed quality status

c) Formulate, fortify and produce feeds

d) Conduct on station and on-farm trials and collect data

e) Conduct stakeholder workshop to document and share information

Rations using Climate-smart fortified feeds, formulated and strategies for feeding developed feeding strategies and feed safety

iv) Promote TIMPs that increase honey productivity and improve bee ecosystem management

a) Conduct desk study to identify available TIMPs on honey production

b) Identify the existing bee strains/species and possible constraints

c) Capacity building of the bee keepersd) Collection and inventory of potential

bee species for conservatione) Build capacity of bee keeping

communities to manage and conserve the environment to make it conducive for bee keeping

f) Develop sustainable management practices for bee species

KALRO & NARs

TIMPs that increase honey productivity and improve bee ecosystem managementpromoted

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v) Fine-tune crop-livestock-aquaculture integration TIMPs for efficient nutrient cycling and water use and feed production

a) Inventories the existing crop-livestock and aquaculture integrated TIMPs

b) Identify through desk study and a survey on the most efficient in nutrient cycling, water use and feed production

c) Conduct on station and on farm trials and document

d) Conduct a dissemination workshop

KALRO & NARs

crop-livestock-aquaculture integration TIMPs for efficient nutrient cycling and water use and feed production fine-tuned

vi) Review the existing systems of disease and pest surveillance with a view to strengthening the development, validation, and promotion of appropriate control measures for priority/emerging livestock/aquaculture diseases

a) Establish disease, weeds and insect pest occurrence and geo-reference their distribution

b) Determine potential losses associated with pest and diseases

c) Document priority pest and diseases and develop compendium

d) Develop simplified insect pest, weeds and disease management calendars

e) Develop appropriate CS management strategies

KALRO & NARs

Existing systems of disease and pest surveillance reviewed and strengthened

vii) Evaluate and support uptake of aquaculture systems that increase productivity, reduce

a) Take inventory of existing aquaculture production systems

b) Conduct analysis of the appropriate CSA system in the target counties

KALRO & NARIs

Uptake of aquaculture systems that increase

263



disease losses, andintegrate sustainable water and land use practices

c) Identify areas of integration of the system into water and land use

d) Pilot the integrated aquaculture CSA TIMPs

e) Develop fish biosafety protocolsf) Identify and address the

aquaculture best management practices for disease control

productivity, reduce disease losses, andintegrate sustainable water and land use practices evaluated and supported

viii) Develop and promote fish-crop integration TIMPs

a) Conduct desk study to document existing aquaculture TIMPs

b) Identify and strengthen capacity of various key actors

c) Conduct on-station and on-farm trials to identify effective integrated TIMPs

d) Disseminate integrated CSA TIMPs to the stakeholders

KALRO & NARs

Fish-crop integration TIMPs developed and promoted

ix) Promote post-harvest conservation, value addition and storage of forages, crop residues, livestock and fish products to increase competitiveness and maximize benefits from

a) Conduct an inventory of post-harvest losses on targeted crops

b) Conduct surveys to establish postharvest losses on crops

c) Determine level of awareness of post-harvest losses among farmers

d) Develop and validate technologies to minimize losses

KALRO & NARs

Post-harvest conservation, value addition and storage of forages, crop residues, livestock and fish products to

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Climate-smart livestock and aquaculture TIMPS

e) Set-up innovation sites to demonstrate postharvest technologies

f) Capacity-build farmers on handling and management of the technologies

g) Determine distribution of mycotoxin contaminants across AEZs and crops-livestock systemsCapacity-build trader, millers and agro-processors on to improve food safety

increase competitiveness and maximize benefits from Climate-smart livestock and aquaculture TIMPS promoted

C Socio-economic Research

i) Develop baseline studies of various CSA technologies (Climate-smart NRM, crop, livestock and aquaculture TIMPs) with strong support from the thematic area’s scientists

a) Desk study on secondary data of available technologies

b) Develop tool for base line data collection various CSA TIMPs

c) Hold workshop to capacity-build facilitators, researchers and enumerators

d) Conduct baseline survey in target counties

e) Conduct write shops to analyze and assemble information

KALRO & NARs

baseline studies of various CSA technologies with strong support from the thematic area’s scientists developed

265



f) Conduct workshop for sharing baseline information

ii) ex-ante analyses to provide strategic socio-economic support during participatory development and delivery of CSA TIMPs for crops, livestock, aquaculture and NRM

a) Develop participatory tools for ex-ante data collection of various CSAs TIMPs

b) Hold workshop to capacity-build facilitators, researchers, producers and enumerators

c) Conduct participatory field survey in target counties

d) Conduct write shops to analyze and assemble information

e) Conduct workshop for sharing ex-ante information

KALRO & NARs

Ex-anteanalyses to provide strategic socio-economic support during participatory development and delivery of CSA TIMPs for crops, livestock, aquaculture and NRM conducted

iii) Market research to provide market information for development of CSA TIMPs

a) Develop tools for collecting market information for development of CSA TIMPS

b) Identify and train enumeratorsc) Administer the tools in target

Countiesd) Hold workshop to analyze data and

develop reports

KALRO & NARs

Market research to provide market information for development of CSA TIMPsconducted

iv) Conduct policy research and advocacy in CSA

a) Desk study to identify policy gaps in CSA

KALRO & NARs

Policy research and advocacy in

266



b) Identify policy experts and subject matter specialist to develop policy briefs

c) convene workshops/fora for all categories stakeholders to share findings and for advocacy

CSA conducted

v) Establish and maintain of an M&E system for CSA TIMPs related to crops, livestock, aquaculture and NRM research, and the development of seed systems

a) Identify and/or develop M&E tools b) Assemble the M&E team and

capacity-build on CSA TIMPs evaluation

c) Facilitate collection and analysis of M&E data

d) Make recommendations on actions based on finding of M&E

KALRO &NARs

M&E system for CSA TIMPs related to crops, livestock, aquaculture and NRM research, and the development of seed systems established and maintained

DSustainable Land, Water and Agroforestry

i) Identify grassroots institutions for strengthening collective action to upscale SLM practices in 24 counties

a) Desk review of existing grassroots institutions in target counties

b) Develop tool for inventoryc) Conduct a sensitization and

awareness workshop for all

KALRO &NARs

Grassroots institutions for strengthening collective action to upscale SLM practices in 24

267



stakeholders including county governments

d) Capacity-build facilitators and enumerators

e) Analyze institutions strengths and weaknesses with respect to CSA in a workshop

f) Conduct workshops to disseminate information

counties identified

ii) Assess and promote landand water TIMPs (including integrated soil fertility management approaches) in selected ASAL counties

a) Identify existing CS SLM TIMPsb) Conduct workshops to obtain

stakeholder perceptions and preference of SLM TIMPs in target counties

c) Conduct trials for demonstration of SLM TIMPs in selected sites

d) Conduct workshops to document the results

e) Package and disseminate information

KALRO &NARs

Land and water TIMPs (including integrated soil fertility management approaches) in selected ASAL counties assessed and promoted

iii) Develop and assess strategies for the rehabilitation of arid and semi-arid rangelands;

a) Identify ASAL rangelands in target counties

b) Conduct desk study to identify constraints and challenges

c) Form farmer groups or strengthen existing groups/associations

KALRO &NARs

Strategies for rehabilitation of arid and semi-arid rangelands developed and assessed

268



d) Conduct awareness and sensitization workshops

e) Conduct field trials on rehabilitation of rangelands and establish community demonstration plots

f) Conduct farmer-exchange field visits

g) Workshop to disseminate resultsiv) Develop and promote

simple mechanization technologies (e. g. rippers and planters) for CSA in target counties;

a) Desk review on available mechanization technologies (MT)

b) Conduct stakeholder workshops to identify suitable MT for target counties

c) Develop MT designsd) Fabricate prototypes and conduct

field testse) Develop training materials/modulesf) Identify and train artisans to

fabricate equipmentg) Demonstrate and train farmers on

use of the equipment’s

KALRO &NARs

Simple mechanization technologies (e. g. rippers and planters) for CSA in targetcounties developed and promoted

v) Introduce and evaluate agroforestry tree species suitable for soil health restoration and livestock

a) Desk review on the available agroforestry/silvopastoral tree species

KALRO &NARs

Agroforestry tree species suitable for soil health

269



feed in selected ASAL counties

b) Conduct stakeholder workshops to identify suitable agroforestry/silvopastoral/range grasses and fodder species

c) Identify/select suitable species relevant AEZ in the target counties

d) Establish tree nurseries and multiplication sites in relevant AEZ in the target counties

e) Establish demonstration sites and conduct field days

f) Conduct evaluationg) Document and disseminate results

in various forah) Assess impacts

restoration and livestock feed in selected ASAL counties introduced and evaluated

vi) Assess rangeland species dynamics (including invasive species) in response to climate variability and management practices and develop appropriate interventions

a) Develop tool for assessment of rangeland biodiversity

b) Identify, document and test mixes of rangeland species that would improve feed availability and increase resilience

c) Conduct rangeland vegetation inventories

d) Analyze data and disseminate results focusing on SCA

KALRO &NARs

Rangeland species dynamics in response to climate variability and management practices developed

270



vii) Determine carbon sequestration capacity of grassland, planted forages and crops and their effects on climate variables

a) Desk review on the available literature on carbon sequestration

b) Conduct vegetation/crop cover survey in target areas and analyze using GIS

c) Set up trials to determine carbon sequestration capacity of different vegetation/crops

d) Collect and analyze datae) Conduct write shopf) Disseminate information to

stakeholders.

KALRO &NARs

Carbon sequestration capacity of grassland, planted forages and crops and their effects on climate variables determined

E Sustainable Bio-energy

i) Identify and validate existing types and prototypes of simple low-cost bio-digesters, and promote the most appropriate innovations

a) Establish existing energy options available to farmers.b) identify potential beneficiariesc) Design low cost biogas units that meet the beneficiaries’ needs.d) develop training materialse) conduct sensitization and awareness workshop f) capacity build jua kali operators on construction of biogas unitsg) construct biogas units and do complete installation

KALRO &NARs

Existing types and prototypes of simple low-cost bio-digesters, and promote the most appropriate innovations identified and validated

271



h) monitor performance of biogas units for any defects

ii) Develop and promote efficient technologies for conversion of agricultural waste into useful forms of energy

a) Identify type of wastes available in target counties.

b) Conduct desk study on available efficient technologies for the identified agricultural waste

c) Develop modules/training/ extension materials

d) Conduct training workshop targeting interested beneficiaries

e) Capacity-build the different stakeholders including facilitators

f) Assess impact

KALRO &NARs

efficient technologies for conversion of agricultural waste into useful forms of energy developed and promoted

iii) Introduce, evaluate and promote improved kilns and ‘jikos’ for the production and use of charcoal to reduce biomass consumption

a) Conduct desk study on available improved kilns and jikos

b) Identify potential beneficiaries in target counties.

c) Develop training materialsd) capacity build jua kali operators

on construction of improved kilns and jikos

e) construct and avail improved kilns/jikos

f) Assess impact

KALRO &NARs

Improved kilns and ‘jikos’ for the production and use of charcoal to reduce biomass consumption introduced,evaluated and promoted

272



iv) Develop value chains that produce biofuel/biodiesel and other sources of renewable energy, including charcoal

a) Identify sources of renewable energy

b) Conduct desk study on available renewable energy options

c) Conduct situational analysis on different value chains and present report to stakeholders

d) Identify potential beneficiaries in target counties.

e) Develop training modulesf) Conduct training workshop

targeting interested beneficiariesg) Establish nurseries for the plant-

based biofuel sources including introducing new energy sources

h) Capacity-build the different stakeholders including facilitators

i) Implement biofuel innovations using identified champions

j) Assess impacts

KALRO &NARs

Develop value chains that produce biofuel/biodiesel and other sources of renewable energy, including charcoal

F Managing risk and uncertainty in CSA (Funding from Component 3)

a) Identify production, market and environment risks in CSA

b) Identify and collect appropriate data required for crop/livestock/aquaculture weather modeling in target counties

KALRO

273



c) Develop crop/livestock/aquaculture weather modeling in target counties

d) Undertake interactions and formulations for crop/livestock/aquaculture models in target counties

e) Disseminate the information and knowledge

2.1.6 Coordinating component activities and strengthening linkages

i)Conduct research reviews and set priorities

a) Establish a review desk and identify reviewers

b) Hold workshop to identify and document priority research areas

KALRO &NARs

Research reviews conducted and priorities set

ii) Develop collaborative research proposals

a) Develop and publish collaborative research call for competitive research grants

b) Set-up an electronic proposal submission system

c) Receive and review proposals on-line

d) Select and allocate funds to successful proposals

KALRO &NARs

Collaborative research proposals developed

274



e) Convene workshop for different collaborators to harmonize and finalize proposal documents

iii)Prepare annual work plans and budgets

a) Receive, review and approve work plans and budgets from the research teams

b) Receive and compile a research quarterly report

KALRO &NARs

Annual work plans and budgets prepared

iv)

Initiate research platforms for inter- and intra-institutional information, communication and technology exchange/transfer

a) Develop relevant research consortiab) Hold biannual research fora for the

research teamsc) Develop electronic platform for

information sharingd) Organize information sharing

symposia

KALRO &NARs

Research platforms for inter- and intra-institutional information, communication and technology exchange/transfer initiated and maintained

v) Facilitate research activities

a) Purchase of two vehicles for secretariat

b) Purchase furniture and office supplies

KALRO &NARs

Research activities facilitated

Subcomponent 2.2: Building a Competitive and Sustainable Seed Systems

275



2.2.1 Production and maintenance of early generation seed and promotion of newly developed seed varieties

i) Institutionalize licensing and germplasm transfer agreements

a) Identify relevant institutions and stakeholders

b) Develop a policy on licensingc) Develop contract documents

KALRO, KEPHIS &NARs

Licensing and germplasm transfer agreements institutionalized

ii) Develop models for germplasm maintenance

a) Identify germplasm to be maintained

b) Conduct desk study on germplasm maintenance

c) Develop maintenance models

KALRO, KEPHIS &NARs

Models for germplasm maintenance developed

iii) Develop a grant system to support early generation seeds (breeder and basic seeds), fingerlings and livestock breeding stock

a) Maintain a list of seed producers benefiting from improved varieties/ fingerlings/breeds

b) Create policies on IP and royaltiesc) Establish finger printing

mechanismd) Establish an effective system for

royalty collection and granting

KALRO, KEPHIS &NARIs

Grant system to support early generation seeds fingerlings and livestock breeding stock developed

2.2.2 Strengthening Seed, Breed and Fingerlings Production Systems

276



i) Undertake market studies on improved seeds and livestock and fish breeds

a) Conduct market survey of the improved products and delivery of services

b) Share information with stakeholders

KALRO &NARIs

Market studies on improved seeds and livestock and fish breeds undertaken

ii) Identify and strengthen community-based seed and livestock germplasm production units

a) Identify community-based seed, livestock germplasm production units in target counties

b) Advocate for policy change for recognition of the community seed production units by KEPHIS

c) Mobilize and facilitate registrationd) Build capacity of seed and

livestock germplasm producers

KALRO &NARIs

Community-based seed and livestock germplasm production units identified and strengthened

iii) Establish a fellowship program to support training of seed producers, livestock breeders and fish seed

a) Identify training needsb) Set-up guidelines for managing the

fellowship fundc) Develop a selection criteria d) Identify potential training

institution on crop seed/livestock breeds/fish seed

e) Evaluate existing curricula and recommend review to respond to the training needs

KALRO &NARIs

A fellowship program to support training of seed producers, livestock breeders and fish seed established and maintained

277



iv) Provide training in business development skills to owners of fingerling, seed and livestock germplasm production units

a) Conduct training needs assessmentb) Identify trainersc) Develop training manuals and

modulesd) Identify potential trainees in target

countiese) Conduct training and monitor

progress

KALRO &NARIs

Training in business development skills to owners of fingerling, seed and livestock germplasm production units provided

v) Provide grants to fingerling and seed production units for the developing business plans

a) Identify needy fingerling/seed production units in target counties

b) Identify trainers in business development services (BDS)

c) Conduct ToT and facilitate BDS training

d) Asses impact

KALRO &NARIs

Grants to fingerling and seed production units for the developing business plans provided

2.2.3 Developing and strengthening alternative delivery systems for high value traditional seeds and OPVs

i) Form CIGs for seed production

e) i) Recruit service providers CPCUKALRO

CIGs for seed production

278



f) ii) Flag opportunity for seed production

g) iii) Recruit the interested members h) iv) Formalize formation through

contractsi) v) Organize farmer-groups into

CIGs/Co-operatives for community-based seed production

SPs formed

ii) Capacity-build for CIGs seed production unit

i) Develop training module(s) targeting a group or persons wishing to engage in seed productionii) Conduct training on seed production practices and quality assurance

KALROSPsNARIsCTDs

CIGs seed production unit capacity-built

iii) Establish certification mechanism

e) i) In collaboration with KEPHIS; i) Develop guidelines for

informal seed systemf) ii) Register seed producers and

establish a mechanism for regular quality check

KEPHISCPCUCTDs

Certification mechanisms established

iv) Support for a community-based storage, cleaning, packaging and selling/distribution system

g) i) Conduct a needs assessment for required infrastructure

h) ii) Support acquisition of consultant and contractor for

CPCUCTDsKALRONARIs

Appropriate storage, cleaning, packaging, selling/distributi

279



establishment of suitable storage, cleaning and packaging facilities

i) iii) Assist the CIGs/co-operatives to establish seed selling/distribution networks

on system established,

2.2.4 Catalyze growth of competitive Seed Retail Networks

i) Assess needs of input dealers

a) Develop a tool for surveyb) Conduct a needs assessment

survey in target counties

KALRO &NARIs

Needs of input dealers assessed

ii) Train, certify and geo-reference input dealers;

a) Identify the technical team to develop relevant manuals from KALRO and other NARIs

b) Assemble all relevant informationc) Conduct a facilitated workshopd) Develop modules

KALRO &NARIs

Input dealers trained, certified and geo-referenced

iii) Strengthen linkages between input dealers and crop/livestock/aquaculture input wholesalers

a) Conduct inventory of input dealers in the target counties

b) Hold stake holders workshopc) Facilitate formation of input

dealer’s associationd) Create information desk/call

center/mobile/web-based platform

KALRO &NARIs

Linkages between input dealers and crop/livestock/aquaculture input wholesalers strengthened

280



to link crop/livestock/aquaculture input dealers to wholesalers

iv) Establish a revolving fund to support input dealers

e) i) Identify and map out seed producers, livestock and fish breeders

f) ii) Establish platform to develop credit guarantee scheme

g) iii) Conduct capacity building in credit guarantee scheme

Credit guarantee scheme to support input dealers established

v) Provide institutional support to Seed Traders Association of Kenya (STAK), Plant Breeders Association of Kenya (PBAK), Aqua cultural Association of Kenya (AAK) and the Kenya Livestock Breeders Organization (KLBO)

a) Identify the needs of the associations

b) Conduct a consultative workshop to share experiences and identify opportunities and challenges

c) Capacity-build officials on group dynamics, financial, leadership and governance

KALRO &NARIs

Institutional support to STAK, PBAK, AAK and KLBO provided

vi) Provide support to the development of a fishery’smobile informationnetwork platform (M-samaki, AMIP) to enhance fingerling production, markets and other inputs

a) Identify the market information and develop content for target counties

b) Map the aquaculture value chain players

c) Identify service provider, pay subscription and roll it out

KALRO &NARIs

Providingsupport to the development of a fishery’smobile informationnetwork

281



retail networking in participating counties

d) Increase coverage of AMIP to cover the remaining counties

platform (M-samaki, AMIP) to enhance fingerling production, markets and other inputs retail networking in participating counties

2.2.4 Develop and advocate for conducive legal, regulatory and institutionary framework for seeds/breeds/fingerlings

i) Audit of the existing legal frameworks in the seed sector

Constitute a task force to audit existing legal frameworks on the seed sector in Kenya and relevant EAC protocols for harmonization

KALRO &NARIs

Existing legal frameworks in the seed sector audited

ii) Review and advocate for relevant legal frameworks to be consistent with the East African Community (EAC) harmonization protocols

a) Identify the relevant legal frameworks for review and advocacy

b) Hold stakeholders workshop for review

c) Carry out stakeholders awareness workshops on relevant legal frameworks

KALRO, NARIs & MoALF

Relevant legal frameworks to be consistent with the East African Community (EAC) harmonization protocols

282



d) Conduct stakeholder awareness workshops on seed legal frameworks in the EAC and their influence on CSA seed production in Kenya

reviewed and advocated

iii)

Conduct a survey on quality of seeds breeds and species in the target counties

a) Conduct surveys to develop an inventory of the quality status of cultivated crop seed varieties and domesticated livestock/aquaculture breeds/species in the targeted counties

KALRO &NARIs

A survey on quality of seeds breeds and species in the target counties conducted

iv)Strengthen the seed quality assurance system to meet international standards

a) In conjunction with KEPHIS, KEBS, KMFRI and Kenya Stud Book establish task forces to develop quality standards for CSA crop varieties and livestock/fish breeds

KALRO, KEPHIS &NARIs

Seed quality assurance system to meet international standards strengthened

2.2.5 Support a national public private dialogues (PPD) platforms on seed/breeds/fingerlings

i) Identify relevant stakeholders to form PPD;

a) Constitute a task force to identify and facilitate the formation of a national public-private dialogue (PPD) platforms on seeds, fish and livestock breeds

KALRO &NARIs Relevant

stakeholders to form PPD identified

ii) Facilitate the formation of the PPD platforms

a) Identify key stakeholders in the seed system

KALRO &NARIs

Formation of the PPD

283



b) Support the formation of PPD platform to address gaps in the seed systems

c) Conduct workshop to advocate for necessary reform measures

platforms facilitated

iii)

Facilitate regular meetings of the platforms

a) Provide financial support for meeting venues and attendance

b) Provide facilitators for backstopping

KALRO &NARIs

Regular meetings of the platforms facilitated

Component 2.3: Strengthening Technical and Institutional Capacity

2.3.1 Financing of professional development training for PhD and MSc

i)Identify training needs for CSA and facilitate training

a) Develop a training plan b) Formulate a criteria for selection

of staff for trainingc) Facilitate staff training

KALRO &NARIs

Training needs for CSA identified

2.3.2 Deliver CSA curriculum development, short term technical training and re-tooling

i)

Review curricula in agriculture and related programmes in learning institutions and make appropriate recommendation for inclusion of CSA

a) Constitute a task force to review current curricula in Agriculture and related programs in learning institutions

b) Conduct a desk study on current status of agriculture curriculum in tertiary institutions

KALRO &NARIs

Review curricula in agriculture and related programmes in learning institutions and

284



components c) Identify existing gaps with respect to CSA

d) Make appropriate recommendation for inclusion of CSA components

make appropriate recommendation for inclusion of CSA components

ii) Support the process of curriculum revision in relevant learning institutions to include CSA components

a) Hold a consultative meeting with relevant ministries and institutions to present findings of the curriculum review and recommendations

b) Recommend and advocate for mainstreaming CSA component in the curricula

c) Facilitate formation of a team of experts to develop and incorporate CSA concepts and strategies in the curricula

d) Pilot the new curriculum in selected learning institutions

e)

KALRO &NARIs

Curriculum revision process in relevant learning institutions to include CSA components supported

iii) Identify training needs for CSA and develop short-term technical training modules to address the needs

a) identify short term technical training needs for the county agricultural extension staff

b) Develop training materials and modules Identify and train trainers

KALRO &NARIs

Training needs for CSA identified and short-term technical

285



c) training modules developed

iv) Develop a training plan and formulate criteria for selection of staff for the short-term training and re-tooling

a) Identify experts in area of trainingb) Identify training needs of staffc) Formulate training plan and

develop criteria for selectiond) Conduct training

KALRO &NARIs

Develop a training plan and formulate criteria for selection of staff for the short-term training and re-tooling

2.3.3 Hiring interns in specialized areas to support the scientific staff

i)

Hire interns a) Identify areas requiring personnel support

b) Determine number of staffsrequired,

c) Develop criteria for hiring d) Develop contract agreement and

sign contract

KALRO &NARIs

Interns hired

2.3.4 Refurbishment and/or upgrading of research facilities and infrastructure

i)Conduct a needs assessment of institutional requirement for CSA

a) Constitute a team of experts to conduct facility needs of research institutions

KALRO &NARIs

Needs assessment of institutional

286



research b) Conduct desk audit of needs assessment of research institutions

c) Identify and document needs of the research institutions

requirement for CSA research conducted

ii) Refurbish and equip identified institutions

a) Conduct inventory of research institutions that require refurbishment and equipping

b) Prioritize research institutions in line with meeting the CSA objectives

c) Develop a procurement pland) Refurbish and equip

KALRO &NARIs

Identified institution(s) refurbished and equipped

287



ANNEX 9: IMPLEMENTATION MATRIX FOR SUPPORT TO AGRO-WEATHER, MARKET, CLIMATE AND ADVISORY SERVICES

No.

Activities(How)Methodology

(When)Period (Who)

Responsibility

Expected Output(s)

Y1 Y2

Y3

Y4

Y5

5.2.1 Improving Agro-meteorological Forecasting and Monitoring

5.2.1.1 Mapping and Rehabilitation of existing network of automatic and manual stations

i). Mapping of existing meteorological (both hydro-, agro-met) stations

a) Develop a GIS map locating the existing meteorological stations in the project counties

KMD GIS map of existing meteorological –infrastructure developed

b) Conduct a field survey to determine the status of existing meteorological infrastructure

KMD Survey report of the status of existing meteorological infrastructure.

c) Identify gaps in existing meteorological infrastructure for an efficient agro-weather information system

KMD Gap analysis report of the existing meteorological

288



infrastructure.

ii). Rescue of historical data from the different meteorological stations.

a) Collating and scanning of the meteorological registers

b) Archive the registers on external hard drives at the field stations

KMD Digitized data set

c) Data entry and archiving at the Headquarters

KMD Meteorological data base

iii) Capacity Building

Training and Development of Human Resource

KMD/ UK Met Office/ Equipment manufacturers

Trained and skilled Human Resource

iv). Designing and strengthening of weather observational network in the project counties

Identification of stations to be upgraded and modernized in the Project Counties

KMD/ A network of station report

Develop technical specifications of the required meteorological equipment

KMD A procurement report

Procurement of meteorological equipment

KMD/NPCU Report of procured equipment

Installation of the procured meteorological equipment

KMD Installation Report

289



No. Activities MethodologyPeriod

Responsibility Expected Output(s)Y

1Y2

Y3

Y4

Y5

5.2.2 Developing Integrated Weather and Market Information System

5.2.2.1 Developing ‘big data’ for CSA

i) Conduct situational analysis and survey to establish data availability and identify strategies for operationalizing big data for CSA

a) Scooping study on data availability

b) Develop strategies for operationalization of big data for CSA

c) Train facilitators and enumerators d) Conduct activities to identify

include missing datae) Undertake write-shop to collect

and document study findings

MOALF,KALRO& NPCU

Inventory of the different available big data for CSA established

ii) Segment and register Value Chain (VC) stakeholders to involved Big Data use for CSA

a) Conduct a stakeholder mapping and analysis to classify value chains in target counties

b) Register farmers and stakeholders including their big data requirements

c) Develop stakeholders’ register d) Recruitment and training of 480

MOALF & NPCU

Farmers and stakeholdersvalue chain map and database

Training Report

290



(20 enumerators*24 counties) enumerators.

e) Develop an automated pastoralist registration system and database for participating ASAL Counties

f) Build synergies with the pastoralist registration system developed by NDMA

iii) Establish homogenous production zones to support location-specific information and advisories for crops

a) Identification of value chain, livelihood mapping

b) Zoning verification and classification of the different value chains in target counties

c) Collect climatic data from met stations

d) Collect agricultural data; crop type, variety, yield, cropping season, pests and diseases, market prices

e) Develop climatic mapf) Zone the area based on available

data

MOALF,KALRO, KMD & NPCU

1. Homogenous production zones maps developed

2. Volume of data digitized

Establish homogenous production zones to support location-specific information and

a) Identification of value chain, livelihood mapping

b) Zoning verification and classification of the different value

3.

291



advisories for livestock chains in target countiesc) Collect climatic and NDVI data d) Collect livestock data; Type of

animal, breed, yield, common pests and diseases

e) Zone the unit area

iv) Collect available agricultural statistics data

a) Training of field enumeratorsb) Collation of available agricultural

statistics datac) Collection of location specific

agricultural statistics

KALRO, MOALF& NPCU

Inventory of the available agricultural statistics data for CSA established

v) Establish the Normalized Difference Vegetation Index (NDVI) agent a) Develop a criteria for selection of

the NDVI agentb) Select the NDVI agentc) Operationalize the activities of the

NDVI agent through infrastructure development and capacity building

MOALF, KMD, NPCU

Copy of criteria developed

Agent established in place

Periodic updates of agent operations that will

292



guide on crop and livestock insurance payouts

vi) Set-up infrastructure for ‘big data’ analytics

d) Develop technical specification for Big Data infrastructure

e) Procure of Big Data hardware and information system

f) Install and implement big data and hardware and information systems

MOALF,KALRO, NPCU

Big Data analytics infrastructure and information system (High Performance Computing and Big Data System for Agricultural Research) established

vi) Undertake Big Data analytics (descriptive, predictive and prescriptive Analytics

a) Summarize data into reduced, more useful pieces of information for presentation in reporting tool, for ease of use and availability

b) Analyze historical data to predict the future summarizing what happened in order to forecast the likelihood of an action or event

MOALF, KALRO, NPCU

Information presented and disseminated to various stakeholders in a useful manner

293



happening in futurec) Analyze big data to prescribe an

action and establish the cause to enable decision making and take action based on information provided

d) Present and share the analyzed pieces of data into required formats for use

v) Develop, update and maintain a suite of data mining/ machine learning algorithms for analyzing and establishing robust crop-weather relationships linked to crop yield information, daily weather time series data, and other relevant available contextual data

a) Develop data mining, machine learning and GIS algorithms

b) Collect and collate the different contextual data for application using the developed algorithms

KALRO, NPCU

Location specific data developed

5.2.2.2 Strengthening the Market Information System

i). Mapping of existing markets covered in the

a) Develop a GIS map locating the market centers covered in the

MoALF/ NPCU

GIS map of existing markets

294



current Market Information System (MIS) of MoALF

existing MIS covered in the MIS developed

Conduct a field survey to determine the status of markets covered in the existing MIS: Type of data collected; availability of market enumerator and identify gaps in data collection

MoALF/ NPCU

Survey report of the status of existing markets covered in the MIS

ii). Undertake a Capacity Needs Assessment to Establish gaps in the MIS

a) Develop a ToR for desired system

b) Undertake an in-depth investigation to assess the existing MIS

c) Undertake a gap analysis (infrastructure; facilities and Human Resource)

d) Report and Recommendation

MoALF/ NPCU

Recommendation Report

iii). Procure a Consultancy to strengthen and expand existing MIS to capture input and output market information in crops, livestock and

Developing ToRs for the Consultancy

MoALF/ NPCU

Consultancy for strengthening and expanding existing MIS procured

295



fisheries

iv). Designing and strengthening of MIS Identification of input and output

markets to be included in the MIS

MoALF Report of markets to be included in the MIS

Develop technical specifications of the required equipment and protective clothing

MoALF Procurement Report

Procurement of MIS equipment and materials (protective clothing)

MoALF/ NPCU

Proof of procured equipment and materials

MIS system development to cover input and output data in Wholesale, Farmgate and Retail markets

MoALF/ Consultancy

Operational MIS

Maintenance of MISMoALF/ Consultancy

Operational MIS

v). Expand the coverage of MIS to include at least 5 markets from each of the 47 Counties

Develop a GIS map locating 5 major agricultural markets in all the 47 Counties covering crops, livestock and fisheries products

MoALF/ Consultancy

vi). Rescue of historical data from the different markets.

a) Collating and scanning of existing market data

b) Archive the data on external hard drives

MoALF/ Consultancy

296



vii). Data analysis and dissemination a) Automate data

MoALF/ KALRO

Report of users receiving market information

viii). Enhancing partnerships and information sharing with other market information service providers

Undertake a survey to take stock of existing MIS providers

MoALF/NPCU

Survey Report of existing MIS providers

Provide a platform to enhance partnerships and information sharing with other market information service providers

MoALF/ NPCU

Minutes of meetings held

5.2.3 Delivering the integrated weather and market advisory services

i) Further development the existing agro-weather platform and tool at KALRO to include livestock, additional crops, project counties, VCs and market information system

a) Develop technical specification for agro-weather infrastructure and information system

b) Procure and hardware, software licenses and consultancy for supporting the development of integrated agro-weather information system and other related systems at KALRO

c) Install and implement hardware and information systems for agro-weather system and related

KALRO & NPCU

Hardware, software licenses, agro-weather informationsystem and integration with market information system established

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systems d) Integrate agro-weather

information system with market information systems

e) Undertake user acceptance testingf) Identify trainers and trainees for

agro-weather systemsg) Conduct training on agro-weather

systemh) Evaluate impact of trainingi) Undertake system testing for

delivering advisories iii) Purchase of bulk SMS

and communication costs

a) Determine the number of SMS required

b) Deliver SMS to farmers

KALRO, NPCU

Bulk SMS procured and delivered to farmers

5.2.3.1 Improve the existing ICT infrastructure and systems at KALRO and MOALFto effectively deliver data and information services

i) Develop, set-up, and acquire ICT infrastructure, equipment, devices, software and information system at KALRO and MoALF

a) Develop technical specification for ICT infrastructure and information system for KALRO and MOALF

b) Procure hardware, software licenses and various information system (high performing

KALRO, MoALF, NPCU

KALRO ICT infrastructure and information systems developed, established

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computing, private cloud computing servers, call Centre management and related systems) for supporting research activities and support operations for KALRO and MoALF

c) Install and implement hardware and information systems for KALRO and MoALF

d) Undertake user acceptance testinge) Identify trainers and trainees for

different information systemsf) Conduct training on different

information systems g) Evaluate impact of trainingh) Develop Service level agreementi) Undertake system testing

supporting research and support activities and operations

and improved

ii) Support communication systems and costs including call management for use by the different stakeholders (mobile/fixed telephonelines)

j) Maintain communication infrastructure and systems

KALRO, NPCU

Internet bandwidth /capacity and other communication costs procured and

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maintained

Improve Primary Data Centre and Disaster Recovery data Centre

a) Develop technical specification for required equipment and devices including uninterrupted power supply systems

KALRO, NPCU

Equipment and devices procured and installed

5.2.3.2 Establish data, information and knowledge management structures to ensure effective information flow, security, privacy, and protection of agricultural research data, information and knowledge

i) Identify knowledge and information needs, on specific value chains and project counties including undertaking a research study

a) Field study on of available TIMPsb) Develop information and

knowledge needs inventory on TIMPs

MOALF, KALRO, NPCU

Information and Knowledge Needs Assessment report

ii) Identify existing knowledge and information management assets, processes and practices upon which the systems, tools and platforms are to be built so as to create knowledge and

a) Conduct information and knowledge inventory to establish information and knowledge asset base

b) Establish information and knowledge sources

c) Develop information and knowledge database for the different value chains and project

MOALF,KALRO & NPCU

Information and knowledge asset database established

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information sharing, learning and collaboration for stakeholders

countiesd) Establish required application

programming interface for integrating the different information sources

iii) Pin-points the specific approaches, systems, tools and methods needed to improve agricultural research information and knowledge dissemination, collaboration and sharing between researchers, farmers and stakeholders

a) Identify best-bet approaches, systems and tools to facilitate agricultural research information and knowledge utilizationb) Identify researchers, farmers and stakeholders training needs on use of these systems and toolsc) Collect, data, process and disseminate d) Deliver agronomic advisories to farmers and stakeholders for the different value chains and project counties

KALRO & NARS

Information and knowledge advisories, developed and disseminated for CSA

iv) Describes the individual and organizational changes needed for the implementation of the knowledge platforms, systems and tools

a) Establish individual and organizations change needs

b) Develop appropriate policies, standards and strategies for managing data, information and knowledge to be used by the participating institutions

c) Implement the knowledge

KALRO,NPCU & MOALF

Data, information and knowledge for CSA sharing andutilization improved

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management policies, standards and strategies to foster utilization of research knowledge

5.2.4 Building Technical and Institutional Capacity

No. Activities (How)Methodology

(When)Period

(Who)Responsibility

Expected Output(s)

Y1

Y2

Y3

Y4

Y5

i). Procure a consultant for capacity needs assessment

Competitive bidding MOALF/ KMD/ KALRO/ NPCU

Procurement report

ii). Conduct a capacity needs assessment

a) Develop questionnairesb) Conduct a CNA surveyc) Analyze data collected on CNA

MOALF/ KMD/ KALRO/ NPCU

CNA report

iii). Development of Training Curriculum and Manuals

a) Conduct a workshop to develop training curriculum and manuals

b) Support training institutions to develop training curriculum and manuals

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iv). Infrastructure support to academic institutions

CNA of training institutions collaborating with KCSAPProcure, deploy and install the infrastructure based on CNA analysis

Academic institutions

Number of academic institutions supported

v). Capacity Building Training on Big Data in project counties

MOALF/ KMD/ KALRO/ NPCU

Number of Trainings held and reports

vi). Sensitization Seminars on CSA concepts

Conduct Sensitization Seminars and field days to raise awareness on CSA concepts

MOALF/ COUNTY GOVERNMENTS/KMD/ KALRO/ NPCU

Number of Campaign and workshops on Agro-weather system/ tools held

vii). Sensitization seminars and workshops on MIS

Organize, coordinate and hold sensitization workshops for all categories of stakeholders on various issues related to MIS

MOALF/ COUNTY GOVT/ NPCU

Number of workshops held

viii). Long term course (PhD & MSc)

Develop criteria for selection of candidates to be sponsored

MOALF/KMD/KARLO/NPCU

6 PhD degrees 30 MSc,

Inform all agencies on available opportunities

Announcement of courses through the Ministerial Training Committees

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Receipt and processing of applications

Award the scholarship

ix). Short courses on Big data/ Knowledge Management/ Information Systems

Develop criteria for selection of candidates to be sponsored

MOALF/ COUNTY GOVT/NPCU/ KALRO/ KMD

Number of short courses attended

Inform all agencies on available opportunities

Announcement of courses through the Ministerial Training Committees

Receipt and processing of applications

x). Supervision and backstopping for quality control of information systems

Field visits to participating Counties and implementing partners

MOALF/KMD/KALRO/ NPCU/ CCU/

Field visits reports

xi). Training on modern data collection for enumerators

Organize and coordinate training workshops

MOALF/ NPCU/ CCU/

Number of enumerators trained

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xii). Specialized staff capacity building on agro weather and market advisory services

Organize and coordinate training workshops

MOALF/KMD/NPCU/CCU/KARLO

Number of officers trained

xiii). Infrastructure support to implementing institutions

Procure, deploy and install the infrastructure based on CNA analysis

MoALF /KMD/KARLO /NPCU

Number of implementing institutions supported

xiv). Exchange visits and exposure tours

a) Identify areas to be visitedb) Selection of participants based

on CNA analysis

MoALF /KMD/KARLO /NPCU

Exchange visits reports, Number of visits and partners reached

Policy reforms/ harmonization

Conduct an analysis of policies related to KCSAP

Organize and coordinate stakeholder consultation forum

MoALF/KMD/KALRO/NPCU

Policy analysis reportNumber of Stakeholder consultations held

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ANNEX 10: ENVIRONMENTAL AND SOCIAL SCREENING CHECK LIST

(Sub-projects screening process by benefitting communities/Agencies)

Section A: Background information

Name of County…………………………………………………………Name of CPCU/Monitoring Officer/Researcher …………………………Sub-project location……………………………..Name of CBO/Institution…………………………………………..Postal Address:…………………………………………….Contact Person………………………………Cell phone……………………………..Sub-project name………………………………………………….Estimated cost (KShs.)……………………………………Approximate size of land area available for the sub-project………Objectives of the sub project……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..Activities/enterprises undertaken……………………………………………How was the sub-project chosen?....................................Expected sub project duration………………………………………………

Section B: Environmental IssuesWill the sub-project: Yes NoCreate a risk of increased soil erosion?Create a risk of increased deforestation?Create a risk of increasing any other soil degradation soil degradation?

Affect soil salinity and alkalinity?Divert the water resource from its natural course/location?Cause pollution of aquatic ecosystems by sedimentation and agro-chemicals, oil spillage, effluents, etc.?


If the answers to any of the above is ‘yes’, please include an EMP with sub-project application.

Section C: Socio-economic IssuesWill the sub-project: Yes NoDisplace people from their current settlement?Interfere with the normal health and safety of the worker/employee?Reduce the employment opportunities for the surrounding communities? Reduce settlement (no further area allocated to settlements)?Reduce income for the local communities?Increase insecurity due to introduction of the project? Increase exposure of the community to HIV/AIDS?Induce conflict?Have machinery and/or equipment installed for value addition?Introduce new practices and habits?Lead to child delinquency (school drop-outs, child abuse, child labour, etc.?Lead to gender disparity?Lead to poor diets?Lead to social evils (drug abuse, excessive alcohol consumption, crime, etc.)?


Introduce exotic plants or animals?Involve drainage of wetlands or other permanently flooded areas?Cause poor water drainage and increase the risk of water-related diseases such as malaria?Reduce the quantity of water for the downstream users?Result in the lowering of groundwater level or depletion of groundwater?Create waste that could adversely affect local soils, vegetation, rivers and streams or groundwater?Reduce various types of livestock production? Affect any watershed?Focus on Biomass/Bio-fuel energy generation?


Section D: Natural HabitatsWill the sub-project:Be located within or near environmentally sensitive areas (e.g. intact natural forests, mangroves, wetlands) or threatened species?Adversely affect environmentally sensitive areas or critical habitats – wetlands, woodlots, natural forests, rivers, etc.)?Affect the indigenous biodiversity (Flora and fauna)? Cause any loss or degradation of any natural habitats, either directly (through project works) or indirectly?Affect the aesthetic quality of the landscape?Reduce people’s access to the pasture, water, public services or other resources that they depend on? Increase human-wildlife conflicts?

Use irrigation system in its implementation?

Will the sub-project:Involve the use of pesticides or other agricultural chemicals, or increase existing use?Cause contamination of watercourses by chemicals and pesticides?Cause contamination of soil by agrochemicals and pesticides?Experience effluent and/or emissions discharge?Export produce? Involve annual inspections of the producers and unannounced inspections?Require scheduled chemical applications?Require chemical application even to areas distant away from the focus?Require chemical application to be done by vulnerable group (pregnant mothers, chemically allergic persons, elderly, etc.)?




Section E: Pesticides and Agricultural ChemicalsThis questionnaire will be used with the farmers groups for purpose of implementing the IPMF

1) Pest Control practicesa) Do you use any pesticides to control pests (Insects, diseases, weeds) of crops each season?YesNoIf yes,name them:

Name ofpesticide

Name ofpest,disease,weedcontrolled

Number oftimes applied/season

When did you apply(growth stage or month)Quantity purchased

If No, WHY?b) If you use any of the above pesticide types, do you keep records of the:Application location Yes…………. No ………….Date of application Yes…………. No ………….Pesticide product trade nameYes…………. No ………….Operator name Yes…………. No ………….

If No, WHY?c) How do you decide when to use the pesticides (tick all that apply)?

(i) We use pesticides at regular intervals throughout the season (calendar)(ii) We use pesticides when we see pests in the field (control)(iii)We use pesticides after field sampling and finding a certain number of pests or a certain

level of damage (scouting(iv)Told by someone to apply (specify who)(v) Other (specify)

d) Do you use a knapsack sprayer? Yes NoIf yes,

(i) Do you own it Yes No(ii) Do you rent it Yes No(iii)Do you borrow it Yes No

e) From your experience, are there any negative/harmful effects of using pesticides?

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Yes………. No ………….f) If yes, list the negative effects:

(i) ………………………………………………………………(ii) ................................................................................................(iii)………………………………………………………………(iv)………………………………………………………………(v) ………………………………………………………………

g) Do you use any kind of protective clothing while applying or handling pesticides? Yes NoWhy?

a) If YES, what kind?

2. Knowledge of pesticide handling and storage (tick one in each row)a) Do you read labels on the pesticide container before using?

Sometimes Always Never

b) How often do you wear protective clothing and other accessories like nasal mask, eye goggles,and boots when applying the pesticides?


c) Do you mix pesticides with your hands?Sometimes Always Never

d) Do you observe the pre-harvest waiting periods after applying the pesticides?Sometimes Always Never

e) After spraying, do you wait 12 hours before entering the field?Sometimes Always Never

f) Do you store pesticides in a secure, sound and well-ventilated location?Sometimes Always Never

g) Do you make a cocktail before applying the pesticides? (i.e., mix more than one chemical andapply them at once?)


h) Where do you store your pesticides?Why do you store them there?


i) What do you do with your pesticide containers after they are empty?

j) Do you know of any beneficial insects (insects that eat harmful insects)?Yes…………. No ………….

k) If yes, name them:i) ii) iii)

3. Pesticides and Healtha) Do you find that pesticide application is affecting the health of: Persons regularly applyingpesticides?


Persons working in fields sprayed with pesticidesSometimes Always Never

Persons harvesting the produceSometimes Always Never

4. Options to Pesticidesa) From your experience, are you aware of other methods for controlling insect’s diseases and/orweeds besides pesticides?

Yes……….. No …………b) If yes, describe these practices:i) ii) iii) iv)

5. Informationa) What information do you think you need for improving your crop production and

marketing?

6. Traininga) Have you ever received any training on any of the following topics related to crop

production?b) Integrated Pest Management Yes…………. No ………….c) No. of times/past yr. ………….d) b).Pesticide Usage Yes…………. No ………….e) No. of times/past yr. ………….


f) Pesticide Safety Yes…………. No ………….g) No. of times/past yr. ………….h) Insect Identification Yes…………. No ………….i) No. of times/past yr. ………….j) Disease Identification Yes…………. No ………….k) No. of times/past yr. ………….l) Quality aspects of production Yes…………. No ………….m) No. of times/past yr.………….

7) Is there anything else that you want us to know about your crop production?------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------If the answer to the above is ‘yes’, please consult the IPM that has been prepared for the project.

Section F: Vulnerable and Marginalized Groups meeting requirements for OP 4.10

Are there: Yes NOPeople who meet requirements for OP 4.10 living within the boundaries of, or near the project?Members of these VMGs in the area who could benefit from the project?VMGs livelihoods to be affected by the sub project?

If the answer to any of the above is ‘yes’, please consult the VMGF that has been prepared for the project.

Section G: Land Acquisition and Access to Resources

Will the sub-project: Yes NoRequire that land (public or private) be acquired (temporarily or permanently) for its development?Use land that is currently occupied or regularly used for productive purposes (e.g. gardening, farming, pasture, fishing locations, forests)Displace individuals, families or businesses?



Result in temporary or permanent loss of crops, fruit trees and pasture land?Adversely affect small communal cultural property such as funeral and burial sites, or sacred groves?Result in involuntary restriction of access by people to legally designated parks and protected areas?Be on monoculture cropping?

If the answer to any of the above is ‘yes’, please consult the mitigation measures in the ESMF, and if needed prepare a (Resettlement Action Plan) RAP.

Section H: Proposed action

(i) Summarize the above: (ii) Guidance

All the above answers are ‘No’

There is at least one ‘Yes’

• If all the above answers are ‘No’, there is no need for further action;

• If there is at least one ‘Yes’, please describe your recommended course of action (see below).

(iii) Recommended Course of ActionIf there is at least one ‘Yes’, which course of action do you recommend?

CPCUs and County Director of Environment (CDE) will provide detailed guidance on mitigation measures as outlined in the ESMF; and

Specific advice is required from CDE and CPCUs regarding sub-project specific EIA(s) and also in the following area(s)

All sub-project applications/proposals MUST include a completed ESMF checklist. The KCSAP-CPCU and CDE will review the sub-project applications/proposals and the CDEs will sign off;

The proposals will then be submitted to KCSAP PIU for clearance for implementation by communities in the proposed subprojects.

Expert AdviceThe National Government through the Department of Monuments and Sites of the

National Museums of Kenya can assist in identifying and, mapping of monuments and archaeological sites; and

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Sub-project specific EIAs, if recommended, must be carried out by experts registered with NEMA and be followed by monitoring and review. During the process of conducting an EIA the proponent shall seek views of persons who may be affected by the sub-project. The WB policy set out in OP 4.01 requires consultation of sub-project affected groups and disclosure of EIA’s conclusions. In seeking views of the public after the approval of the sub-project, the proponent shall avail the draft EIA report at a public place accessible to project-affected groups and local NGOs/CSOs.

Completed by: [type here]

Name: [type here]

Position / Community: [type here]

Date: [type here]

Field Appraisal Officer (CDE): [type here]

Signature: [ ]

Date: [type here]

Note: Project category

Characteristics

A Full and extensive EIA needed- irreversible environmental impacts; impacts not easy to pick or isolate and mitigation cost expensive; EMP design not easily done; Must have the EIA done and future annual EAs instituted

B Site specific environmental impacts envisaged; mitigation measures easy to pick, not costly and EMP design readily done; need an EIA and future EAs

C Have minimal or occasionally NO adverse environmental impacts; exempted from further environmental processes save environmental audits


ANNEX 11: PROPOSAL FORMAT FOR COMMUNITY CSA MICRO-PROJECTS

1. TITLE PAGE

Name of Micro-project ………………………………………………………………

County………………………………………Ward…………………………………

Name of CIG or VMG ……………………………………………………………...

Name of Service Provider Consortium……………………………………………….

Date submitted to CPCU……………………………………………………………

2. EXECUTIVE SUMMARY

3. Main Body

3.1. Baseline information focusing on the following subtopics;

• Physical location of micro-project,

• Number of direct and indirect beneficiaries and proportion of who are women and VMGs,

• Social economic characteristics and livelihoods of the beneficiaries

• Micro-project proposal development process showing the participation of beneficiaries (CIG, VMG) in the process

3.2. Micro-project description

i) Vision and Mission

ii) Overall goal and specific objectives

iii) Problems and challenges that the proposal is addressing and strategies to be used in addressing problems and challenges



ANNEX 12: PROPOSAL FORMAT FOR SUBPROJECTS

1. TITLE PAGE

Name of Subprojects ……………………………………………………………….........

County………………………………………Ward…………………………………………

Name of CTDs officers developing the proposal……………………………..................

Date submitted to NPCU………………………………………………………………....

2. EXECUTIVE SUMMARY

3. Main Body

3.1. Baseline information focusing on the following subtopics;

• Physical locations of the subproject,

• Number of direct and indirect beneficiaries and proportion of whom are women, and VMGs (percent),

• Social economic characteristics and livelihoods of the various categories of beneficiaries (women, youth, VMGs)

• Beneficiaries’ participation in the subproject proposal development process

3.2. Subproject description

i) Vision and Mission

ii) Overall goal and specific objectives

iii) The specific area of focus describing the problems and challenges that the proposed subproject is addressing and strategies to be used in addressing the problems and challenges

iv) Description of how the subproject interventions will improve the livelihoods of women, youth and VMGs. Also include strategies to be used towards ensuring that

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such groups participate and benefit from the subproject. Such strategies include employment at the construction sites and linkages to other support programs within the county

v) Description of how the proposed subproject relates to counties’ annual plans (CAP) and the county integrated development plan (CIDP)

vi) Sustainability mechanisms for the subproject investments

vii) Implementation time frame

viii) Proposed Monitoring and Evaluation strategy

ix) Proposed Budget showing 20 percent contributions from county government

APPENDICES

• MOU between county government and beneficiaries

• Evidence to show that proposed subproject relates to counties’ annual plans (CAP) and the county integrated development plan (CIDP)

References:

(Footnotes)

1 Direct beneficiary is a farming household of roughly five to eight members which translates into 3,515,000 to 5,624,000 individuals.

2 There is a possibility that some households may benefit from more than one intervention, hence the total number of beneficiaries may need to be adjusted at the mid-term review and at the end of the project implementation period.

3 ILRI has just begun a project with USAID support to provide a comprehensive market information system that will include forage condition forecasts for pastoral systems.



PROJECT IMPLEMENTATIONMANUAL

Version 1 2018


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Capital Hill Towers, Cathedral RoadP. O. Box 8073 00200, NAIROBI

Tel: +254 020 [email protected]

Website: www.kcsap.go.ke

KENYA CLIMATE SMART AGRICULTURE PROJECT KCSAP